Manual for Small and Emergency Projects.doc

MANUALFOR

SMALL AND EMERGENCYPROJECTS

April 2009

INDEX

SMALL PROJECTS

1.0 Definition 31.1 Architect/Engineer Services 32.0 Project Funding 33.0 Design 34.0 Bid Openings 34.1 Competition 34.2 Proposal Submittal 44.3 Proposal Solicitation 44.4 Prequalification 44.5 FEP Requirements 44.6 Bid Bonds 44.7 CAF – Construction Administration Fee 45.0 Standard Documents for Construction 46.0 Pre-Award Requirements 56.1 Insurance 56.2. Bonds Required 56.3 Facsimile Submittals 56.4 Financial Disclosure Forms 57.0 Contract Execution 57.1 Contracts Not Exceeding $10,000 57.2 Contracts Over $10,000 67.3 Notice to Proceed 68.0 Payment 6

EMERGENCY PROJECTS

1.0 Definition 71.1 Response Action One Asbestos Projects 72.0 Architect/Engineer Services 73.0 Project Funding 74.0 Levels of Emergency 74.1 Level 1 Emergency 84.2 Level l Contractors 85.0 Emergency Affidavit 85.1 Time of Filing 85.2 Affidavit Completion 85.3 Preparing and Filing Affidavit 85.4 Affidavit Forms and Procedures 96.0 Proposal Submittal 96.1 Competition 96.2 Submittal Form 106.3 Proposal Solicitation 106.4 Prequalification 106.5 FEP Requirements 10

6.6 Bid Bonds 106.7 CAF – Construction Administration Fee 106.8 Bid Openings 117.0 Standard Documents for Construction 118.0 Pre-Award Requirements 118.1 Insurance 118.2 Bonds Required 118.3 Facsimile Submittals 128.4 Financial Disclosure Forms 129.0 Contract Execution 129.1 Emergency Contracts 129.2 Authorization to Proceed 1310.0 Payment 13

LIST OF APPENDIXES

11116. Proposal Package Checklist

11117. Disclosure of Business Operations with Government of Iran

11118. Substance Abuse Prevention Certification

11119. Financial Disclosure Forms A, B and C

11120. Small and Emergency Projects Notice to Contractors including Index

11121. Emergency Purchase Affidavit

SMALL PROJECTS

1.0 Definition

By statute, construction contracts not exceeding $30,000 (adjusted for inflation annually) are considered small projects that are exempt from the usual competitive bidding requirements. As of July 1, 2008, the small project threshold is $39,000.

1.1 Architect/Engineer Services

Architect/Engineer Services costs are not included as a component of small project costs.

2.0 Project Funding

Funding must be secured by Capital Programs prior to architect/engineer selection or proposal submittal.

3.0 Design

Design services for small projects may be provided by Capital Development Board’s (CDB) in-house designers or by contract with a private firm, depending on the situation. In some instances, design services may not be needed.

4.0 Bid Openings

For contracts under $10,000, no formal bid opening is required.

For contracts over $10,000, a formal bid opening procedure is required by CDB. CDB Bid Officers will conduct the bid openings at one of the following CDB Bid Opening Locations: Springfield, Chicago, Carbondale or Peru. Project Manager will contact the CDB Bid Officer to schedule a bid opening date and time. Emergency Project Coordinator will provide CDB Bid Officer with a copy of the approved list of contractors for each project prior to bid. Bids submitted by a non-approved contractor will not be opened and will be returned to the contractor.

4.1 Competition

For contracts under $10,000, multiple proposals are not required. Contractor shall submit proposal on CDB’s Proposal/Contract/Notice of Award and no formal contract is required. Project Manager should verbally accept the contractor’s offer if reasonable and authorize the contractor to begin work.

For contracts over $10,000, multiple proposals (minimum of three) should be taken to ensure competitive pricing. An exception may be made when a contractor who is already on-site in connection with a different project is willing to do the work, and it is determined that the bid is reasonable. Reasonableness will be determined by the Regional Manager or his/her designee and may include a review by CDB’s Professional Services estimating staff. The list of potential contractors for the project must be sent to the Deputy Director of Construction or his/her designee for approval prior to the proposal submittal process. Only those firms on the approved list of contractors will be allowed to bid.

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4.2 Proposal Submittal

All Proposals must be submitted in writing on CDB’s Proposal/Contract Form/Notice of Award form. This Proposal form can be found on CDB’s website at www.cdb.state.il.us in the Reference Library under “Small Projects”. The form will be the basis of the proposal submittal package, which will include a scope statement and/or specifications; a Proposal Package Checklist; Financial Disclosure forms A, B and C; Apprenticeship and Training Program Certification; Substance Abuse Prevention Certification; Disclosure of Business Operations with Government of Iran; and the Small and Emergency Projects Notice to Contractors. (See Appendix) Further price negotiation may be conducted with the firm that submits the lowest cost proposal.

4.3 Proposal Solicitation

Public solicitation through the CDB Bid Information Newsletter or a newspaper is not required. Potential contractors may be contacted by telephone.

4.4 Prequalification

Submitters providing labor must be prequalified with CDB.

4.5 FEP Requirements

Standard FEP requirements do not apply. However, participation is encouraged.

4.6 Bid Bonds

Bid Bonds are not required for small projects.

4.7 Construction Administration Fee (CAF)

Construction Administration Fee (CAF) will be collected on all small projects over $10,000. CAF will not be collected on those projects without a formal contract (contracts less than $10,000).

5.0 Standard Documents for Construction

Provisions of the Standard Documents for Construction (SDC) do apply to small projects unless modified by the contract documents, including the Small and Emergency Contracts Notice to Contractors. (See Appendix)

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http://www.cdb.state.il.us/

6.0 Pre-Award Requirements:

6.1 Insurance

Unless stated otherwise in the proposal package, SDC insurance provisions do not apply. Contractors must only submit proof of current insurance coverage for commercial general liability, automobile liability, and workmen’s compensation, with the proposal. Proof of coverage may be a certificate of insurance or a letter on the insurance company or agent’s letterhead. If builder’s risk insurance is required, it will be indicated on the Proposal/Contract/Notice of Award form.

6.2 Bonds Required

Performance bonds and Labor and Material Payment bonds are not required for small projects.

6.3 Facsimile Submittals

Proposal modifications (if timely and do not disclose the proposal price), proof of insurance, and the bonding company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days.

6.4 Financial Disclosure Forms

CDB utilizes three financial disclosure forms:

1) Disclosure Form A, entitled Disclosures, Financial Interests and Potential Conflicts of Interests;2) Disclosure Form B, entitled Disclosures, Other Contract and Procurement Related Information; and3) Disclosure Form C, entitled Updated Disclosure Information.

Financial disclosure forms are not required for contracts that are $10,000 or less. All prequalified contractors have disclosure forms A and B on file with CDB. For contracts over $10,000, a financial disclosure update form (Form C) must be submitted with the proposal.

7.0 Contract Execution

7.1 Contracts Not Exceeding $10,000

When work costs do not exceed $10,000, the contractor shall submit proposals on CDB’s Proposal/Contract/Notice of Award form and can be paid on the basis of an invoice. This Proposal form can be found on CDB’s website at www.cdb.state.il.us in the Reference Library under “Small Projects”. No formal contract is required; the Project Manager should verbally accept the contractor’s offer and authorize the contractor to begin work. (See Section 7.3) Payment must be approved and signed by both the Project Manager and Regional Manager.

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7.2 Contracts Over $10,000

For work costs exceeding $10,000, the Proposal/Contract/Notice of Award form, signed by the contractor, is to be sent by CDB’s Contracts Unit to the Executive Director for signature. After signing, it must be distributed to:

CDB Fiscal Architect/Engineer (if applicable)Contractor CDB Project ManagerCDB Regional Manager Central Files with original documentsCDB Project Technician CDB Public Information Officer (for publication)

7.3 Authorization to Proceed

Contractors on small projects will not be given a separate written authorization to proceed. For contracts not exceeding $10,000, verbal authorization by Project Manager will suffice, to be followed by a letter of acceptance. For contracts over $10,000, the Proposal/Contract/Notice of Award signed by the Executive Director will serve as the Authorization to Proceed.

8.0 Payment

Projects under $10,000 will be paid once, upon final completion. (See also Section 7.1) Projects from $10,000 to $39,000 may have one progress payment and one final payment, in any event not to exceed two payments, with proper lien waivers.

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EMERGENCY PROJECTS

1.0 Definition

By statute, an emergency project that is exempt from the usual competitive bidding requirements may be entered into when:

A. A threat to public health exists;B. A threat to public safety exists;C. There is a risk of further loss of or damage to State property;D. Immediate remediation is needed to prevent or minimize serious disruption in State services; orE. The integrity of State records is threatened.F. Quick purchase as provided by Section 20-30 (d) of the Illinois Procurement Code.

1.1 Response Action One Asbestos Projects

Response action one asbestos episodes estimated to exceed the small project threshold (currently $39,000) are to be handled as an emergency project. All procedures for emergency projects are to be followed including the filing of an emergency purchase affidavit by the Using Agency. Those projects estimated to be less than the small project threshold (currently $39,000) can be executed as a small project.

2.0 Architect/Engineer Services

Design services for emergency projects may be provided by Capital Development Board’s (CDB) in-house designers or by contract with a private firm, depending on the situation. In some instances, design services may not be needed.

3.0 Project Funding

Funding must be secured by Capital Programs prior to architect/engineer selection or proposal submittal.

4.0 Levels of Emergency

CDB recognizes three levels of emergency projects, as follows:

Level 1: Immediate danger exists to life or state property, and instant action is required.

Level 2: A quick response is required, yet there is sufficient time to allow an emergency A/E selection by the Executive Director, abbreviated specifications, and bidding for a contractor out of a short list of selected contractors. Design schedule is no more than three months.

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Level 3: Immediate responses are needed, yet there is time for some of CDB’s usual design and construction processes to be performed. [Note: This may include following CDB’s standard advertising and competitive bidding procedures.]

The level of the emergency will be determined by the Deputy Director of Construction.

4.1 Level 1 Emergency

FOR ALL LEVEL 1 EMERGENCIES, WORK MUST COMMENCE IMMEDIATELY, WITHOUT REGARD TO FORMAL PROCEDURES OR PAPERWORK. Paperwork will follow as soon as reasonably possible and should be sent directly to the Emergency Project Coordinator.

4.2 Level 1 Contractors

For Level 1 emergencies, Project Managers should endeavor to utilize capable contractors that are already working at the site when possible to save time. If not possible, utilize local contractors that can mobilize immediately. Contractors for Level 1 emergencies do not have to be prequalified although it is encouraged. If the emergency involves a utility (gas lines, water mains, etc.) contact the utility immediately for assistance.

5.0 Emergency Affidavit

An Emergency Affidavit for each emergency project must be filed with the Office of the Auditor General. (See Appendix) The affidavit includes:

A. A description of the conditions and circumstances requiring an emergency project;B. The amount spent or estimated cost; if known;C. The architect/engineer’s and/or contractor’s name(s), if known.

5.1 Time of Filing

For Level 2 and Level 3 emergencies, the affidavit must be filed prior to design if designed in-house; prior to architect/engineer selection; or prior to taking contractor proposals if there is no design. For Level 1 emergencies, the affidavit should be filed within 10 days after work begins.

5.2 Affidavit Completion

If it is necessary to file an affidavit with an estimated cost and/or with an unnamed contractor, the total actual cost and the name of the contractor must be reported by the Capital Development Board to the Auditor General within 10 days of the Notice of Award.

5.3 Preparing and Filing Affidavit

Affidavits must be prepared, signed and filed by persons with actual personal knowledge of the facts and circumstances constituting the emergency and the possible or probable impact to the particular facility and its programs if immediate action is not taken to remediate the situation.

5.4 Conditions for User Preparation and Filing of Affidavit

The Using Agency will be responsible for preparing, signing and filing the affidavit. Procedures may vary between User Agencies, but typically affidavits are signed by Agency Directors. The Using Agency must send CDB a written request to CDB’s Deputy Director of Operations to initiate an emergency project, with the affidavit attached. The request must describe the nature of the emergency in detail, if it is not obvious from the affidavit.

6.0 Proposal Submittal

6.1 Competition

Level 1 emergencies do not require competitive bidding. Project Managers should endeavor to utilize capable contractors that are already working at the site when possible to save time. If not possible, utilize local contractors that can mobilize immediately. Contractors for Level 1 emergencies do not have to be prequalified although it is encouraged.

For Level 2 emergencies, multiple proposals (minimum of three) should be taken to ensure competitive pricing. An exception may be made when a contractor who is already on-site in connection with a different project is willing to do the work, and it is determined that the proposal cost is reasonable. Reasonableness will be determined by the Regional Manager or his/her designee and may include a review by CDB’s Professional Services estimating staff.

The list of potential contractors for the project must be sent to the Executive Director or his/her designee for approval prior to the proposal submittal process. The contractors list should include at least one reason for inviting each contractor. The following are some sample reasons for inviting a particular contractor to bid:

1. Contractor has completed numerous projects at the site, and is familiar with doing work at the facility.

2. Contractor has completed several similar types of projects for CDB.3. Contractor is able to commit resources to provide immediate response to the project.4. Due to the urgency and the small size of the emergency project, the Contractor is geographically

located close to the facility and will be able to provide a practical response.5. The Contractor has the expertise necessary to complete the specialized scope for the emergency

project.6. The Using Agency has project experience with the Contractor and recommends them for this

emergency project.7. Given the urgency of this emergency, the Contractor has the experience necessary to quickly obtain

and coordinate subcontractors to expedite the completion of the emergency work.8. The Contractor is currently working at the facility on another project and can provide immediate

response to the emergency.9. The Contractor completed a project at the particular building and is very familiar with the specific

area requiring emergency work.

Level 3 emergencies will follow CDB’s standard advertising and competitive bidding procedures. Level 3 emergencies will require bid bonds, utilize CDB’s standard bidding forms and contract

documents, and will follow CDB’s normal awarding and ATP procedures through CDB’s Contracts Unit.

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6.2 Submittal Form

For Level 2 emergencies, proposals must be submitted in writing on CDB’s Proposal/Contract Form/Notice of Award form. This Proposal form can be found on CDB’s website at www.cdb.state.il.us in the Reference Library under “Emergency Projects”. The form will be the basis of the proposal submittal package, which will include a scope statement and/or specifications; a Proposal Package Checklist; Financial Disclosure Forms A, B and C; Apprenticeship and Training Program Certification; Substance Abuse Prevention Certification; Disclosure of Business Operations with Government of Iran; and Small and Emergency Projects Notice to Contractors. (See Appendix)

For Level 3 emergencies, proposals must be submitted in writing on CDB’s standard bidding forms. Level 3 emergencies will follow CDB’s standard advertising and competitive bidding procedures. Level 3 emergency projects will required bid bonds, utilize CDB’s standard bidding forms and contract documents, and will follow CDB’s normal awarding and ATP procedures through CDB’s Contract Unit.

6.3 Proposal Solicitation

Public solicitation through the CDB Bid Information Newsletter or a newspaper is not required except for Level 3 emergencies that follow CDB’s standard advertising and competitive bidding procedures. When an approved contractor’s list is utilized, potential contractors may be contacted by telephone.


Submitters providing labor must be prequalified with CDB for Level 2 and Level 3 emergencies. It is desirable, but not required, for Level 1 emergencies.


For Level 1 and Level 2 emergencies, standard FEP requirements do not apply. However, participation is encouraged. For Level 3 emergencies that follow CDB’s normal advertising and bidding procedures, applicable MBE/FBE goals will be required on projects with an estimated construction cost of $250,000 or greater and Minority/Female workforce goals will be required on contracts with an estimated construction cost of $250,000 or greater. Contact CDB FEP Unit for assistance.

6.6 Bid Bonds

Bid bonds are not required for Level 1 and 2 emergency projects.

Bid bonds are required for Level 3 emergency projects.

6.7 Construction Administration Fee (CAF)

Construction Administration Fee (CAF) will be collected on all emergency contracts.

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6.8 Bid Openings

For Level 1 emergencies, no formal bid opening is required. For Level 2 emergencies, a formal bid opening procedure is required by CDB. CDB Bid Officers will conduct the bid openings at one of the following CDB Bid Opening Locations: Springfield, Chicago, Carbondale, or Peru. Project Manager will contact the CDB Bid Officer to schedule a bid opening date and time. Emergency Project Coordinator or Project Manager will provide CDB Bid Officer with a copy of the approved list of contractors for each project prior to bid. Bids submitted by a non-approved contractor will not be opened and will be returned to the contractor.

Level 3 emergencies will follow CDB’s standard advertising and competitive bidding procedures. Level 3 emergency projects will require bid bonds, utilize CDB’s standard bidding forms and contract documents, and will follow CDB’s normal awarding and ATP procedures through CDB’s Contracts Unit.


Provisions of the Standard Documents for Construction (SDC) do apply to emergency projects unless modified by the contract documents, including the Small and Emergency Projects Notice to Contractors. (See Appendix)

8.0 Pre-Award Requirements see below:

8.1 Insurance

Unless stated otherwise in the proposal package, SDC insurance provisions do not apply to Level 1 and Level 2 Emergencies. Contractors must only submit proof of current insurance coverage for commercial general liability, automobile liability, and workmen’s compensation, with the proposal. Proof of coverage may be a certificate of insurance or a letter on the insurance company or agent’s letterhead. If builder’s risk insurance is required, it will be indicated on the Proposal/Contract/Notice of Award form. For Level 3 emergencies, SDC insurance provisions apply.

8.2 Bonds Required

Performance bonds and Labor and Material Payment bonds are required in the amount of the contract for contracts over $50,000. For Level 1 emergency contracts over $50,000, lien waivers may be substituted for bonds as long as it is indicated in the proposal documents. If required, CDB bond forms will be furnished with the Proposal/Contract/Notice of Award. If bonds are required, contractors must submit with the bid a letter from a bonding company (on letterhead) stating the bonds will be issued if the firm is awarded the contract.

[Note: Bonds are required even if the contract is for materials or equipment only.]

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a. For Level 1 Emergencies:

Proposals, proposal modifications, proof of insurance, and the bond company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days.

b. For Level 2 and Level 3 Emergencies:

Proof of insurance and the bonding company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days. Proposals cannot be submitted by fax. Proposal modifications, if timely and if they do not disclose the proposal price, may be submitted by fax, provided CDB receives the originals within 5 calendar days.



1) Disclosure Form A, entitled Disclosures, Financial Interests and Potential Conflicts of Interests;2) Disclosure Form B, entitled Disclosures, Other Contract and Procurement Related Information; and3) Disclosure Form C, entitled Updated Disclosure Information.

Financial disclosure forms are not required for contracts that are $10,000 or less. All prequalified contractors have disclosure forms A and B on file with CDB. For contracts over $10,000, a financial disclosure update form (Form C) must be submitted with the proposal if the contractor is prequalified. (See Appendix)

9.0 Contract Execution

9.1 Emergency Contracts

The Proposal/Contract/Notice of Award form, signed by the contractor, is to be sent by CDB Contracts Unit to the Executive Director (or, if unavailable, his/her designee) for signature. Contracts that are $250,000 or over must also be signed by the Chief Counsel and the Administrator of Fiscal Services. After signing, it must be distributed to:

Contractor (attach bond forms) CDB Emergency Project CoordinatorCDB Fiscal CDB Public Information Officer (for publication)CDB Project Manager Using AgencyCDB Project Technician Central Files with original documents

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Contractors on emergency projects will not be given a separate written authorization to proceed. The Proposal/Contract/Notice of Award signed by the Executive Director will serve as the Authorization to Proceed.

10.0 Payment

Projects that are projected by the architect/engineer to be completed in less than 6 months will have one payment at the completion. Projects projected by the architect/engineer to be completed in 6 months or more will have progress payments scheduled at month or greater intervals of one month or more.

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PROPOSAL PACKAGE CHECKLIST

All proposals submitted to CDB for small or emergency projects must contain the following items:

[ ] Completed Proposal/Contract/Notice of Award Form

[ ] Proof of insurance consisting of a certificate of insurance or a letter on the insurance company or agency letterhead (unless SDC provisions apply; see proposal form.).

[ ] Letter from your bonding company on their letterhead stating that a performance bond and a labor and material payment bond in the amount of the contract will be issued if the firm is awarded the contract (unless bonds are not required; see proposal form.).

[ ] Disclosure of Business Operations with Government of Iran; must complete attached form.

[ ] Proof of Substance Abuse Prevention Certification; must complete attached form.

[ ] If over $10,000, financial disclosure form A & B if not already on file with CDB. If A & B are on file, include form C. (see Disclosure forms)

[ ] Proof of Apprentice and Training Program Certification. Copy of US Department of Labor certificate is acceptable.

Attachment Disclosure of Business Operations with Government of Iran

30 ILCS 500/50-36

Each bid, offer, or proposal submitted for a State contract, other than a small purchase defined in Section 20-20 [of the Illinois Procurement Code], shall include a disclosure of whether or not the bidder, offeror, or proposing entity, or any of its corporate parents or subsidiaries, within the 24 months before submission of the bid, offer, or proposal had business operations that involved contracts with or provision of supplies or services to the Government of Iran, companies in which the Government of Iran has any direct or indirect equity share, consortiums or projects commissioned by the Government of Iran and :

(1) more than 10% of the company’s revenues produced in or assets located in Iran involve oil-related activities or mineral-extraction activities; less than 75% of the company’s revenues produced in or assets located in Iran involve contracts with or provision of oil-related or mineral – extraction products or services to the Government of Iran or a project or consortium created exclusively by that Government; and the company has failed to take substantial action; or

(2) the company has, on or after August 5, 1996, made an investment of $20 million or more, or any combination of investments of at least $10 million each that in the aggregate equals or exceeds $20 million in any 12- month period that directly or significantly contributes to the enhancement of Iran’s ability to develop petroleum resources of Iran.

A bid, offer, or proposal that does not include this disclosure shall not be considered responsive. We may consider this disclosure when evaluating the bid, offer, or proposal or awarding the contract.

You must check one of the following items and if item 2 is checked you must also make the necessary disclosure.

1. ___ There are no business operations that must be disclosed to comply with the above cited law.

2. ___ The following business operations are disclosed to comply with the above cited law:

_

Name of Company

Signature

Substance Abuse Prevention Program Certification

Bid Date:

Project No.:

Project Name:

Location:

The Substance Abuse Prevention on Public Works Act, Public Act 95-0635, prohibits the use of drugs and alcohol, as defined in the Act, by employees of the Contractor and by employees of all approved Subcontractors while performing work on a public works project. The Contractor/Subcontractor herewith certifies that it has a superseding collective bargaining agreement or makes the public filing of its written substance abuse prevention program for the prevention of substance abuse among its employees who are not covered by a collective bargaining agreement dealing with the subject as mandated by the Act.

A. The undersigned representative of the Contractor/Subcontractor certifies that the contracting entity has signed collective bargaining agreements that are in effect for all of its employees, and that deal with the subject matter of Public Act 95-0635.

Contractor/Subcontractor

Name of Authorized Representative (type or print)

Title of Authorized Representative (type or print)

Signature of Authorized Representative Date

B. The undersigned representative of the Contractor/Subcontractor certifies that the contracting entity has in place, for all of its employees not covered by a collective bargaining agreement that deals with the subject of the Act, the attached substance abuse prevention program that meets or exceeds the requirements of Public Act 95-0635.

Contractor/Subcontractor

Name of Authorized Representative (type or print)

Title of Authorized Representative (type or print)


DISCLOSURESFINANCIAL INTERESTS AND POTENTIAL CONFLICTS OF INTERESTS(Disclosure Form A)

Public Act 90-572 (Section 50-35 a-b) requires that vendors desiring to enter into certain contracts with the State of Illinois must disclose the financial and potential conflict of interest information as specified below.

Vendor shall disclose the financial interest and potential conflict of interest information identified in Sections 1 and 2 below as a condition of receiving an award or contract.

This requirement applies to contracts with an annual value exceeding $10,000.

A publicly traded entity may submit its 10K disclosure in satisfaction of the disclosure requirements set forth in both Sections 1 and 2 below.

Section 1. Disclosure of Financial Interest in the Vendor

a. If any individuals have one of the following financial interest in the vendor (or its parent), please check all that apply and show their name and address:

Ownership exceeding 5% ( )Ownership value exceeding $90,420.00 ( )Distributive Income Share exceeding 5% ( )Distributive Income Share exceeding $90,420.00 ( )

Name:

Address:

b. For each individual named above, show the type of ownership/distributable income share:

sole proprietorship stock partnership other (explain) c. For each individual named above, show the dollar value or proportionate share of the ownership interest in the vendor (or its parent) as follows:

If the proportionate share of the named individual(s) in the ownership of the vendor (or its parent) is 5% or less, and if the value of the ownership interest of the named individual(s) is $90,420.00 or less, check here ( ).

If the proportionate share of ownership exceeds 5%, or the value of the ownership interest exceeds $90,420.00, show either:

the percent of ownership %,or

the value of the ownership interest $ .

2. Disclosure of Potential Conflicts of Interest. For each of the individuals having the level of financial interest identified in Section 1 above, check (Yes) or (No) to indicate which, if any, of the following potential conflict of interest relationships apply. If (Yes), please describe (use space under applicable section--attach additional pages as necessary).

a. State employment, currently or in the previous 3 years, including contractual employment of services.

b. State employment of spouse, father, mother, son, or daughter, including contractual employment for services in the previous 2 years.

c. Elective status; the holding of elective office of the State of Illinois, the government of the United States, any unit of local government authorized by the Constitution of the State of Illinois or the statutes of the State of Illinois currently or in the previous 3 years.

d. Relationship to anyone holding elective office currently or in the previous 2 years; spouse, father, mother, son or daughter.

e. Appointive office; the holding of any appointive government office of the State of Illinois, the United States of America, or any unit of local government authorized by the Constitution of the State of Illinois or the statutes of the State of Illinois, which office entitles the holder to compensation in excess of expenses incurred in the discharge of that office currently or in the previous 3 years.

f. Relationship to anyone holding appointive office currently or in the previous 2 years; spouse, father, mother, son or daughter.

g. Employment, currently or in the previous 3 years, as or by any registered lobbyist of the State government.

h. Relationship to anyone who is or was a registered lobbyist in the previous 2 years; spouse, father, mother, son or daughter.

i. Compensated employment, currently or in the previous 3 years, by any registered election or re-election committee registered with the Secretary of State or any county clerk in the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections.

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

No

No

No

No

No

No

No

No

j. Relationship to anyone; spouse, father, mother, son or daughter; who is or was a compensated employee in the last 2 years of any registered election or re-election committee registered with the Secretary of State or any county clerk in the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections.

Yes

No

This disclosure is submitted on behalf of

(name of vendor).

Official authorized to sign on behalf of vendor:

Name (printed)

Signature

Title

Date

DISCLOSURESOTHER CONTRACT AND PROCUREMENT RELATED INFORMATION(Disclosure Form B)

Public Act 90-572 (section 50-35 h) requires that vendors desiring to enter into certain contracts with the State of Illinois must disclose the information as specified below.

Vendor shall disclose the information identified below as a condition of receiving an award or contract.

This requirement is applicable to only those contracts with an annual value exceeding $10,000.

a. Vendor shall identify whether it has current contracts (including leases) with other units of State of Illinois government by checking (Yes) Or (No) .

If (Yes) is checked, identify each contract by showing agency name and other descriptive information such as purchase order or contract reference number (attach additional pages as necessary).

b. Vendor shall identify whether it has pending contracts (including leases), bids, proposals or other ongoing procurement relationships with other units of State of Illinois government by checking (Yes) Or (No).

If (Yes) is checked, identify each such relationship by showing agency name and other descriptive information such as bid or project number (attach additional pages as necessary).

This disclosure is submitted on behalf of (name of vendor).

Official authorized to sign on behalf of vendor:

Name (printed)

Signature

Title

Date

UPDATED DISCLOSURE INFORMATION(Disclosure Form C)

Section 50-35 of the Illinois Procurement Code provides that all bids or offers of more than $10,000 shall be accompanied by disclosure of the financial interests of the bidder or offeror. This disclosed information will be maintained as public information. In addition, Section 50-35 requires disclosure of certain relationships so that the agency may determine whether a conflict of interest exists.

The Capital Development Board uses two forms to collect the disclosure information. Disclosure Form A collects financial information on ownership interests and whether disclosed individuals have certain relationships. Specifically, the bidder or offeror must disclose on Form A ownership or distributive income share that is in excess of 5%, or an amount greater than 60% of the annual salary of the Governor, of the bidding entity or its parent entity, whichever is less, unless the contractor or bidder is a publicly traded entity subject to Federal 10K reporting, in which case it may submit its 10K disclosure in place of Disclosure Form A. The disclosure must include the names, addresses, and dollar or proportionate shares of ownership of each person making the disclosure, their instrument of ownership or beneficial interest f each person making the disclosure having any of the relationships identified in Section 50-35 of the Code.

Disclosure Form B collects information on the bidder’s or offeror’s other State contracts or procurement activities. Specifically, the disclosure indicates any other current or pending contracts, proposals, leases, or other ongoing procurement relationships the bidding entity has with any other unit of State government and clearly identifies the unit of government, as well as the contract, proposal, lease or other relationship. Forms A & B are completed as part of the prequalification process. THIS FORM C ALLOWS THE ENTITY TO UPDATE THE PREVIOUSLY DISCLOSED INFORMATION. IF YOU HAVE NOT MADE A PREVIOUS DISCLOSURE, PLEASE CONTACT CDB AT 217/782-9632 TO OBTAIN DISCLOSURE FORMS (A) AND (B).

INSTRUCTIONS FOR PROVIDING UPDATED DISCLOSURE INFORMATIONBidder or offerer shall review its previously completed Disclosure Forms A and B. Any individuals whose ownership share or distributive income (not salary, but a distributive profit) is greater than 5% or $90,420.00, and who were not previously disclosed, must be disclosed on this Form C, item 1. Item 2 must be completed relative to each disclosed individual. Be aware that previously disclosed individuals may need to update information in item 2 to incorporate changes since the last disclosure. Identify the individuals that answer (Yes) in item 2.

CERTIFICATION STATEMENT - FOR NO CHANGES TO FORM A

After having reviewed the previously submitted disclosure forms, I have determined that there are no changes to the Form A disclosure information previously submitted.

(Bidding Company)

Name of Authorized Representative Title of Authorized Representative


WHEN THERE ARE CHANGES TO THE PREVIOUSLY SUBMITTED FORM A, DESCRIBE THEM IN ITEMS 1 AND 2, OR IF ADDITIONAL SPACE IS NEEDED, ON A SEPARATE SHEET OF PAPER.

1. Individuals whose ownership share or distributive income (not salary, but a distributive profit) is greater than 5% or $90,420.00 (name, address, and type of ownership):

2. Whether any of the above- disclosed individuals (OR PREVIOUSLY DISCLOSED INDIVIDUALS WHO FORMED ANY OF THESE RELATIONSHIPS SINCE THE LAST DISCLOSURE) have any of the following relationships (IF THE ANSWER TO ANY QUESTION IS (Yes), PLEASE ATTACH ADDITIONAL PAGES AND DESCRIBE):

(a) State employment, currently or in the previous three years, including contractual employment of services.

Yes No

(b) State employment of spouse, father, mother, son or daughter, including contractual employment for services in the previous two years.

Yes No

(c ) Elective status; the holding of elective office of the State of Illinois, the government of the United States, any unit of local government authorized by the Constitution of the State of Illinois or the statutes of the State of Illinois currently or in the previous three years.

(d) Relationship to anyone holding elective office currently or in the previous two years; spouse, father, mother, son, or daughter.

(e) Appointive office; the holding of any appointive government office of the State of Illinois, the United State of America, or any unit of local government authorized by the Constitution of the State of Illinois of the statutes of the State of Illinois, which office entitles the holder to compensation in excess of the expenses incurred in the discharge of that office currently or in the previous three years.

(f) Relationship to anyone holding appointive office currently or in the previous two years; spouse, father, mother, son, or daughter.

(g) Employment, currently or in the previous three years, as or by any registered lobbyist of the State government.

(h) Relationship to anyone who is or was a registered lobbyist in the previous two years; spouse, father, mother, son, or daughter.

(i) Compensated employment, currently or in the previous three years, by any registered election or reelection committee registered with the Secretary of State or any county clerk of the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections.

(j) Relationship to anyone; spouse, father, mother, son or daughter who was a compensated employee in the last two years by any registered election or reelection committee registered with the Secretary of State or any county clerk of the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections.

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

No

No

No

No

No

No

No

TO BE COMPLETED BY ALL:3. Additional contracts, bids, proposals, leases, pending or ongoing, or entered into and completed since the last disclosure, or other ongoing procurement relationship with any other State of Illinois Agency:

NO CHANGE SINCE OUR LAST DISCLOSURE

THE FOLLOWING ADDITIONAL PROCUREMENT ACTIVITIES HAVE BEEN ENGAGED IN:

CERTIFICATION STATEMENT - TO BE COMPLETED WHEN THERE ARE CHANGES TO FORM A OR FORM B.

I have determined that the above accurately describes any changes to the Form A and Form B disclosure information previously submitted, and all forms are hereby incorporated by reference in this bid. Any necessary additional forms or amendments to previously submitted forms are attached.

(Bidding Company)

Name of Authorized Representative Title of Authorized Representative


Submitted for CDB Project No:

INDEX

SMALL & EMERGENCY PROJECTS - NOTICE TO CONTRACTORS

1.0 Submittal Form 21.1 Proposal Form 21.2 No Alterations or Qualifications 21.3 Location for Delivery of Proposal Form 21.4 Proposal Opening Time and Date 21.5 Authorized Signature 21.6 Additional Costs to be Included in Proposal 22.0 Contractor Responsibility 33.0 Prequalification 34.0 FEP Requirements 35.0 Bid Bonds 36.0 Standard Documents for Construction 37.0 Pre-Award Requirements 37.1 Insurance 37.2 Bonds Required 47.3 Facsimile Submittals 47.4 Financial Disclosure Forms 48.0 Authorization to Proceed 59.0 Payment 5

SMALL AND EMERGENCY PROJECTSNOTICE TO CONTRACTORS

1.0 Submittal Form

1.1 Proposal Form

Proposals must be submitted in writing on CDB’s Proposal/Contract/Notice of Award Form. The Proposal form can be found on CDB’s website at www.cdb.state.il.us in the Reference Library under both “small projects” and “emergency projects”. The form will be the basis of the proposal package, which will include a scope statement and/or specifications; a Proposal Package Checklist; Financial Disclosure Forms A, B and C; Apprenticeship and Training Program Certification; Substance Abuse Prevention Certification; Disclosure of Business Operations with Government of Iran; and a Small and Emergency Projects Notice to Contractors.

1.2 No Alterations or Qualifications

Any proposals submitted with alterations or qualifications will be rejected.

1.3 Location for Delivery of Proposal Form

All proposals shall be delivered to the authorized official at the location specified on the proposal form. Any proposals submitted to another person or location other than those specified will be returned unopened to the submitter.

1.4 Proposal Opening Time and Date

All proposals shall be submitted no later than the opening time and date specified on the proposal form. Any proposals received by CDB after the time and date specified will be returned unopened to the submitter.

1.5 Authorized Signature

All proposals shall be signed by a person or persons authorized to sign.

1.6 Additional Costs to be included in Proposal

All submitters are to include in their proposal, amounts sufficient to cover the cost of a labor and material payment bond, performance bond, all insurance coverage, and the construction administration fee (CAF), if required by the proposal documents. Costs for payment of prevailing wages must be included.

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2.0 Contractor Responsibility

The competence and responsibility of all submitters shall be taken into consideration in the award of the contract.


Submitters must be prequalified with CDB unless the proposal documents state otherwise. Prequalification is required for small projects and Level 2 and 3 emergency projects, and may be required for Level 1 emergencies. Submitters providing materials or equipment only are not required to be prequalified.


For Small Projects and Level 1 and 2 emergencies, standard FEP requirements do not apply. However, participation is encouraged. For Level 3 emergencies that follow CDB’s normal advertising and competitive bidding procedures, applicable MBE/FBE goals will be required on projects with an estimated construction cost of $250,000 or greater and Minority/Female workforce goals will be required on contracts with an estimated construction cost of $250,000 or greater. All submittals must include a completed DHR Form PC-2.

5.0 Bid Bonds

Bid bonds are not required for small projects or Level 1 and 2 emergency projects.

Bid bonds are required for Level 3 emergency projects.


Provisions of the Standard Documents for Construction (SDC) apply to all small or emergency projects unless modified by the contract documents, including this document.

7.0 Pre-Award Requirements listed below:

7.1 Insurance

Unless stated otherwise in the proposal package, SDC insurance provisions do not apply. Contractors must only submit proof of current insurance coverage for commercial general liability, automobile liability, and workmen’s compensation, with the proposal. Proof of coverage may be a certificate of insurance or a letter on the insurance company or agent’s letterhead. If builder’s risk insurance is required, it will be indicated on the Proposal/Contract/Notice of Award form. For Level 3 Emergency projects, SDC insurance provisions apply.

Page 3

7.2 Bonds Required

A Performance Bond and a Labor and Material Payment Bond are required in the amount of the contract if the contract is over $50,000. For Level 1 emergency contracts over $50,000, lien waivers may be substituted for bonds. CDB bond forms will be furnished with the Proposal/Contract/Notice of Award form. [Note: Bonds are required even if the contract is for materials or equipment only.] Contractors must submit with the Proposal a letter from a bonding company (on letterhead) stating the bonds will be issued if the firm is awarded the contract.


Small Projects - Proposal modifications (if timely and do not disclose the proposal price), proof of insurance and the bonding company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days.

Emergency Projects -

a. For Level 1 Emergencies:Proposals, proposal modifications, and proof of insurance, and the bond company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days.

b. For Level 2 Emergencies:Proof of insurance and the bonding company letter of intent may be submitted by fax, provided that CDB receives the originals within 5 calendar days. Proposals cannot be submitted by fax. Proposal modifications, if timely and if they do not disclose the proposal price, may be submitted by fax, provided CDB receives the originals within 5 calendar days.

c. For Level 3 Emergencies:Proposal modifications (if timely and do not disclose the proposal price) may be submitted by fax provided that CDB receives the originals within 5 calendar days.



1) Disclosure Form A, entitled Disclosures, Financial Interests and Potential Conflicts of Interests;2) Disclosure Form B, entitled Disclosures, Other Contract and Procurement Related Information;

and3) Disclosure Form C, entitled Updated Disclosure Information.

Financial disclosure forms are not required for contracts that are $10,000 or less. All prequalified contractors have disclosure forms A and B on file with CDB. For contracts over $10,000 a financial disclosure update form (Form C) must be submitted with the proposal if the contractor is prequalified. .

Page 4


Contractors on small or emergency projects will not be given a separate written authorization to proceed.

Small projects:For contracts not exceeding $10,000, verbal authorization by the Project Manager will suffice, to be followed by a letter of acceptance. For contracts over $10,000, the Proposal/Contract/Notice of Award signed by the Executive Director will serve as the Authorization to Proceed.

Emergency projects:The Proposal/Contract/Notice of Award form signed by the Executive Director will serve as the Authorization to Proceed.

9.0 Payment

Small projects:Projects under $10,000 will be paid once, upon final completion. Projects over $10,000 may have one progress payment and one final payment, or as many as deemed necessary by the Project Manager.

Emergency projects:Projects that are projected by the architect/engineer to be completed in less than 6 months will have one payment at the completion. Projects projected by the architect/engineer to be completed in 6 months or more will have progress payments scheduled at intervals of one month or more.

Page 5

EMERGENCY PURCHASE AFFIDAVIT

This form must be filed with the Auditor General’s Office within 10 days of an emergency purchase.

Agency:

Division:

Address:

Vendor:

Address:

State of Illinois ) : SS County of Sangamon )

I, ___________________ , being duly sworn, solemnly (swear) (affirm) that:

▪ I am the Executive Director▪ I have authorized the expenditure of funds for an emergency.▪ This expenditure is justified as:

An emergency involving public health. An emergency involving public safety. Necessary to protect State property from further loss or damage. Necessary to prevent or minimize serious disruption in State services. Necessary to insure integrity of State records. Quick purchase as provided by Section 20-30 (d) of the Illinois Procurement Code.

▪ The conditions and circumstances requiring this emergency purchase are:

(Continue on other side if necessary)

▪ That the amount of this expenditure is $_____________________________ Actual or Estimated

(If an estimated cost is provided, the actual cost must be reported to the Auditor General as soon as it is known.)

▪ This affidavit is made pursuant to and in fulfillment of the emergency purchase affidavit provisions of the Illinois

Procurement Code [30 ILCS 500/20-30].

I know and understand the contents of this affidavit, and all statements herein are true and correct.

Signature of Affiant

Subscribed and sworn before me this ____________ day of _______________________, 20_____.

Notary Public

(Seal) My Commission expires:

Section 20-30. Emergency purchase.

Conditions for use. In accordance with standards set by rule, a purchasing agency may make emergency procurements without competitive sealed bidding or prior notice when there exists a threat to public health or public safety, or when immediate expenditure is necessary for repairs to State property in order to protect against further loss of or damage to State property, to prevent or minimize serious disruption in State services, or to ensure the integrity of State records. Emergency procurements shall be made with as much competition as is practicable under the circumstances. A written description of the basis for the emergency and reasons for the selection of the particular contractor shall be included in the contract file.

Notice. Before the next appropriate volume of the Illinois Procurement Bulletin, the purchasing agency shall publish in the Illinois Procurement Bulletin a copy of each written description and reasons and the total cost of each emergency procurement made during the previous month. When only an estimate of the total cost is known at the time of publication, the estimate shall be identified as an estimate and published. When the actual total cost is determined, it shall also be published in like manner before the 10th day of the next succeeding month.

Affidavits. A purchasing agency making a procurement under this Section shall file affidavits with the chief procurement officer and the Auditor General within 10 days after the procurement setting forth the amount expended, the name of the contractor involved, and the conditions and circumstances requiring the emergency procurement. When only an estimate of the cost is available within 10 days after the procurement, the actual cost shall be reported immediately after it is determined. At the end of each fiscal quarter, the Auditor General shall file with the Legislative Audit Commission and the Governor a complete listing of all emergency procurements reported during that fiscal quarter. The Legislative Audit Commission shall review the emergency procurements so reported and, in its annual reports, advise the General Assembly of procurements that appear to constitute an abuse of this Section.

Quick purchase. The chief procurement officer may promulgate rules extending the circumstances by which a purchasing agency may make purchases under this Section, including but not limited to the procurement of items available at a discount for a limited period of time. [30 ILCS 500/20-30]

For continuation, if necessary:

Manual for Small and Emergency Projects.doc

Documents

Transcript of Manual for Small and Emergency Projects.doc