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HomeMy WebLinkAboutRESOLUTION - 10-19 - 2/12/2019 - MWRD Agreement - Culvert improvements Louis AveRESOLUTION NO. 10-19 A RESOLUTION AUTHORIZING THE MAYOR TO EXECUTE AN INTERGOVERNMENTAL AGREEMENT BY AND BETWEEN THE VILLAGE OF ELK GROVE VILLAGE AND THE METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO FOR DESIGN, CONSTRUCTION, OPERATION AND MAINTENANCE OF CULVERT IMPROVEMENTS ALONG LOUIS AVENUE NOW, THEREFORE, BE IT RESOLVED by the Mayor and Board of Trustees of the Village of Elk Grove Village, Counties of Cook and DuPage, State of Illinois as follows: Section 1: That the Mayor be and is hereby authorized to sign the attached document marked: INTERGOVERNMENTAL AGREEMENT BY AND BETWEEN ELK GROVE VILLAGE AND THE METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO FOR DESIGN, CONSTRUCTION, OPERATION AND MAINTENANCE OF CULVERT IMPROVEMENTS ALONG LOUIS AVENUE a copy of which is attached hereto and made a part hereof as if fully set forth and the Village Clerk is authorized to attest said document upon the signature of the Mayor. Section 2: That this Resolution shall be in full force and effect from and after its passage and approval according to law. VOTE: AYES:4 NAYS:0 ABSENT:2 PASSED this 12th day of February 2019. APPROVED this 121h day of February 2019. APPROVED: Mayor Craig B. Johnson Village of Elk Grove Village ATTEST: Loretta M. Murphy, Village Clerk INTERGOVERNMENTAL AGREEMENT BY AND BETWEEN ELK GROVE VILLAGE AND THE METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO FOR DESIGN, CONSTRUCTION, OPERATION AND MAINTENANCE OF CULVERT IMPROVEMENTS ALONG LOUIS AVENUE THIS INTERGOVERNMENTAL AGREEMENT (hereinafter the "Agreement") entered into, by and between the Metropolitan Water Reclamation District of Greater Chicago, a unit of local government and body corporate and politic, organized and existing under the laws of the State of Illinois (hereinafter the "MWRDGC") and the Village of Elk Grove Village, a home rule unit of local government organized and existing under Article VII, Section 6 of the 1970 Constitution of the State of Illinois (hereinafter the "Village"). WITNESSETH: WHEREAS, on November 17, 2004, the Illinois General Assembly passed Public Act 093-1049 (hereinafter the "Act"); and WHEREAS, the Act declares that stormwater management in Cook County shall be under the general supervision of the MWRDGC; and WHEREAS, the Act, as amended on June 18, 2014 by Public Act 098-0652, specifically authorizes the MWRDGC to plan, implement, and finance local activities relating to stormwater management projects in Cook County; and WHEREAS, the Village is located within the boundaries of Cook County; and WHEREAS, pursuant to Article 11 of the Illinois Municipal Code, 65 ILCS 5/11, the Village has the authority to improve and maintain waterways and flood control structures within its corporate limits; and WHEREAS, the Village proposes to construct approximately 3000 feet of channel improvements within Higgins Creek Tributary A and to install approximately 930 feet of storm sewer in the Louis Avenue right-of-way in Elk Grove Village, Illinois for the public benefit of reducing flooding in the general area (the "Public Benefit"); and WHEREAS, the Village intends to perform the design, construction, operation and maintenance of the channel improvements and new storm sewer utilities, and intends to own those improvements (hereinafter referred to as the "Project"); and WHEREAS, the Village's proposed plans for the Project may be approached more effectively, economically, and comprehensively with the Village and MWRDGC cooperating and using their joint efforts and resources; and WHEREAS, the size and scope of this Project would be substantially reduced but for the MWRDGC's commitment of financial and technical resources; and WHEREAS, the Intergovernmental Cooperation Act, 5 ILCS 220/1 et seq., and Section 10 of Article VII of the Illinois Constitution, allow and encourage intergovernmental cooperation; and WHEREAS, on February 7, 2019, the MWRDGC's Board of Commissioners authorized the MWRDGC to enter into an intergovernmental agreement with the Village; and WHEREAS, on I , the Village's Board of Trustees authorized the Village to enter into an intergovernmental agreement with the MWRDGC; and NOW THEREFORE, in consideration of the matters set forth, the mutual covenants and agreements contained in this agreement and, for other good and valuable consideration, the Village and MWRDGC hereby agree as follows: Article 1. Incorporation of Recitals. The recitals set forth above are incorporated herein by reference and made a part hereof. Article 2. Scope of Work. 1. The work contemplated by this Agreement will include design and construction of channel improvements within Higgins Creek Tributary A and design, construction and installation of a new storm sewer in the Louis Avenue right-of-way in the Village (hereinafter the "Facilities"), as depicted on Exhibit 1. All work to design, construct, operate, and maintain the Facilities shall hereinafter be referred to as the "Project." 2 2. The Village, at its sole cost and expense, shall cause to be prepared construction drawings, specifications, and details (hereinafter "Construction Documents") for the Project. 3. The Project shall realize the Public Benefit of helping to alleviate flooding, located within the Project area of the Village, as shown in Exhibit 1. 4. The Village shall provide MWRDGC with a copy of 60% and 98% complete Construction Documents for MWRDGC's approval as to the Project's Public Benefit. 5. MWRDGC shall review and provide comments to the Village as to the Project's intended stormwater benefit to the public in writing within 30 calendar days of receipt of the 60% and 98% complete Construction Documents. The Village shall incorporate MWRDGC's review comments into the Construction Documents. 6. While the District will reimburse the Village for a portion of the Project, the Village bears sole responsibility for the overall cost, expense and payment for the Project. The Village shall construct the Project in accordance with the final Construction Documents. 7. To the extent practicable, the Village, its agents, contractors, or employees shall use District biosolids in any amendments performed to the soil of the Project area, including but not limited to, landscaping. Subject to availability, the District will provide the biosolids free of charge with the Village being required to pay for and make arrangements for transportation necessary to deliver the biosolids to the Project area. 8. The Village will publicly advertise the Project and publicly award all Project -related construction contracts to the lowest responsible bidder as determined by the Village. The Village shall consider and act in general accord with the applicable standards of MWRDGC's Purchasing Act, 70 ILCS 2605/11.1-11.24, (attached to this Agreement as Exhibits 2) when advertising and awarding the construction contracts. The Village shall also require a payment bond and performance bond for all Project -related construction contracts in general accord with the applicable standards of Exhibit 2. The Village may impose more stringent requirements than those contained in Exhibit 2 when awarding Project -related construction contracts, but in no event shall the Village's requirements fall below MWRDGC's applicable general standards. The Village need not include the attached 3 Exhibit 2 as part of its bid documents. However, the Village is responsible for ensuring that these applicable minimum requirements are met. 9. The Village agrees the Project is a "Covered Project" as defined in the District's Multi - Project Labor Agreement for Cook County ("MPLA") (attached to this Agreement as Exhibit 3). As such, the Village agrees to be obligated as the District would be in the MPLA and will ensure that the standards and requirements for "Covered Projects" will be met for the Project, as applicable. The Village may impose more stringent requirements than those contained in the MPLA when awarding Project -related construction contracts, but in no event shall the Village's requirements fall below the standards for "Covered Projects" detailed in it. The attached Exhibit 3 need not be included as part of the Project's bid documents, however, the Village is responsible for ensuring that its applicable minimum requirements are met. 10. The Village must comply with the applicable portions of District's Affirmative Action Requirements and Affirmative Action Ordinance (attached to this Agreement as Exhibit 4). Affirmative Action goals for the Project are: 20% of the total amount of reimbursement to be provided by MWRDGC for the Project for Minority -Owned Business Enterprises, 10% of the total amount of reimbursement to be provided by MWRDGC for the Project for Women -Owned Business Enterprises, and 10% of the total amount of reimbursement to be provided by MWRDGC for the Project for Small Business Enterprises. 11. The Village will comply with MWRDGC's Affirmative Action goals with respect to that portion of the cost of the Project for which MWRDGC has contributed funds. The determination as to whether the Village has complied with these Affirmative Action goals is solely in MWRDGC's discretion. If the Village fails to fully comply with these Affirmative Action goals, as determined by MWRDGC, MWRDGC may withhold payments to the Village up to or equal to the dollar amount by which the Village failed to meet the Affirmative Action goal(s). 12. MWRDGC will have the right to access and inspect, with reasonable notice, any records or documentation related to the Village's compliance with MWRDGC's Affirmative Action goals and requirements. E 13. In order to evidence compliance with MWRDGC's Affirmative Action Requirements, the Village must submit the following items to MWRDGC's Diversity Administrator prior to the start of construction: (1) a completed Utilization Plan, attached to this Agreement as Exhibit 5; and (2) a letter from a certifying agency that verifies the vendors' MBE/WBE/SBE status. Failure to timely submit a Utilization Plan or certifying letter may result in a payment delay and/or denial. 14. Every 30 days from the start of construction until its completion, the Village must submit to MWRDGC's Diversity Administrator the following: (1) an Affirmative Action Status Report ("Status Report") attached to this Agreement as Exhibit 6; (2) full or partial lien waivers from the participating MBE/WBE/SBE vendors, as applicable; and (3) proof of payment to the participating MBE/WBE/SBE vendors (e.g., canceled checks), as applicable. Failure to submit a Status Report and any supporting documentation may result in a payment delay and/or denial. 15. The Village shall comply with the Prevailing Wage Act, 820 ILCS 130/0.01 et seq. Current prevailing wage rates for Cook County are determined by the Illinois Department of Labor. The prevailing wage rates are available on the Illinois Department of Labor's official website. It is the responsibility of the Village to obtain and comply with any revisions to the rates should they change throughout the duration of the Agreement. 16. The Village, at its sole cost and expense, shall provide the final design of the Project, land acquisition and remediation, and construction oversight and administrative support for the Project. 17. The Village shall submit an Operation and Maintenance Plan (hereinafter the "O&M Plan") for MWRDGC's review and approval. The O&M Plan shall be included as part of the Agreement as Exhibit 7. At its sole cost and expense, the Village shall operate and maintain the Project in accordance with the O&M Plan. 18. MWRDGC shall reimburse the Village for 50% of the total construction cost of the Project, but in no event shall that amount exceed one million two hundred fifty thousand dollars ($1,250,000) (the "Maximum Reimbursement Amount"). All funding provided by 5 MWRDGC shall be exclusively to reimburse the Village for the construction of the Project. The Village will be responsible for securing funding or contributing its own funds for all costs necessary to construct the Project in accordance with the Construction Documents. For purposes of this Agreement, "construction" shall mean all work necessary to build the Project as depicted in the Construction Documents. The Village shall be solely responsible for change orders, overruns or any other increases in cost of the Project. MWRDGC shall disburse funds to Village in accordance with the following schedule: a. 25% at receipt of invoices for 25% completion of construction of the Facilities; b. 25% at receipt of invoices for 50% completion of construction of the Facilities; c. 25% at receipt of invoices for 75% completion of construction of the Facilities; and d. Subject to the Maximum Reimbursement Amount, the remaining amount necessary to cover 50% of the Project cost shall be paid upon receipt of invoices for final completion and after final inspection by the MWRDGC. The MWRDGC will only pay invoices submitted in strict accordance with this schedule. The Village shall submit invoices for the representative percentage of construction within thirty (30) days of meeting its respective completion percentage. 19. MWRDGC's Maximum Reimbursement Amount is based on the funding amount that MWRDGC's Board of Commissioners has approved and appropriated for purposes of this Agreement for the current fiscal year. Any additional funding from MWRDGC beyond the current fiscal year is subject to the approval of MWRDGC's Board of Commissioners. 20. As of the date the Village executed this Agreement, the Village has spent approximately $85,000 on engineering, property acquisition, and other design -related project costs. The Village will also contribute approximately $2,309,813 towards total Project costs, including design, acquisition, construction and construction inspection. 21. As a condition for reimbursement, the Village shall submit copies of construction invoices to MWRDGC for MWRDGC's review and approval, such approval not to be unreasonably withheld. 3 22. The Village shall return all finds provided by MWRDGC if construction of the Project is not completed in accordance with the Construction Documents within two (2) years of Village's initial award of a construction contract related to the Project, unless MWRDGC approves extension prior to the expiration of the two (2) year completion period; such approvals shall not be unreasonably withheld. Article 3. Permits and Fees 1. Federal, State, and County Requirements. The Village shall obtain all federal, state, county, and local permits required by law for the construction of the Project, and shall assume any costs in procuring said permits. Additionally, the Village shall obtain all consents and approvals required by federal, state, and/or county regulations for the construction of the Project, and shall assume any costs incurred in procuring all such consents and approvals. 2. Operation and Maintenance. The Village shall obtain any and all permits necessary for the performance of any operations or maintenance work associated with the improvements to be constructed by the Village in connection with the Project, and in accordance with Article 5 of this Agreement. Article 4. Property Interests 1. Prior to construction, the Village shall acquire any temporary or permanent easements, license agreements, or fee simple title as may be necessary for construction, maintenance, and access to the Project. Any property interests acquired by the Village must be consistent with MWRDGC's right to access the Project to conduct an inspection or perform maintenance as set out in Article 5. 2. Should acquisition of property interests via condemnation be necessary, the Village shall incur all associated costs, including purchase price and/or easement fee as well as any attorneys' fees. 3. The Village shall record all easements, licenses, or deeds acquired for the Project. 7 4. The Village shall own all of the improvements constructed for the Project. Nothing in this Agreement shall be construed as creating an ownership or property interest for MWRDGC in any part of the Project. Article 5. Maintenance 1. The Village, at its sole cost and expense, shall perpetually maintain the facilities, and any other associated appurtenances in accordance with the O&M plan approved by MWRDGC. 2. The Village shall conduct annual inspections to ensure adequate maintenance of the Project. The Village shall prepare a report detailing its annual inspection, observations, and conclusions including whether the Project is operating as designed, functioning, and providing the intended Public Benefit. The annual inspection report shall be stamped by a Professional Engineer licensed by the State of Illinois. The stamped annual inspection report shall be provided to MWRDGC within thirty (30) days of completion. 3. MWRDGC shall have the right (including any necessary right of access) to conduct its own annual inspection of the constructed Project upon reasonable notice to the Village. 4. In the event of failure of the Village to maintain the Project as described above to the satisfaction of MWRDGC, MWRDGC may issue a thirty (30) day written notice by certified or registered mail to the Village directing the Village to perform such maintenance. If maintenance has not been accomplished on or before thirty (30) days after such notice, MWRDGC may cause such maintenance to be performed and the Village shall pay MWRDGC the entire cost MWRDGC incurred to perform the required maintenance. 5. In the event of failure of the Village to maintain or operate the Project to provide the intended public benefit, MWRDGC may demand that some or all of the funding it provided under this Agreement be returned to MWRDGC. 6. In performing its obligations under this Article, the Village shall comply with all access restrictions and notice requirements set forth in the easements, licenses, or deeds recorded pursuant to Article 4 of this Agreement. 0 Article 6. Notification 1. Bid Advertisement. The Village will provide MWRDGC with thirty (30) days' notice prior to Bid Advertisement for the Project. 2. Construction. The Village shall provide MWRDGC with a construction schedule and provide MWRDGC a minimum of seventy-two (72) hours' notice before the following project milestones: • Start of work • Substantial completion • Completion of work Article 7. Termination by the Village Prior to commencement of construction of the Project, the Village may, at its option, and upon giving notice to MWRDGC in the manner provided in Article 25 below, terminate this Agreement as it pertains to the entire Project. The Village shall return all Project -related funds received from MWRDGC no later than fourteen (14) days following its termination of the Agreement. Article 8. Termination by MWRDGC Prior to Bid Advertisement of the Project, MWRDGC may, at its option, and upon giving notice to the Village in the manner provided in Article 25 below, terminate this Agreement as it pertains to the entire Project. Article 9. Effective Date This Agreement becomes effective on the date that the last signature is affixed hereto. Article 10. Duration Subject to the terms and conditions of Articles 7 and 8 above, this Agreement shall remain in full force and effect for perpetuity. 9 Article 11. Non -Assignment Neither Party may assign its rights or obligations hereunder without the written consent of the other Party. Article 12. Waiver of Personal Liability No official, employee, or agent of either Party to this Agreement shall be charged personally by the other Party with any liability or expenses of defense incurred as a result of the exercise of any rights, privileges, or authority granted herein, nor shall he or she be held personally liable under any term or provision of this Agreement, or because of a Party's execution or attempted execution of this Agreement, or because of any breach of this Agreement. Article 13. Indemnification The Village shall defend, indemnify, and hold harmless MWRDGC, its Commissioners, officers, employees, and other agents ("the MWRDGC Party") from liabilities of every kind, including losses, damages and reasonable costs, payments and expenses (such as, but not limited to, court costs and reasonable attorney fees and disbursements), claims, demands, actions, suits, proceedings, judgments, or settlements, any or all of which are asserted by any individual, private entity, or public entity against MWRDGC Party and arise out of or are in any way related to: (1) design, construction, or maintenance of the Project that is the subject of this Agreement; or (2) the exercise of any right, privilege, or authority granted to the Village under this Agreement. Article 14. Representations of the Village/City The Village covenants, represents, and warrants as follows: 1. The Village has full authority to execute, deliver, and perform or cause to be performed this Agreement; and 2. The individuals signing this Agreement and all other documents executed on behalf of the Village are duly authorized to sign same on behalf of and to bind the Village; and 3. The execution and delivery of this Agreement, consummation of the transactions provided for herein, and the fulfillment of the terms hereof will not result in any breach of any of the terms or provisions of or constitute a default under any agreement of the Village or any instrument to which the Village is bound or any judgment, decree, or order of any court or governmental body or any applicable law, rule, or regulation; and 4. The Village has allocated $2,309,813 in funds for this Project, which are separate from and in addition to the funds to be provided by MWRDGC under this Agreement. Article 15. Representations of MWRDGC MWRDGC covenants, represents, and warrants as follows: 1. MWRDGC has full authority to execute, deliver, and perform or cause to be performed this Agreement; and 2. The individuals signing this Agreement and all other documents executed on behalf of MWRDGC are duly authorized to sign same on behalf of and to bind MWRDGC; and 3. The execution and delivery of this Agreement, consummation of the transactions provided for herein, and the fulfillment of the terms hereof will not result in any breach of any of the terms or provisions of or constitute a default under any agreement of MWRDGC or any instrument to which MWRDGC is bound or any judgment, decree, or order of any court or governmental body or any applicable law, rule, or regulation. Article 16. Disclaimers This Agreement is not intended, nor shall it be construed, to confer any rights, privileges, or authority not permitted by Illinois law. Nothing in this Agreement shall be construed to establish a contractual relationship between MWRDGC and any party other than the Village. Article 17. Waivers Whenever a Party to this Agreement by proper authority waives the other Party's performance in any respect or waives a requirement or condition to performance, the waiver so granted, whether express or implied, shall only apply to the particular instance and shall not be deemed a waiver for subsequent instances of the performance, requirement, or condition. No such waiver shall be construed as a modification of this Agreement regardless of the number of times the performance, requirement, or condition may have been waived. Article 18. Severability If any provision of this Agreement is held to be invalid, illegal, or unenforceable, such invalidity, illegality, or unenforceability will not affect any other provisions of this Agreement, and this Agreement will be construed as if such invalid, illegal, or unenforceable provision has never been contained herein. The remaining provisions will remain in full force and will not be affected by the invalid, illegal, or unenforceable provision or by its severance. In lieu of such illegal, invalid, or unenforceable provision, there will be added automatically as part of this Agreement a provision as similar in its terms to such illegal, invalid, or unenforceable provision as may be possible and be legal, valid, and enforceable. Article 19. Necessary Documents Each Party agrees to execute and deliver all further documents, and take all further action reasonably necessary to effectuate the purpose of this Agreement. Upon the completion of the Project, the Village shall provide MWRDGC with a full sized copy of "As -Built" drawings for the Project. The drawings shall be affixed with the "As -Built" printed mark and must be signed by both the Village resident engineer and the contractor. Article 20. Deemed Inclusion Provisions required (as of the effective date) by law, ordinances, rules, regulations, or executive orders to be inserted in this Agreement are deemed inserted in this Agreement whether or not they appear in this Agreement or, upon application by either Party, this Agreement will be amended to make the insertions. However, in no event will the failure to insert such provisions before or after this Agreement is signed prevent its enforcement. 12 Article 21. Entire Agreement This Agreement, and any exhibits or riders attached hereto, shall constitute the entire agreement between the Parties. No other warranties, inducements, considerations, promises, or interpretations shall be implied or impressed upon this Agreement that are not expressly set forth herein. Article 22. Amendments This Agreement shall not be amended unless it is done so in writing and signed by the authorized representatives of both Parties. Article 23. References to Documents All references in this Agreement to any exhibit or document shall be deemed to include all supplements and/or authorized amendments to any such exhibits or documents to which both Parties hereto are privy. Article 24. Judicial and Administrative Remedies The Parties agree that this Agreement and any subsequent Amendment shall be governed by, and construed and enforced in accordance with, the laws of the State of Illinois in all respects, including matters of construction, validity, and performance. The Parties further agree that the proper venue to resolve any dispute which may arise out of this Agreement is the appropriate Court of competent jurisdiction located in Cook County, Illinois. The rights and remedies of MWRDGC or the Village shall be cumulative, and election by MWRDGC or the Village of any single remedy shall not constitute a waiver of any other remedy that such Party may pursue under this Agreement. Article 25. Notices Unless otherwise stated in this Agreement, any and all notices given in connection with this Agreement shall be deemed adequately given only if in writing and addressed to the Party for whom such notices are intended at the address set forth below. All notices shall be sent by 13 personal delivery, UPS, Fed Ex or other overnight messenger service, first class registered or certified mail, postage prepaid, return receipt requested, by facsimile, or by electronic mail. A written notice shall be deemed to have been given to the recipient Party on the earlier of (a) the date it is hand -delivered to the address required by this Agreement; (b) with respect to notices sent by mail, two days (excluding Sundays and federal holidays) following the date it is properly addressed and placed in the U.S. Mail, with proper postage prepaid; (c) with respect to notices sent by facsimile, on the date sent, if sent to the facsimile number(s) set forth below and upon proof of delivery as evidenced by the sending fax machine; (d) with respect to notices sent electronically by email, on the date of notification of delivery receipt, if delivery was during normal business hours of the recipient, or on the next business day, if delivery was outside normal business hours of the recipient. The name of this Agreement i.e., "INTERGOVERNMENTAL AGREEMENT BY AND BETWEEN THE VILLAGE OF ELK GROVE VILLAGE AND THE METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO FOR DESIGN, CONSTRUCTION OPERATION AND MAINTENANCE OF LOUIS AVENUE DRAINAGE IMPROVEMENTS" must be prominently featured in the heading of all notices sent hereunder. Any and all notices referred to in this Agreement, or that either Party desires to give to the other, shall be addressed as set forth in Article 26, unless otherwise specified and agreed to by the Parties. Article 26. Representatives Immediately upon execution of this Agreement, the following individuals will represent the Parties as a primary contact and receipt of notice in all matters under this Agreement. For the MWRDGC: Director of Engineering Metropolitan Water Reclamation District of Greater Chicago 100 East Erie Street Chicago, Illinois 60611 Phone: (312) 751-7905 Fax: (312)751-5681 Email: oconnorc@mwrd.org For the Village: Village Manager 901 Wellington Avenue Elk Grove Village, Illinois 60007 Phone: (847)357-4000 Fax: (847)357-4022 Email: 14 Each Party agrees to promptly notify the other Party of any change in its designated representative, which notice shall include the name, address, telephone number, fax number, and email address of the representative for such Party for the purpose hereof. Article 27. Interpretation and Execution 1. The Parties agree that this Agreement shall not be construed against a Party by reason of who prepared it. 2. Each Party agrees to provide a certified copy of the ordinance, bylaw, or other authority demonstrating that the person(s) signing this Agreement is/are authorized to do so and that this Agreement is a valid and binding obligation of the Party. 3. The Parties agree that this Agreement shall be executed in quadruplicate. IN WITNESS WHEREOF, the Metropolitan Water Reclamation District of Greater Chicago and the Village of Elk Grove Village, the parties hereto, have each caused this Agreement to be executed by their duly authorized officers, duly attested and their seals hereunto affixed. ATTEST: Loretta M. Murphy, Village Clerk Date: VILLAGE OF ELK GROVE VILLAGE M. Date: Craig B. Johnson, Mayor 15 METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO Chairman of the Committee on Finance Date Executive Director Date ATTEST: Clerk Date APPROVED AS TO ENGINEERING, OPERATIONS, AND TECHNICAL MATTERS: Engineer of Stormwater Management Date Assistant Director of Engineering Date Director of Engineering Date APPROVED AS TO FORM AND LEGALITY: Head Assistant Attorney Date General Counsel Date UM EXHIBIT 1 Project Vicinity Map / Conceptual Drawing E FALCON DR W WILWW,LN.I + y ci - DESRA DR Y-Nw: PFfEASAA T TRt W IfAYtLEAS RD S LN w C{ITf DN1� —^Z LANCE DR AMBLE — A i M gt`MPSTEA ST�. z DE 1 J DR �'S7 , $ CRISS CAR W JAMES D � t �Cr '\W0AWMN3T�1` i CfAIr.wv sr � � o© cry o 00 00 s ©0 ©0 WtLLE RD VE t fir a u C'r A 4 � t p „a LAN 71VE �� , 1' = - - PROJECT LOCATION TOONYAVE ESiES A ELK GROVEi AFA [�REFNLF.I/� t� ���V41 — , "l VILI�A�GE - � o �� -, �- - t' W ypP, WwAVE _ SOURCE: Elk Grove Village ARLINGTON HEIGHTS QUADRANGLE (2012) PROJECT LOCATION: Business Park Drainage Projects Culvert Improvement - Louis Avenue SECTION 27, TOWNSHIP 41N, RANGE 11E LATITUDE: 42.02960 N LOCATION MAP LONGITUDE: 87.97619 W EXHIBIT 2 MWRDGC Purchasing Act (70 ILCS 2605/11.1) (from Ch. 42, par. 331.1) Sec. 11.1. Sections 11.1 through 11.24 of this amendatory Act of 1963 shall be known and may be cited as the "Purchasing Act for the Metropolitan Sanitary District of Greater Chicago." (Source: P.A. 82-1046.) (70 ILCS 2605/11.2) (from Ch. 42, par. 331.2) Sec. 11.2. In addition to all the rights, powers, privileges, duties and obligations conferred thereon in "An Act to create sanitary districts and to remove obstructions in the Des Plaines and Illinois rivers", approved May 29, 1889, as amended, the Metropolitan Sanitary District of Greater Chicago shall have the rights, powers and privileges and shall be subject to the duties and obligations conferred thereon by this amendatory Act of 1963. (Source: Laws 1963, p. 2498.) (70 ILCS 2605/11.3) (from Ch. 42, par. 331.3) Sec. 11.3. Except as provided in Sections 11.4 and 11.5, all purchase orders or contracts involving amounts in excess of the mandatory competitive bid threshold and made by or on behalf of the sanitary district for labor, services or work, the purchase, lease or sale of personal property, materials, equipment or supplies, or the granting of any concession, shall be let by free and open competitive bidding after advertisement, to the lowest responsible bidder or to the highest responsible bidder, as the case may be, depending upon whether the sanitary district is to expend or receive money. All such purchase orders or contracts which shall involve amounts that will not exceed the mandatory competitive bid threshold, shall also be let in the manner prescribed above whenever practicable, except that after solicitation of bids, such purchase orders or contracts may be let in the open market, in a manner calculated to insure the best interests of the public. The provisions of this section are subject to any contrary provisions contained in "An Act concerning the use of Illinois mined coal in certain plants and institutions", filed July 13, 1937, as heretofore and hereafter amended. For purposes of this Section, the "mandatory competitive bid threshold" is a dollar amount equal to 0.1% of the total general fixed assets of the district as reported in the most recent required audit report. In no event, however, shall the mandatory competitive bid threshold dollar amount be less than $10,000 or more than $40,000. Notwithstanding the provisions of this Section, the sanitary district is expressly authorized to establish such procedures as it deems appropriate to comply with state or federal regulations as to affirmative action and the utilization of small and minority businesses in construction Version 2-1-16 and procurement contracts. (Source: P.A. 92-195, eff. 1-1-02.) (70 ILCS 2605/11.4) (from Ch. 42, par. 331.4) Sec. 11.4. Contracts which by their nature are not adapted to award by competitive bidding, such as, but not only, contracts for the services of individuals possessing a high degree of professional skill where the ability or fitness of the individual plays an important part, contracts for the purchase or sale of utilities and contracts for materials economically procurable only from a single source of supply and leases of real property where the sanitary district is the lessee shall not be subject to the competitive bidding requirements of this Act. The sanitary district is expressly authorized to procure from any federal, state or local governmental unit or agency such surplus materials, as may be made available without conforming to the competitive bidding requirements of this Act. Regular employment contracts, whether classified in civil service or not, shall not be subject to the competitive bidding requirements of this Act. (Source: Laws 1963, p. 2498.) (70 ILCS 2605/11.5) (from Ch. 42, par. 331.5) Sec. 11.5. In the event of an emergency affecting the public health or safety, so declared by action of the board of trustees, which declaration shall describe the nature of the injurious effect upon the public health or safety, contracts may be let to the extent necessary to resolve such emergency without public advertisement. The declaration shall fix the date upon which such emergency shall terminate. The date may be extended or abridged by the board of trustees as in its judgment the circumstances require. The executive director appointed in accordance with Section 4 of this Act shall authorize in writing and certify to the director of procurement and materials management those officials or employees of the several departments of the sanitary district who may purchase in the open market without filing a requisition or estimate therefor, and without advertisement, any supplies, materials, equipment or services, for immediate delivery to meet bona fide operating emergencies where the amount thereof is not in excess of $50,000; provided, that the director of procurement and materials management shall be notified of such emergency. A full written account of any such emergency together with a requisition for the materials, supplies, equipment or services required therefor shall be submitted immediately by the requisitioning agent to the executive director and such report and requisition shall be submitted to the director of procurement and materials management and shall be open to public inspection for a period of at least one year subsequent to the Version 2-1-16 date of such emergency purchase. The exercise of authority in respect to purchases for such bona fide operating emergencies shall not be dependent upon a declaration of emergency by the board of trustees under the first paragraph of this Section. (Source: P.A. 95-923, eff. 1-1-09; 96-165, eff. 8-10-09.) (70 ILCS 2605/11.6) (from Ch. 42, par. 331.6) Sec. 11.6. The head of each department shall notify the director of procurement and materials management of those officers and employees authorized to sign requests for purchases. Requests for purchases shall be void unless executed by an authorized officer or employee and approved by the director of procurement and materials management. Requests for purchases may be executed, approved and signed manually or electronically. Officials and employees making requests for purchases shall not split or otherwise partition for the purpose of evading the competitive bidding requirements of this Act, any undertaking involving amounts in excess of the mandatory competitive bid threshold. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.7) (from Ch. 42, par. 331.7) Sec. 11.7. All proposals to award purchase orders or contracts involving amounts in excess of the mandatory competitive bid threshold shall be published at least 12 calendar days in advance of the date announced for the receiving of bids, in a secular English language newspaper of general circulation in said sanitary district and shall be posted simultaneously on readily accessible bulletin boards in the principal office of the sanitary district. Nothing contained in this section shall be construed to prohibit the placing of additional advertisements in recognized trade journals. Advertisements for bids shall describe the character of the proposed contract or agreement in sufficient detail either in the advertisement itself or by reference to plans, specifications or other detail on file at the time of publication of the first announcement, to enable the bidders to know what their obligation will be. The advertisement shall also state the date, time and place assigned for the opening of bids. No bids shall be received at any time subsequent to the time indicated in the announcement; however, an extension of time may be granted for the opening of such bids upon publication in the same newspaper of general circulation in said sanitary district stating the date to which bid opening has been extended. The time of the extended bid opening shall not be less than 5 days after publication, Sundays and legal holidays excluded. Cash, cashier's check or a certified check payable to the clerk and drawn upon, a bank, as a deposit of good faith, in a Version 2-1-16 reasonable amount not in excess of 10° of the contract amount, may be required of each bidder by the director of procurement and materials management on all bids involving amounts in excess of the mandatory competitive bid threshold. If a deposit is required, the advertisement for bids shall so specify. Instead of a deposit, the director of procurement and materials management may allow the use of a bid bond if the bond is issued by a surety company that is listed in the Federal Register and is authorized to do business in the State of Illinois. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.8) (from Ch. 42, par. 331.8) Sec. 11.8. Any agreement or collusion among bidders or prospective bidders in restraint of freedom of competition by agreement to bid a fixed price, or otherwise, shall render the bids of such bidder void. Each bidder shall accompany his bid with a sworn statement, or otherwise swear or affirm, that he has not been a party to any such agreement or collusion. Any disclosure in advance of the opening of bids, on the terms of the bids submitted in response to an advertisement, made or permitted by the director of procurement and materials management or any officer or employee of said sanitary district shall render the proceedings void and shall require re -advertisement and re -award. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.9) (from Ch. 42, par. 331.9) Sec. 11.9. All sealed bids shall be publicly opened by the director of procurement and materials management, or his designee, and such bids shall be open to public inspection for a period of at least 48 hours before award is made; provided, this provision shall not apply to the sale of bonds, tax anticipation warrants or other financial obligations of the sanitary district. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.10) (from Ch. 42, par. 331.10) Sec. 11.10. Every contract or purchase order involving amounts in excess of the mandatory competitive bid threshold shall be signed by the president or other duly authorized officer of the board of commissioners, by the executive director, by the clerk and by the director of procurement and materials management. Each bid with the name of the bidder shall be entered upon a record which shall be open to public inspection in the office of the director of procurement and Version 2-1-16 materials management. After the award is made, the bids shall be entered in the official records of the board of commissioners. All purchase orders or contracts involving amounts that will not exceed the mandatory competitive bid threshold shall be let by the director of procurement and materials management. They shall be signed by the director of procurement and materials management and the clerk. All records pertaining to such awards shall be open to public inspection for a period of at least one year subsequent to the date of the award. An official copy of each awarded purchase order or contract together with all necessary attachments thereto, including assignments and written consent of the director of procurement and materials management shall be retained by the director of procurement and materials management in an appropriate file open to the public for such period of time after termination of contract during which action against the municipality might ensue under applicable laws of limitation. Certified copies of all completed contracts and purchase orders shall be filed with the clerk. After the appropriate period, purchase orders, contracts and attachments in the clerk's possession may be destroyed by direction of the director of procurement and materials management. The provisions of this Act are not applicable to joint purchases of personal property, supplies and services made by governmental units in accordance with Sections 1 through 5 of "An Act authorizing certain governmental units to purchase personal property, supplies and services jointly," approved August 15, 1961. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.11) (from Ch. 42, par. 331.11) Sec. 11.11. In determining the responsibility of any bidder, the director of procurement and materials management may take into account, in addition to financial responsibility, past records of transactions with the bidder, experience, adequacy of equipment, ability to complete performance within a specific time and other pertinent factors, including but not limited to whether the equipment or material is manufactured in North America. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.12) (from Ch. 42, par. 331.12) Sec. 11.12. Any and all bids received in response to an advertisement may be rejected by the director of procurement and materials management if the bidders are not deemed responsible, or the character or quality of the services, supplies, materials, equipment or labor do not conform to requirements, or if the public interest may be better served Version 2-1-16 thereby. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.13) (from Ch. 42, par. 331.13) Sec. 11.13. Bond, with sufficient sureties, in such amount as shall be deemed adequate by the director of procurement and materials management not only to insure performance of the contract in the time and manner specified in said contract but also to save, indemnify and keep harmless the sanitary district against all liabilities, judgments, costs and expenses which may in anywise accrue against said sanitary district in consequence of the granting of the contract or execution thereof shall be required for all contracts relative to construction, rehabilitation or repair of any of the works of the sanitary district and may be required of each bidder upon all other contracts in excess of the mandatory competitive bid threshold when, in the opinion of the director of procurement and materials management, the public interest will be better served thereby. In accordance with the provisions of "An Act in relation to bonds of contractors entering into contracts for public construction", approved June 20, 1931, as amended, all contracts for construction work, to which the sanitary district is a party, shall require that the contractor furnish bond guaranteeing payment for materials and labor utilized in the contract. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.14) (from Ch. 42, par. 331.14) Sec. 11.14. No contract to which the sanitary district is a party shall be assigned by the successful bidder without the written consent of the director of procurement and materials management. In no event shall a contract or any part thereof be assigned to a bidder who has been declared not to be a responsible bidder in the consideration of bids submitted upon the particular contract. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.15) (from Ch. 42, par. 331.15) Sec. 11.15. No person shall be employed upon contracts for work to be done by any such sanitary district unless he or she is a citizen of the United States, a national of the United States under Section 1401 of Title 8 of the United States Code, an alien lawfully admitted for permanent residence under Section 1101 of Title 8 of the United States Code, an individual who has been granted asylum under Section 1158 of Version 2-1-16 Title 8 of the United States Code, or an individual who is otherwise legally authorized to work in the United States. (Source: P.A. 98-280, eff. 8-9-13; 99-231, eff. 8-3-15.) (70 ILCS 2605/11.16) (from Ch. 42, par. 331.16) Sec. 11.16. The executive director, with the advice and consent of the board of trustees, shall appoint the director of procurement and materials management. Any person appointed as the director of procurement and materials management must have served at least 5 years in a responsible executive capacity requiring knowledge and experience in large scale purchasing activities. In making the appointment, the president shall appoint an advisory committee consisting of 5 persons, one of whom shall be the executive director, which advisory board shall submit not fewer than 3 names to the general superintendent for the appointment. The executive director shall make the appointment from nominees submitted by the Advisory Committee after giving due consideration to each nominee's executive experience and his ability to properly and effectively discharge the duties of the director of procurement and materials management. The director of procurement and materials management may be removed for cause by the executive director. He is entitled to a public hearing before the executive director prior to such anticipated removal. The director of procurement and materials management is entitled to counsel of his own choice. The executive director shall notify the board of trustees of the date, time, place and nature of each hearing and he shall invite the board to appear at each hearing. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.17) (from Ch. 42, par. 331.17) Sec. 11.17. Powers of director of procurement and materials management. The director of procurement and materials management shall: (a) adopt, promulgate and from time to time revise rules and regulations for the proper conduct of his office; (b) constitute the agent of the sanitary district in contracting for labor, materials, services, or work, the purchase, lease or sale of personal property, materials, equipment or supplies in conformity with this Act; (c) open all sealed bids; (d) determine the lowest or highest responsible bidder, as the case may be; (e) enforce written specifications describing standards established pursuant to this Act; (f) operate or require such physical, chemical or other tests as may be necessary to insure conformity to such specifications with respect to quality of materials; (g) exercise or require such control as may be necessary to insure conformity to contract provisions with respect to quantity; (h) distribute or cause to be distributed, to the various requisitioning agencies of such Version 2-1-16 sanitary district such supplies, materials or equipment, as may be purchased by him; (i) transfer materials, supplies, and equipment to or between the various requisitioning agencies and to trade in, sell, donate, or dispose of any materials, supplies, or equipment that may become surplus, obsolete, or unusable; except that materials, supplies, and equipment may be donated only to not -for -profit institutions; (j) control and maintain adequate inventories and inventory records of all stocks of materials, supplies and equipment of common usage contained in any central or principal storeroom, stockyard or warehouse of the sanitary district; (k) assume such related activities as may be assigned to him from time to time by the board of trustees; and (m) submit to the board of trustees an annual report describing the activities of his office. The report shall be placed upon the official records of the sanitary district or given comparable public distribution. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.18) (from Ch. 42, par. 331.18) Sec. 11.18. The board of trustees is expressly authorized to establish a revolving fund to enable the director of procurement and materials management to purchase items of common usage in advance of immediate need. The revolving fund shall be reimbursed from appropriations of the using agencies. No officer or employee of a sanitary district organized pursuant to this Act shall be financially interested, directly or indirectly, in any bid, purchase order, lease or contract to which such sanitary district is a party. For purposes of this Section an officer or employee of the sanitary district is deemed to have a direct financial interest in a bid, purchase order, lease or contract with the district, if the officer or employee is employed by the district and is simultaneously employed by a person or corporation that is a party to any bid, purchase order, lease or contract with the sanitary district. Any officer or employee convicted of a violation of this section shall forfeit his office or employment and in addition shall be guilty of a Class 4 felony. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.19) (from Ch. 42, par. 331.19) Sec. 11.19. No department, office, agency or instrumentality, officer or employe of the sanitary district, shall be empowered to execute any purchase order or contract except as expressly authorized by this Act. (Source: Laws 1963, p. 2498.) Version 2-1-16 (70 ILCS 2605/11.19a) (from Ch. 42, par. 331.19a) Sec. 11.19a. Purchases made pursuant to this Act shall be made in compliance with the "Local Government Prompt Payment Act", approved by the Eighty-fourth General Assembly. (Source: P.A. 84-731.) (70 ILCS 2605/11.20) (from Ch. 42, par. 331.20) Sec. 11.20. There shall be a board of standardization, composed of the director of procurement and materials management of the sanitary district who shall be chairman, and 4 other members who shall be appointed by the president of the board of trustees of the sanitary district. The members shall be responsible heads of a major office or department of the sanitary district and shall receive no compensation for their services on the board. The board shall meet at least once each 3 calendar months upon notification by the chairman at least 5 days in advance of the date announced for such meeting. Official action of the board shall require the vote of a majority of all members of the board. The chairman shall cause to be prepared a report describing the proceedings of each meeting. The report shall be transmitted to each member and shall be made available to the president and board of trustees of such sanitary district within 5 days subsequent to the date of the meeting and all such reports shall be open to public inspection, excluding Sundays and legal holidays. The board of standardization shall: (a) classify the requirements of the sanitary district, including the departments, offices and other boards thereof, with respect to supplies, materials and equipment; (b) adopt as standards, the smallest numbers of the various qualities, sizes and varieties of such supplies, materials and equipment as may be consistent with the efficient operation of the sanitary district; and (c) prepare, adopt, promulgate, and from time to time revise, written specifications describing such standards. Specifications describing in detail the physical, chemical and other characteristics of supplies, material or equipment to be acquired by purchase order or contract shall be prepared by the board of standardization. However, all specifications pertaining to the construction, alteration, rehabilitation or repair of any real property of such sanitary district shall be prepared by the engineering agency engaged in the design of such construction, alteration, rehabilitation or repair, prior to approval by the director of procurement and materials management. The specification shall form a part of the purchase order or contract, and the performance of all such contracts shall be supervised by the engineering agency designated in the contracts. In the preparation or revision of standard specifications the board of standardization shall solicit the advice, assistance and cooperation of the several requisitioning agencies and shall be empowered to consult such public or non- public laboratory or technical services as may be deemed expedient. After adoption, each standard specification shall, Version 2-1-16 until rescinded, apply alike in terms and effect to every purchase order or contract for the purchase of any commodity, material, supply or equipment. The specifications shall be made available to the public upon request. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.21) (from Ch. 42, par. 331.21) Sec. 11.21. Official ordinances authorized by this Act shall be adopted by formal action of the board of trustees of the sanitary district and shall be published for the information of the public. (Source: Laws 1963, p. 2498.) (70 ILCS 2605/11.22) (from Ch. 42, par. 331.22) Sec. 11.22. Any purchase order or contract executed in violation of this Act shall be null and void. Public funds which have been expended thereon, may be recovered in the name of the sanitary district in any court of competent jurisdiction. (Source: Laws 1963, p. 2498.) (70 ILCS 2605/11.23) (from Ch. 42, par. 331.23) Sec. 11.23. The comptroller of the sanitary district shall conduct audits of all expenditures incident to all purchase orders and contracts awarded by the director of procurement and materials management. The comptroller shall report the results of such audits to the president and board of trustees. (Source: P.A. 95-923, eff. 1-1-09.) (70 ILCS 2605/11.24) (from Ch. 42, par. 331.24) Sec. 11.24. (a) A person or business entity shall be disqualified from doing business with The Metropolitan Sanitary District of Greater Chicago for a period of 5 years from the date of conviction or entry of a plea or admission of guilt, if that person or business entity: 1. has been convicted of an act of bribery or attempting to bribe an officer or employee of the federal government or of a unit of any state or local government or school district in that officer's or employee's official capacity; or 2. has been convicted of an act of bid -rigging or attempting to rig bids as defined in the Federal Sherman Anti -Trust Act and Clayton Act; or Version 2-1-16 3. has been convicted of bid -rigging or attempting to rig bids under the laws of the State of Illinois or any other state; or 4. has been convicted of an act of price-fixing or attempting to fix prices as defined by the Federal Sherman Anti -Trust Act and Clayton Act; or 5. has been convicted of price-fixing or attempting to fix prices under the laws of the State of Illinois or any other state; or 6. has been convicted of defrauding or attempting to defraud the Federal government or a unit of any state or local government or school district; or 7. has made an admission of guilt of such conduct as set forth in subsections 1 through 6 above, which admission is a matter of record, whether or not such person or business entity was subject to prosecution for the offense or offenses admitted to; or 8. has entered a plea of nolo contendere to charges of bribery, price-fixing, bid -rigging, or fraud as set forth in subsections 1 through 6 above. (b) "Business entity" as used in this section means a corporation, partnership, trust, association, unincorporated business or individually owned business. (c) A business entity shall be disqualified if the following persons are convicted of, have made an admission of guilt, or enter a plea of nolo contendere to a disqualifying act described in paragraph (a), subsections 1 through 6, regardless of whether or not the disqualifying act was committed on behalf or for the benefit of such business entity: (1) a person owning or controlling, directly or indirectly, 20% or more of its outstanding shares; or (2) a member of its board of directors; or (3) an agent, officer or employee of such business entity. (d) Disqualification Procedure. After bids are received, whether in response to a solicitation for bids or public advertising for bids, if it shall come to the attention of the director of procurement and materials management that a bidder has been convicted, made an admission of guilt, a plea of nolo contendere, or otherwise falls within one or more of the categories set forth in paragraphs (a), (b) or (c) of this Section, the director of procurement and materials management shall notify the bidder by certified mail, return receipt requested, that such bidder is disqualified from doing business with the Sanitary District. The notice shall specify the reasons for disqualification. (e) Review Board. A review board consisting of 3 individuals shall be appointed by the Executive Director of the Sanitary District. The board shall select a chairman from its own members. A majority of the members shall constitute a quorum and all matters coming before the board shall be determined by a majority. All members of the review board shall serve without compensation, but shall be reimbursed actual expenses. (f) Review. The director of procurement and materials management's determination of disqualification shall be final Version 2-1-16 as of the date of the notice of disqualification unless, within 10 calendar days thereafter, the disqualified bidder files with the director of procurement and materials management a notice of appeal. The notice of appeal shall specify the exceptions to the director of procurement and materials management's determination and shall include a request for a hearing, if one is desired. Upon receipt of the notice of appeal, the director of procurement and materials management shall provide a copy to each member of the review board. If the notice does not contain a request for a hearing, the director of procurement and materials management may request one within 5 days after receipt of the notice of appeal. If a hearing is not requested, the review board may, but need not, hold a hearing. If a hearing is not requested, the review board, unless it decides to hold a hearing, shall review the notice of disqualification, the notice of appeal and any other supporting documents which may be filed by either party. Within 15 days after the notice of appeal is filed, the review board shall either affirm or reverse the director of procurement and materials management's determination of disqualification and shall transmit a copy to each party by certified mail, return receipt requested. If there is a hearing, the hearing shall commence within 15 days after the filing of the notice of appeal. A notice of hearing shall be transmitted to the director of procurement and materials management and the disqualified bidder not later than 12 calendar days prior to the hearing date, by certified mail, return receipt requested. Evidence shall be limited to the factual issues involved. Either party may present evidence and persons with relevant information may testify, under oath, before a certified reporter. Strict rules of evidence shall not apply to the proceedings, but the review board shall strive to elicit the facts fully and in credible form. The disqualified bidder may be represented by an attorney. Within 10 calendar days after the conclusion of the hearing, the review board shall make a finding as to whether or not the reasons given in the director of procurement and materials management's notice of disqualification apply to the bidder, and an appropriate order shall be entered. A copy of the order shall be transmitted to the director of procurement and materials management and the bidder by certified mail, return receipt requested. (g) All final decisions of the review board shall be subject to review under the Administrative Review Law. (h) Notwithstanding any other provision of this section to the contrary, the Sanitary District may do business with any person or business entity when it is determined by the director of procurement and materials management to be in the best interest of the Sanitary District, such as, but not limited to contracts for materials or services economically procurable only from a single source. (Source: P.A. 95-923, eff. 1-1-09.) Version 2-1-16 EXHIBIT 3 Multi -Project Labor Agreement MULTI -PROJECT LABOR AGREEMENT (COOK COUNTY) With CERTIFICATE OF COMPLIANCE CONTAINS: 1) MPLA - EFFECTIVE OCTOBER 6, 2017 2) CERTIFICATE OF COMPLIANCE MPLA-CC-01 GI 9RAL RI;QUR�LMNTS UNDER TB1• MULTI-P R0JTCT LAB0R AGREEMENT The following is a brief summary of a Bidder's responsibilities under the IvIPLA. Please refer to the terms of the MPLA for a ful I and complete statement of its requirements. Your firm is rewired to complete the Certificate of Compliance indicating that your firm intends to comply with the Multi -Project Labor Agreement. The Certificate of Compliance must be signed by an authorized Officer of the firm. 111is may be submitted with the bid or prior to award of contract To be eligible for award, your firm must comply with the M,uld-Project Labor Agreement and sign the certificate. Failure of the Bidder to comply with the W A will result in a rejection of the bid, and possible retention of the bid deposit. Compliance with the MPLA, is as follows. if the Bidder or any other entity performing work ranter the contract is not already signatory' to a curmnt collective bargaining agreement with a unto or labor organization affiliated with the APL-CIO Building Trades Department and the Chicago and Cool; County Ouildbig and Construction Trades CounA or their affiliates which have jurisdiction over the work to be performed pursuant to this Contract, (hemaltr referred to as a "participating trade group") it must become a member. Note: -fhe MPLA is not applicable when the performance of work is outside Look County, Illinois, or if repair and; maintenance work on equipment is performed at a Bidder's facility, Revised October 2017 MPLA-CC-02 METROPOLt"rAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO MULTI -PROJECT LABOR AGREEMENT FOR COOK COUNTY This Multi -Project Labor Agreement ("Agreement") is entered Into by and between the Metropolitan Water Reclamation District of Greater Chicago ("MWRD" or "District"), a public body, as owner, in Its proper capacity, on behalf of itself and each of its contractors and subcontractors of whatever tier ("Contractors) and shall be applicable to Construction Work on Covered Projects, both defined herein, to be performed by the District's Contractors along with each of the undersigned labor organizations signatory to the Chicago and Cook County Building and Construction Trades Council and, as; appropriate, the Teamsters Joint Council No. 25, ox their affiliates who become signatory hereto (collectively "lnion(s)") This Agreement is entered into in accordance with all applicable local state and federal laws. The District recognizes the public interest In timely construction and labor stability. WHEREAS, MWRD is responsible fortha actual construction, demolition, rehabilitation, deconstruction, and/or renovation work ("Construction Work`) of projects overseen by MWRD in the geographical boundaries of Cook County. All of the 1 l$Wct's Cbnst► action Work Within those boundaries ("Covered Projects') will be recognized as covered under t4le terms bf this Agreement regardless of the source of the Funds for the Project. Due to the size, scope, cost, timing, and duration ofthe multitude of Covered Projects tradItlonaljy performed by MWR€), the'Parties to this Agreement have determined that it is in their interests to have these Covered Projects completedin the most productive, economical, and orderly manner passible and without labor disruptions of any kind that might ihterfere (with, or delay, any of said Covered Projects, and WHEREAS, the Parties have determined that it is desirable to eliminate the potential for friction and disruption of these Covered Projects by using,theiir best-eftbtts.to ensure that all Construction Work is performed by the Unions that are signatory hereto and which have traditionally perforated and have trade and geographic Jurisdiction over such work regardless of the source of the Funds for the. Project. Experience has proven the value of such cooperation and mutual undertakings; and WHEREAS, the Parties acknowledge that the District is not to be considered an employer of any employee of any Contractor covered under this Agreement, and the District acknowledges that It has a serious and ongoing concern regarding labor relations associated with its Covered Projects, irrespective of the existence of a collective bargaining relationship with any of the signatory Unions. NOW THEREFORE, in order to further these goals and objectives and to maintain a spirit of harmony, labor-management cooperation, and stability, the Parties agree as follows: 1. During the terra of this Agreement, MWRD shall neither contract, nor permit any other person, firm, company, or entity to contract or subcontract for any Construction Work on any Covered Project under _ this Agreement, unless such work Is performed by person, firm, or company signatory, or willing to become signatory, to the current applicable area wide collective bargaining agreement(s) with the appropriate trade/craft Unions) affiliated with the Chicago & Cook County Building & Construction Trades Council or, as appropriate, the: Teamsters' Joint Council No. 25. Copies of all applicable, current collective bargaining agreements constitute Appendix A of this Agreement, attached hereto and made an Integral plat hereof, and as may be modified from time to time during the term of this Agreement. IMPI.A-CG_03 September 6, 2017 Said provisions of this Agreement shall be included in all advertised contracts, excluding non - Construction Work, and shall be explicitly Included in all contracts or subcontracts of whatsoever tier by all Contractors on Covered Projects. a. The Parties agree that the repair of heavy equipment, thermographic inspection, and landscaping shall be defined and/or designated as Construction Work on all Covered Projects. b. The Unions acknowledge that some preassembied or prefabricated equipment and material Will be used on Covered Projects. To the extent consistent with existing collective bargaining agreements and applicable law, there will be no refusal by the Unions to handle, transport, install, or connect such equipment or materials, further, equipment and, material procured from sources outside of the geographic boundaries of Cook County may be delivered by independent cargo, haulers, rail, ship and/or truck, drivers and such delivery will be made without any disruption as the Dlstrict will request its Contractors to request Union-affillate employees to make deliveries to the Covered Project sites. c. Notwithstanding anything to the contrary herein, the terms of this Agreement shall not apply to work performed at the Contractor's facility for repair and maintenance of equipment or where repair, maintenance, or Inspe0on services are done by highly -skilled technicians trained In servicing equipment, unless otherwise provided by the relevant ollective bargaining agreement. d. Nothing herein shall prohibit or otherwise affect the District's right to cancel or otherwise terminate a contras% e. A pre -construction rheeting attended by representatives of the District# the Contractors, and Unions shall be scheduled for a date prior to commencement of a Covered Project. The nature of the project, the May 25, 20:17 Covered Construction Work, the wgrk asssignmenis and any other matters of mutual interest will be discussed. All parties participating in the pre- ob conferences shall sign a,pre-fob-slgn-In sheet. During the pre -job conference, or shortly thereafter, and before the commencement of the project, the contactor or subcontractor shall ensure that there has been submitted to the District a letter of good standing for the applicable trades explaining that the contractor or subcontractor Is not delinquent with respect to any dues owed to the appropriate labor organization or with respect to any fringe contributions owed to the appropriate fringe benefit furd(s). If a union or fringe benefit fund does not produce a letter of good standing within seven (7) days: after a request Is made no such letter of good standing shall be required forthat particular trade. is The Unions agree to reasonably cooperate with the MWRD and Contractors In order to assist them in achieving the Worker Percentage, Participation goals as defined In subsection (X) and (2) below. The Worker Percentage Participation goals are governed by federal requirements regarding federal construction contracts. To the extent these federal worker percentage participation goals are modified In the future, such modifications will automatically apply; (1) 19.6% of the total aggregate of construction hours worked by employees of contractors and their subcontractors will be performed by African -American, Hispanic, Native American, Asian -Pacific, and Subcontinent Asian American workers. (2) 6.9% of the total aggregate of construction hours worked by employees of the contractors and their subcontractors will be performed by female workers, 2 MP LA-CC-04 September 6, 2017 2. A contractor or subcontractor which is a successful bidder with respect to Covered Projects, but which Is not signatory to the applicable area -wide collective bargaining agreements Incorporated herein, shall be required to execute such applicable area -wide collective bargaining agreements within seven (7) days of being designated a successful bidder. if such an agreement is not executed within that time period, said contractor or subcontractor will be disqualified. in no event shall a contractor or subcontractor be required to sign any of the applicable agreements constituting Appendix A if the contractor or subcontractor does not employ the trade covered by the applicable Appendix A contract. 3. During the term of this Agreement, no Union signatory hereto nor any of its members, officers, stewards, agents, representatives, nor any onployea, shalt lristlgate, authorize, support, sanction, maintain, or participate in any strike walkout work stoppage, work slowdown, work curtailment, cessation, or interruption of productidns or frx any ixicltetjn6 of any Covered. Project site covered by this Agreement for any reason whatsoever, including;, but not lltrrited to, the expiration of any collective bargaining agreement referred to In Appendix A, a dispute between the Parties and any Union or employee, or as a Shaw of support or sympathy tor any other Union employee or any other group. In the event of an economic strike or other job action upprn the termintit Qn of an existing collective bargaining agreement, no adverse Job action shall be directed against any Covered Project sites. All provisions of anTsubsequentiy negotiated coliecWe banning agreement Aall be retroactive for all employees working on the Covered Project. 4. Each Union signatory hereto agrees that It wilt use Its best efforts to prevent any of the acts forbidden in Paragraph 4, and that in the event any such act takes puce or Is engaged In by any employee or group of employees, each• Union signatory hePeW further agrees that It will use its best efforts (including its full discipllhary power under. its Constitution and/or By -Laws) to cause an imn edlate cessation thereof. Each union atsoagrges that ff any union, individual or group of employees on covered projects engages in any handblI t g p#ckettng, strike, walkout, work stoppage, work slowdown, work curtailment, cessation or Interruption, the other unions will consider such picketing or other work action as unauthorized and wlit refuse to honorany picket line established and the unions further agree to instruct their members to cross such unauthorized lines. Failure of any union or groups of employees to cross such unauthorized picket lines on any covered project shall be a violation of this agreement 3. Any Contractor signatory or otherwise bound, stipulated to, or required to abide by any provisions of this Agreement may implement reasonable project rules and regulations, and these rules and regulations shall be distributed to all employees on the Covered Project. Provided, however, that such rules and regulatlans shall not be inconsistent with the terms of this Agreement or any applicable area - wide collective bargaining agreement. Any Contractor shall have the right to discharge or discipline Its Union employees who violate the provisions of this Agreement or any Covered Project's rules and regulations. Such discharge or discipline by Contractor shall be -subject to the Grievance/Arbitration procedure of the applicable area -wide collective bargaining agreement only as to the fact of such employee's violation of this Agreement If such fact is established, the penalty imposed shall not be subject to review or disturbed. Construction Work at any Covered Project site under this Agreement shall continue without disruption or hindrance of any kind during any Grievance/Arbitration procedure. 3 MPLA-CC-06 September 6, 2017 6. The unions understand and acknowledge that the District's Contractors are responsible to perform Construction Work as required by the District. The Contractors have complete authority to do the following, subject to District approval, if required, and if consistent with the terms of the collective bargaining agreements attached hereto: a. Flan, direct, and control the operations of all work; b. Hire and layoff employees as the Contractor deems appropriate to meet work requirements; c. Determine work methods and procedures; d. Determine the need and number of foramen; e. Require all employeesto observe Contractorant?/wDistrict rules and regulations; f. Require all employees to work safely and observe all safety regulations prescribed by the Contractor and/or the District; and g. Discharge, suspend, or discipline employees for proper cause. h. Abide, by the rules set Furth In each respective Trade Unions` Collectively Bargained Agreement pertaining to apprentice to, journeymen ratios. 7. Nothing in the foregoing shall prohibit orrestrlct any party from otherwise judicially enforcing any provision of its collective bargaining agreement between any Unlon and a Contractor with whom It has a collective bargaining relationship. 8. This Agreement shalt be Incorporated into agadvertised contract documents after the Board of Commissioners adopts and ratijle9 this Agreement. 9. The terra of this Agreement shall be five ($) years and shall be automatically extended from year to year unless the District or ttte Council issues a written notice to terminate prior to ninety (90) days in advance of any expiration, Any Covered Project commenced during and/or covered by the terms of this Agreement shall continue to be covered by its terms until the final completion and acceptance of the Covered Project by the Rrstrict: io. in the event a dispute shall arise between a contractor or subcontractor any signatory union and/or fringe benefit fund as to the obligation and/or payment of fringe benefits provided for under the appropriate Collective Bargaining Agreement, upon notice to the District by the appropriate union signatory hereto of a claim for such benefits, the District shall forward such notification to the surety upon the contract, and to the general contractor. 11. In the event of a jurisdictional dispute by and between any Unions, such Unions shall take all steps necessary to promptly resolve the dispute. In the event of a dispute relating to trade or work Jurisdiction, parties, including Contractors, consent to and agree that a final and binding resolution of the dispute shall be achieved in accordance with the terms of paragraph nine of the Joint Conference Board Standard Agreement between the Chicago & Cook County Building Trades Council and the Construction Employers` Assoclation, attached hereto as Appendix B, and as may be modified from time to time during the term of this Agreement. 4 M pLA-CC- September b, 2017 12. This Agreement shall be incorporated into and become a part of the collective bargaining agreements between the Unions signatory hereto and Contractors and their subcontractors. In the event of any Inconsistency between this Agreement and any collective bargaining agreement, the terms of this Agreement shalt supersede and prevail, in the event of any Inconsistency between this Agreement and any collective bargaining agreement, the terms of this Agreement shall supersede and prevail except for all work perfonmed urder the NTP Articles of Agreement, the National Stack/Chimney Agreement, the National Cooling TowerAgmmenu alt Instruction calibration work and loop checking shall be performed under the terms offt VA/IeEW Join rNallo lai Agreement for Instrument and Control systernsTechillicians, and the :Ratlonal ftMe tent of the international Union of Elevator Contractors with the exception of the content and subject matter of Article: V, Vl, and VIi of the- AFL- CIO's Bugding & Const Lion T-rW s partffie14m00el PWied Labor Agreement. 13. The Parties ogee that In the lmplom�do and edm `rttstratlon of thss Agreement, it Is vitally necessary to maintain effectk* arid1 rle4 !ko. Orrtrr►urd�tivn $0 as to minlMize the potenVal of!Iabor relations disputes arising out of'thI Agme;h0nt'it►that er4 each Party hereto agrees to designate, In writing,'a representative to whom probkms which v1'se during the term of this Agreement may be directed. Within for"Eght (48) hours ,after notice of the existence of any problem, a representative of each Party shall meet to discuss and, where pos slble,resdIve such. problems. The representative of the U nlons shall be Prestdent ofthe do'caiga &~wok Cdunt ' Bull dint, & Construction Trades Council or hls/"her designee. The represent.atfve of MW90sifati1 be the District's Assistant Director of i=ngineer4 Construction Div sloe or hkjhef define@. IMF, The Dlstictand the Conttaetoir5" t tthgapplicable substance abuse policy (Le., drug, alcohol, etc) on any Covered l ject'shalt be that as Coatalnid +or othorwlse provided for in the relevant area- wide collective bargaining agreements attached as AppantA tq this Agreement !Nothing In the foregoing shall limit the District and/or Contmctors from initWng their own substance abuse policy governing other employees performingwotk on a project not otherwise covered under this Agreement. in the event there Is no substance abuse policy In the applicable collective bargaining agreements, the policy adopted by the District and/or Contractor may apply. The District is not responsible for administering any substance abuse policy for non -District employees. 15. The Parties recognize a desire to facilitate the entry Into the building and construction trades of veterans who, are interested In careers in the building and construction industry. The Contractors and Unions agree to utilize the services of the Centerfor Military Recruitment, Assessment and Veterans Employment ("Center's, the Center's Helmets to Hardhats program, and the Veteran's In Piping (V.I.P) program (this only pertalns to the United Association PipeFitter's Local 597, Plumbers Local 130, and Sprinkler Fitter's Local 281), to serve as a resource for preliminary orientation, assessment of construction aptitude, and referral to apprenticeship programs or hiring halls, counseling and mentoring, support network, employment opportunities, and other needs as Identified by the Parties, The Contractors and Unions also agree to coordinate with the Center to create and maintain an integrated database of veterans interested In working on Covered Projects, including apprenticeship and employment opportunities on such projects. To the extent permitted by law, the Parties will give MPLA-CC-O7 September 6, 2017 appropriate credit to such veterans for bona fide, provable past experience in the building and construction industry. 16. The Parties agree that Contractors working under the terms of this Agreement shall be required to utilize the maximum number of apprentices on Covered Projects as permitted under the applicable area -wide collective bargaining agreements contained In Appendix A, where feasible and practicai. 17, Neither the District, the Contractors, nor the Unions shall discriminate against any employees of a protected class, including but not Ilmited to on the basis of race, creed, color, national origin, age, or sex, In accordance with all applicable state and federal laws and regulations. 18. if arty provision or other portion of this Agreement shall be determined by any court of competent jurisdiction to be invalid, illegal, or unenforceable in whole or in part, and such determination shall become tonal, it shall be deemed to be severed or limited, but only to the extent required to render the remaining provlslons and portions of this Agreement enforceable. This Agreement, as amended, shall be enforced so as to give effect to the Intention of the Parties Insofar as possible. 19. Under this Agreement, any liability of the Parties shall be several and not joint.7ire District shall not be liable for any violations of this Agreement by any Contractor or Union, and any Contractor or Union shall not be liable! for any violations of this A"ment by the District, any other Contractor, or any other Union In tlre:euent any provislon ofthis Agreement is determined to be invalid, Illegal, or unenforceable as specified In Paragraph 18, neither the District, nor any Contractor or Union, shall be liable for any action takers or not taken to comply with any court order. 20. The Parties are mutually committed to promoting a safe.working environment for all personnel at the join site. it shall be the responsibility of each employer to which this Agreement applies to provide a work environment free of Illegal drugs and any concealed weapons, to maintain safe working conditions for its employees, and to comply with all applicable federal, state, and local health and safety laws and regulations. 21. The use or furnishing of alcohol, weapons, or illegal drugs and the conduct of any other illegal activities at the job site is strictly prohibited. The Parties shall take every practical measure consistent with the terms of the applicable area -wide collective bargaining agreement to ensure that the job site is free of weapons, alcohol, and Illegal drugs. 22. Each Union representing workers engaged In Construction Work on a Covered Project Is bound to this Agreement with full authority to negotiate and sign this Agreement with the District. 23. All Parties represent that they have the full legal authority to enter Into this Agreement. 24. Thfs document, with the attached Appendices, constitutes the entire Agreement of the Parties and may not be modified or changed except by subsequent written agreement of the Parties. 6 MPLA-CC-Q$ September 6, 2017 25. Having been adopted by the Board of Commissioners on August 3, 2017, and ratified and effective as of the last date on the signature page, this agreement Supersedes any other Multi -Project Labor Agreement previously entered into by the parties as of the date of ratification. [Remainder of pale lateutionall y left blank. Signature page follows.] MPLA-CC-09 September 6, 2017 The undersigned, as a Party hereto, hereby agrees to all the terms and conditians of this Agreement. Dated this jW day of F 2017 in Chicago, Cook County, Illinois. On behalf of the Metropolitan Water Reclamation District of Greater CIucago David St. Pleme Executive Director Managesnw Approved as to Farm and .Legality He3eu. ahielsis-Wriot I -lead Assistant Attomey ce-t'4� Susan T. Morakaiis Acti ag General Coutasrl Fri& Avila Chairnwi of Finance Approved 8 LMPLA-CC-10 Darlene A. LoCascio Director of Procurement and Materials Mariyana Lpopoulos. Chairman, CommMo�a d Industrial Relations September 6, 2017 Tbo undmsig=d, as a Party hereto, ag= to at] the kum and conditions of this Agreement; Dated his the,�� a 4�1- 2017 in Chicago, Cook County, Illinois. ©a; bebalr of: Tea►nsLam Local Union No. 731 };abax Organization T#s A aer Tenvrice J. Hancock, President MPLA-CC-11 All,,ale---> le?,4 September6, 2W The udersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement Dated this the 1, 3 th, day of September 2017 in Chicago, Cook County, JIBACis. On behalf of:_ ARrJuk1sx, Fitters Union Local 281, U.A. nor thganlution APPROVED: Aenais ,j. Fleniag, Business Manager 9 September 6, 2017 The undersigaed, as a. Pmty hereto, agrees to all the terms and conditions of this Agreement. Dated this the Ld.day of 7` 2017 in Chicago, Cook County, Illinois. On behalf of: !-z21Y¢� � G a r Labor Organization its Duly Atrth& zed Officer MPLA CC-13 September 6, 2017 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement. Dated this the day of � o, it , 2017 in Chicago, Cook County, Illinois. Onbebalfof: 10�( Labor Organization APPROVED, — Nz�- -- Its Duly AuthoriAQ Officer MPLA-CC-14 September 6, 2017 The hnde�signed, as a Party hereto, agrees to all the terms and conditions of this Agreement. Dated this the day of ✓ 2017 in Chicago, Cook bounty, Illinois. On ltebalf, of. &&N% Co /04'4 � �� P f( 4 Labor Organization - Q2��� 51-- 1 his p Authori zed Of MPLA-CC-13 September 6, Z017 The uWersigaed, as a Party hereto, agrees to all the terms and conditions of this Ap'oement. Dated this the/�lvay Of&i��.2017 in Chicago, Cook County, Illinois. On behalf ir1r7�/C�` Labor Organkatioh APPROVED: Its -Duly o40mi 9 MPLA-CC-16 )� September 5, 2017 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement Dated this the e�day oar=y.,2Q17n}cago, Cook County, Illinois. On bebalfoi: t t 1 tY lh� c Labor Orgauization APPROVED: I ih>2 Authors O cer MPLA CC-17 September 6, 2017 The widersigoed, as a Party hereto, agrees to all the terms and conditions of this Agreement. Dated this thea day of�� 2017 in Chicago, Cook County, IIlinois. On behalf of: 0ZPWk -- t Labor Organization APPROVED: MPLA-CC-18 September 6, 2017 The underrsigaed, as a Party hereto, agrees to all the terms and conditions of this Agreement. Bated this the It day of , 2017 in Cbicago, Cook County, Illinois. On behalf vf.ut d--1. C 1`.,w% z,,r. Labor Organisation APPROVED: Its Duly Au riz6d O ear MPLA-CC-19 September 6, 2017 The undersigned, as a Party hereto, agrees to ail the terms and conditions of this Agreement. Dated this the /- day of, 2017 in Chicago, Cook Cooxaty, Illinois. On behalf of: Labor Organization APPROVED: 9 MPLA-CC-20 September 6, 2017 The undmgned, as a Party hereto, MT= to ati the terms and conditiow of #his Agreozua Dated this the f±iI ay of Air 17 in Chicago, Cook Cotmty, Minois. On bchf af:/�'i4�,- dG' Labrir Organization APPROMM: f 9 /Z MPLA-CC-21 September 6, 2017 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agresmo tt. Dated this the ��-day of � J 2017 in Chicago, Cook Comty, M nois. On bebaif of A" N! veg' kA Labor Qrgurftation APPROVED: Its Duly Authorized Qf.cer MPLA-CC-22 September 6, 2017 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement Dated this the may of � , 2017 in Chicago, Cook County, Illinois. On behalf of: ~ L-CQA) Labor Orgaidutiou Its lttt+ d Offeer MPLA-CC-23 September b, 2017 The undersigned, as a Party hereto, agrees to aU the terms and conditions of this Agreement. Dated this the ieday of n b e f'2017 in Chicago, Cook County, Minois. On behalf of: g.u�-� -� r ro��- Labor Organhation APPROVED: �� yy W ro4 •,.... Tts Duiy Auth " z d Officer 9 MPLA CC-24 September 6, 2Q17 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement. Dated this the LL day of.,Q.-ram=-, 2017 in. Chicago, Cook County, Illinois. On behalf of: 4'tEU G 5-- 1 0 COL 2-- Labor Organization APPROVED: Its Dale AU rhea off cer 9 MPLA-CC-2S WAS, b /a September b, 2017 The uwldersigued, as a Party hereto, agrees. to all the terms and conditions of this Agreement. Dated this the J1. day of 2017 in Chicago, Cook County, Illinois. On behalf of: �- AP ur l 13`f , L a <1k1 z Labor Organization APPROVED: Its Duly Authorized Officer 9 A//A/-'� P,-fF September 6, 2017 The undersigned, as a Party hereto, agrees to ail the tenors and conditions of this Agreement. Dated this the.G2 day of , 2017 in Chicago, Cook County, Minois. On behalf . r 9 MPLA-CC-27 4$4e-4) 14�4 September b, 2017 The undersigned, as a Party hereto, agrees to all the tc=s and conditions of this Ag=ment. Dated this the 2 day of SC,0 2017 in Chicago, Cook County, Illinois. On behalf Labor Organization APPROVER: lis'-.DWY Authorized Off ioeF 0 MPLA-CC-28 September 6, 2017 The undersigned, as a Party hercto, agrees to all the terms and conditions of this Agreement. Dated this the lL day of,�I %i &9Y- . 2017 in Chicago, Cook County, Illinois. Q n behalt' nf: � . Art (. C l �C) 0PA F- Labox Organization APPROVED: I s Authorized Officer MPLA-CC-29 September 6, 2017 The undersigned, as a Party hereto, agrees to all the terms and conditions of this Agreement. Dated this the L?„day of-! p— 201'7 in Chicago, Cook County, Illinois. Qn behalf of:,T""zer�zT�C�✓r�iy',��C Labor Organi mflon APPROVED: l y Authoriz cer MPL.A-CC-30 September 6, 201.7 APPENDIX R For copies of Cc4lective Bargaining Agreements, please go to the M-WRD ►IUe;bsite and click on: Freedom of information Act(POMVCategory of Records 10 M P LA-CG-31 APRNDIX B 11 MPLA-CC-32 September 6, 2017 [§OWSign Envelope ID: SDD9CS49-6998-4E3MA30-IE642D256425 JOINT CONFERENCE BOARD STANDARD A.GREE.I NT 611/15 — 5/31/20 Construction Emp►ioyerV Association Avd Chicago & Cook County Building & Construction Trades Council E-CCJ-33 60cuSlgnEnvelope tt)5DD9C84MS90 4E39-8A30-IF6W0256425 The Standard Agreement between The Construction kwployers' Association and The Chfcaigo & Cook County Buildiug & Construct-149n.TTrades Council bta4,11shing The Joint uhf. rence Board M PLA-CC-34 DowSigo gtwebya 10: SDD9084"998.4F39-8A30-1EB4202E6426 CHRONOLOGY ADOPTED NOVEMBER 18, 1926 AMENDED AND READOPTED JANUARY 11,1929 AMENDED AND READOPTED .TUNE 24, 1942 READOPTED APRIL 28,1947 AMENDED AND READOPTED MARCH 19, 1952 READt}MD FEBRUARY 12,1957, AI DE) AND READOPTED MAY 13, 1959 AMjojD.Ej�,AND READOPTED FEBRUARY 11,1960 AMi1TIDED A READOPTED MAY 21,1963 AI N ED NOVEMBER 16,1965 k)IDED MARCH 14,1967 AMENDED A� D-READOPTED MARCH 4,1968 AMENDED AND,READ 0?TEDNOVEMBER 11, 1971 READOPTIW NOVEMBER 20,1973 READO D DECEMBER 12, 1978 READOMD APR.IL 12, 1983 READAPTED MARCH 31, 1$88 AMENDED AND READOPTED APR1L 23,1989 RE,I±ORMA7110, AMENDED AM READOPTED JUKE 1,1994 A1v"EIv► R13ADOPTED .TUNE 1, 1999 A APM 1, 2003 AMENDED AMA READOPTED JUNE 1, 2004 AMVgDSD AND UADOPTED JUKE 1, 2005 AMENDED AND READOPTED TUNE 25, 2009 AMEND#J7 AND READOPTED FEBRUARY 15, 2010 . Am NDE:b AND`READOPT13D MAY 28, 2015 Expiration Date: MAY 31, 2020 EA-GC-35 QocuSign Enve(opa ID. 5DD9CB49-69Q& 4E39. A30-tE642D258425 TABLE OF CONTENTS ArticlePage Preamble... ........... M..n.......... »«........ ...... ............................... ..1 Declarationof Principles ........ ...... ......... ....................... ............. 2 Articles of Agre eut;............a..............................................3 I. No Work SWM#e........»...,......M.................................,...3 II. StijwlttttQir.....MN.ih,..M.M»MM......................................... 3 ULRiSho...,i/±1F7•.!!'iilli�7M...illfl....f.i.....,...M..».w......w......ir..a........ i..'..3 Par$0,00 I AW i— ,nt of Work .............................3 p# f Wades...» .............. .. ..............3 „ W �.,, v...i.w...aa....wr...... .......« ... .. ..3 MApl ig.....,i....i..... ...................... ...... ..4 ♦V. Joint Cat i;app Doaxd i......... .,....... .................................4 �•))as llR..�M....... ......................................4 i II. +M M....f.*.).N...!»MN+.....1....................r...............6 F� 1 Annual Mcadt g....... ........... ...........»..» 6 Pa0&—M,2 M40 Up of GCB ............................ .... 6 Paral;> pii 3 Soloction of Arbitrators »....,................6 Para�ll 4 t>zIli Terms....................................6 Para h' 5 SuWUKm at Meetings .....„ ....... ..»..6 P 6 NO'UO, of Meetings--... . ....... . ......7 P' 7. Quorum..,.,....»..»...............................4.7 9 IW114tio of a Hearing ...........................7 POPt lt'10istlEt%ns:..........................................8 Paras*0 11 Oftr A ndees.....................................8 Pai*OV4't2 Contactingthe Arbitrator .......................8 Paragmphl3 Board of Arbitration..........................8 Vill. Paragraph I Visiting Jobs.......................................:8 Paragraph 2 'fools . ............................9 Paragraph 3 small Tasks ..................................9 Parag0044 Compliance of Agreements...................9 Paragraph 5 Stipulation..................................9 PaMM,b 6 Labor Agreement Stipulation ............. 9 Paragraph 7 Area of Jurisdiction..............................10 Paragraph 8 Decisions Final..................................10 Paragraph 9 Complaints .»... »................ ....... ».......... I0 Paragraph 10 Violations.............................................10 Paragraph I 1 Notices ................................................ l 1 Paragraph 12 Holidays ............. ..............................I 1 Paragraph 13 Enforcement.........................................11 Paragraph 14 Question of Jurisdiction .......................11 Paragraph 15 Terms of Agreement ............................12 ��C�C6[ docuslgn Envelope 10: sDM840-6898-409- O-lE64ZD256425 PREAMBLE This Agreement is entered into to prevent strikes and lockouts and to facilitate peaceful adjustment of,isdictional disputes in the building and construction industry and to prevent uad unncsxssary avoidable delays and expense, and for the further Nurpose of at all tlmo se wft'for the employer sufficient skilled workers and so far as possible to provide for labor continuous employment, such employment to be in accordance with the conditions atu! 0 the wages agreed upon, in the particular trade or craft, that stablo condi#loox may, in the construction industry, that costs maybe as low as possible consistent fair woks and conditions and further to establish the necessary procedure 4y which th e'n' ' lay be rrxp}lshed. ibis Stsndard:Agrew mnt shall be considered and shall constitute a part of all agreements between EM010M and Labor Unions, members of the Construction EnVloyers' Association, h*i rifle Association, and the Chicago 8c Cook County Building Constrtx•,' ott * ram 0Attpa, lupin called the Council, as containing within its terms the nece3sm'' 0 assuring undisturbed conditions in the industry. lip the event ofany Agrearmntand any, colle0ve bargaining agreetraertt the terms of(='ofAgreetnent, p supersede and prevail except for all workpedbrmed under the lam' the Rational StackANmney Agicement, the National CoolingOwApemotrt; all btstnrment calibration work and Imp checkiq shrill boperftsW jitdWhvft= ofthe UA/MEW Joint National Agreement for instnrme t attci Technicians, and the National Agreement of the bikowio t ' + c Co>Erstri¢ctors with t1m xception of the content and subjioot rn bf` t V, VI and VIi of the AFL-CIC's Building & Construction Trades Department model FrQJect Labor Agreement, MPLA-CC-37 bocoSign Envelope SD. 6DD8c849.6M-4E38-8A36-IE6421)256423 DECLARATION OF PRINCIPLES The Principles contained herein are fundamental, and no articles or section in this Agreement or in the collective bargaining agreement pertaining to a specific trade or craft shall be construed as being in conflict with these principles. In the event any conflict exists between this Agreement and any collective bargaining agreement subject to the Provisions of this Agreement and the dispute resolution. provisions contained hereunder, and pertaining to a specific trade or craft concerning the resolution of jurisdictional ' disputes, the patties specifically agree that the terms of this Agreement are exclusive and supersede arty other provisions or procedures relating to the settlement of jurisdictional disputes contained in such collective bargaining agreement, I. There shall be no limitation as to the amount of work a worker shall perf xm during the work day. 11, Therc.shall be no restriction- on the use of machinery, tools or appliances. III. There shall be no restriction on the use of any raw or manufactured material, except prison mkde. IV. No person shall have the right to interfere with workers during working hours. V. 'be -use of apprentices shall not be prohibited. VI. The foreman shall be the agent of the employer. VII. Tho �woxicer is at liberty to work for whomever he or she sees fit but such worker shall dea and and receive the wages agreed upon in the collective bargaining agreement covering the particular trade or craft under any circumstances. Vlil. The employer is at liberty to employ and discharge for just cause whomsoever the erxmp%ycr sees fit. M PLA-CC-38 bocuSign Envelope V 5DD9C849-6998-4E3"A30-Se&420256425 ARTICLES OF AGREEMENT ARTICLE li Therefore, with the Preamble and Declaration of Principles as part of and fundamental to this Agreement, the parties hereto hereby agree that there shall be, no lockout by any employer, or strikes, stoppage, or the abandonment of work either individually or collectively, by concerted or separate action by any union without arbitration of any jurisdictional dispute as hereinafter provided. ARTICLE II Tile parties hereoo hereby agree that in the manner herein set forth, they and the parties whom thoy represtait will submit to arbitration all jurisdictional disputes that rmay arise between them and: any misunderstanding as to the meaning or intent of all, or any part, of this Agreement, and they further agree that work will go on undisturbed during,such arbitration, and that the decision of the arbitrator shall be final and binding on the parties hereto as provided in Article VI. ARTICLE III Paragr h I. Should a Union affiliated with the Council abandon its work without first sei i g,arry jurisdietianai dispute to arbitration as provided herein, or s'houj4 any, e ploy <v� orn:it represents individually ar collectively, or by separate gn�ed: action, leave tha work, the employer shah have the Tight to fill the places f s�tcrs with workers who will agree to work for the employer, and the Union shale not )lavee right to strike, or abandon the work, because of the employment of such workers. Paragraph 2. The Union shall have the right to take the employees whom it represents from the work for the purpose of collecting wages and fringe benefits due, but such matter Aail imrriediately'be referred to arbitration. Should there be a dispufc as'to t}e amount due, the matter shall be first referred to arbitration as herein set forth. Paragraph 3. The parties recognize the importance of having all work performed in a satisfactory rnsnner by competent craftsmen. Because the unions affiliated with the Council have through apprenticeship and other training programs consistently striven to create an adequate supply of such skilled workers, and because it is desirable that the unions continue todo so, the Association, for itself and for each employer whom it represents agrees, to the extent permitted by law, that it will contract or subcontract any work to be done at the site of the construction, alteration, painting, or repair of a buflding, structure, or other work, only with or to a contractor who is a party to a collective bargaining agreement with a union affiliated with the Council and, accordingly, is bound by all the terms and provisions of this Standard Agreement. MPLA-CC-39 6=,919n Envelope ID: SDD8C84"99&4E30-eA3o-1E6420256425 ARTICLE IV The parties recognize the importance of having available and furnishing at all times during the life of this Agreement sufficient skilled workers, capable of performing the work of their trade, and to constantly endeavor to improve the ability of such workers and further to, have in the making, through apprenticeship training, workers who can enter the trade properly equipped to perform the work, and to the extent possibl% the parties agree to dq everything within their power to oaoperate in carrying out thm purposes. Joint apnticeshig Gammittees shall have the right to maintain schcmis for the training of ap*nticas registered under the terms of the particular collective bargaining agreement unto stud and such apprentices shall be considered skilled and quali#Wt ey►ttcn when. aged Competent by a committee compote of the members of ft Furies to the patticulareolleotixc bargaining agreement involved. Howover, this aat4iet not be c9 L*ued to disturb present systems wherein the labor organization Wch.is a pity to the p iottlar oolleative bargaining agreement involved compels apprentlacs to aid trade IL ARTICLE V A Joint Confemce Board is hereby created by agreement between the Association and f CquncP, which shall be binding upon the members and a iiatas of ow�h, aitd It is by the parties hereto, together with their me rtberls andi *04 tit X vrtll zc the authority of said Joint Conference and t}tat i. be ens 61tiding upon 0= as provided in Article Vt. The odbinis iwa 8I shall be exted by the Secretary of the Bctarrd. u' ' as and eJi aactraordinary expenses shall be Dome equally. ARTICLE VI The Joint Conference Board shall be responsible for the administration, of this Agrvement The primary concern of the Joint ConfercnceBoard shaii:be the adjustment q f jurisdiotional disputes by arbitrators selected by the Board. Decisions rendered by any arbitrator under this Agreement appointed by the Joint Conference Board relating to jttrfsOictionall disputes shall be only for the spea'tfic job under, consideratlortand shall become effective immediately and compiled with by all parties.. In rendering a decision, rite Arbitrator shall determine: a) First whether a previous Agreement of Record or applicable agreeme n, including a disclaimer agreement, between the National or International unions to the dispute governs. b) Only if the Arbitrator finds that the dispute is not covered by an appropriate or applicable Agreement of Record or agreement between the National or International Unions to the dispute, he shall then consider the established trade practice in the industry and prevailing practice in the locality. Whew there is a MPLA-CC-4t) DocuSlon Envelope ID: 5DD9C849-8998AE35, O-1EB42D25p420 previous Decision of Record governing the case, the Arbitrator shall gave equal weight to such Decision of Record, unless the prevailing practice in the locality in the past ten years favors one craft. In that case, the Arbitrator shall base his decision on the prevailing practice in the locality. Except, that if the Arbitrator finds that a craft has improperly obtained the prevailing practice in the locality through raiding, the undercutting of wages or by the use of vertical agreements, the Arbitrator shall rely on the Decision of Record and established trade practice in the industry rather than the prevailing practice in the locality. c) In order to determine the established trade practice in the industry and prevailing practice in the locality, the Arbitrator may rely on applicable, a�ements between the Local Unions involvedin the dispute, prior decisions 4 th I JIOW Cdnferenee Board for specific jobs, decisions of the National Plan and,the National Labor Relations Board or other jurisdictional dispute decisions, ins with any other relevant evidence or testimony presented by those paidelpating h0he Bearing. d) Only if none of the above criteria is found to exist, the Arbiltra r sh;311 then consider that because elr'Kiency, cost or continuity and good, rria i-;,pt are essential to the well being of the industry, the interests of the co tsiuner or -the past practices of the employer shall not be ignored Agreements of Record are those agreements between National anc 1o*u} aionaj Utupzrs diet have been "attested" by the predecessor of tho National Plan- i4' tha AFL-00 Bt d'wg and Construction 'Trades Departme at and-, rem Bo(sk. Such Agmements,of Record are binding on eriril?loyccs s ? haw the Settlement or Jurisdictional Disputes in the Construotion iklyt-�a#at Plan"), the National Plan's predecessor,joint boards or sdi lsted astlt s nt t?ri%zEM Board. Agreements of Record are applicable only to the crafts sigiiat>Y'jr to sub agreements. Decisions of Record are decisions by the National A*ltrafoi:-Panel or its predecessors and recognized under the provisions of the Constitution ofthe 01,00 Building and Construction Trades Department and the National flan, Dec slons of Record are applicable to all crafts. The Arbitrator shall set forth the basis for his decision and shah explain his findings regarding the applicability of the above criteria. If lower -ranked criteria are relied upon, the Arbitrator shall explain why the higher -ranked criteria were not deerrtcd applicable. The Arbitrator's decision shall only apply to the job in dispute. Such decisions of the Arbitrator shall be final and binding subject only to an appeal, if such an appeal is available under conditions determined by the Building and Construction Trades Department of the American Federation of Labor and Congress of Industrial Organizations under the National Plan or any successor plan for the settlement of jurisdictional disputes. M PLA-CC-.41 DoauSign Envelope @: 5DDOCE4"988-4E39-8A30-1E842D256425 ARTICLE VII This is an arbitration agreement and the intent of this agreement is that all unresolved jurisdictional disputes must be arbitrated under the authority of the Joint Conference Board and that the decisions, subject to the right of appeal Provided in Article VI, shall be #final and binding upon the parties hereto and upon their 4Utps and the Mocrtbers of such affiliates, and that there shall be no abandonment of tiro work duripS such arltltmtion. or in violation of the arbitration decision. The Joint Con�ft epee Board shall a(Wn ster the neutral arbitration system of this agreement Any uly- d to this Agent througF a collective barpitwW "ment with:ony 14* IV4o. OW cc pf!t the Council shall be boundtothis Agreement for af;!tztictfal sly #haE eiar arise between any Local unions afliatied with the Council Rmpl%wtWW to this Agreement shall require that this Agreement be a part O all ti#tents .c i s or subcontratittars covering work performed .by any Owkvrorift 0014*1y tfte; Council. All parties to this Agreement release the DoW from *W llabGlty arising frotu >`ts action or inaction and covenant not ZQ sue the Hoerd AA+ cla mos "i wwrod by the . Board for any breach of this covenant shall include, loot are riot°filmed to, Abe Board's' costs, exposes and attorr>!eys fees incurred as a-n*ult of solo 1 Paragraph I - The annual meeting of the Joint Confermce board shall be hold in bane, unless another date is agreed upon by the parties. Paragraph 2-4 The parties hereto shall designalte ate. n ofn Mb Who shall serve upon the Joint Conference Board. Tboniembene"-tl a>xrtuQ certified by ft Associatlon and the Council in writtm cbmilloOkWOWad' d to tho Board by tho President and Secretary of the respectivo orga0hatch-)wr the Joint Conference Board shall select a Chairman from among :ins Awv-*ers, The. Mnt con- farence Board shall also select from among its members a Vigo Chains. The�Bo and shall also select a Secretary.All members shall 'serve for one year ter until Chair successors have been selected. Paragraph 3 - At the annual meeting, the Associations and Ceunoll shall each name at least five and up to ton impartial arbitrators. Paragraph 4 - In the event the Chairman or Vice�,Chahmaa is unable. to serve by reasonof resignation, death or otherwise, a successor may be seleetet#.for the remainder of tho term by the party which made the original selection. Should: a =mber of the Joint Conforezzce Board be unable to serve, because of resignation, death or any other reason, the successor shall be selected by the Association or Council respectively in which such member holds membership. Paragraph S - Should any member of the Board for any reason be unable to attend any meeting of the Board, the President of his respective organization shall be empowered to name a substitute for each absentee for that meeting. MPt_A-CC-42 6ocuSign Envelope 0: 5DD9C849-6998-4E3"A30-1E842D256425 Paragraph 6 - Meetings of the Board may be called at any time by the Chairman, Secretary or three members of the Board. Seventy�two hours written notice of such meeting must be given to each member of the Board. Paragraph 7 - Twelve, members of the board, six fmm, each ofthe parties, present at the executive session, shall be a quorum for the transaction of business. The Chairman, or Vice -Chairman, when presiding, shall not be counted to the use of determi*g a quorum. Whenever the number of members preset from each party at 60 mwoWive .session are unequal, he party with the tower m ornbevi presettral tm aAW `Oa out -a fatal nambear of votes equal to the number of th$ present members ofthe other with the additional votes of said party being cast in wa rdan66 with the voter of` the toejtt v of its members who are present.. Paragraph 8 - If it is brought to the attention of itte Chabru that my. rWmbqr,(sthw than the Chakn=) is not impartial with respect to a piartieularviatfer bofcate t 1* llos4 thls Chairman may excuse such: member from the o�ecutive �sinri C ttatf concludes that such membor has a eon€ Hct of interastt wi'#h feaptct our xithttrr. Paragraph 9 - Should a jurisdictional dlsputa 4dw botwot;4 the pardOX bOWN smong or between any members or affiliates of the p&rfts h , °or among of err members or affillates of the parties hereto and sortie of eirb r cif m*yers or employees, the disposition of such dispute 3W 6e as 'Nlow+ a)The craft involved shall meet on tba jobsits or a mutually agreed ibcatW to resolve the jurisdictional dispute.. b) If the said dispute is not settled it shall be su d lmmedfatolq to writing I ta the Secretary of the Joint Conference Board. Unless agreed to in. wr iing (correspondence, email, etc.) by the trades Involved in,Oe dispette; the trades an contractors shall make themselves available to moot wi'thlo 72 hours at a neutral site with representatives of the Chicago 8t Cook County DaUding & Construction Trades Council and the Construction F.mployco' Association to resolve this. jurisdictional issue. c) Failure to meet within seventy-two (fit) houm of'receiving wtittimm notloc of c- mail to the meetings contemplated in "a" or "b" above will autornat advance the case to the next level of adjudication. d) Should this jurisdictional issue be unresolved , the matter shall, within 72 hours not counting Saturday, Sunday and Holidays, hereafter, be referred town Arbitrator for adjudication if requested in writing by any party. The Arbitrator shall hear the evidence and render a prompt decision within forty-eight (49 hour's) of the conclusion of the hearing based on the criteria in Article V1. The arbitrator chosen shall be randomly selected based on availability fkom the list MPLA-CC-43 bocuSiF Emeiope ID. 5DD9e849-6998-4E39-6A30-tE6420256425 submitted in Article Vii Paragraph 3. The decision of the Arbitrator shall be subject to appeal only under the terms ofArtiole Vl. The written decision shall be final and binding upon all parties to the disputo and may be a short form decision. The fees and costs of the arbitrator sleet► be divided evenly between the contesting parties except that any party wishing a full opinion and decision beyond the short form decision shall bear the reasonable fees and costs of such full opinion. c) Shouldsaid dispute not be so ,refared by�eitit ar both o6ho p . the joint` Conference Board may, upon itsawainitkOvo, or az the request otothors interested, take up and decide such dispu , ands 1414wWoo shall bo- al and binding upon the parties hereto and upon *A* Ynembers-aid Maw as provided for in Article VI. In either circumstance all of the parties arc cammittoir to a case watil it is 110c11zed, eved if there is an appeal. However, in f teal ar d3sp ,b ..... ' Woo and another union, which is a. meWw offt saMo Id Ot?na! tlnl i, Via. ar tt r in dispute shall be settled in the mm=satfbt*,,y : , al; otistii~nti i b there shall be no abandonment of the work petid4said s lorttcuitd Paragmph 10 -All interested patties sti ll ba. , . t ..pr dons the Arbitrator. Any interested patty presepi at tl t�rther zhaita a piritats'4rt or aot, by such presence shall be of wr,'Wwtq agree to be bound by its decision and Airdwr4po to bq bou _ bj the tarW Agreement, for that case only if not othaso, , Paragraph l l - Upon approval of the Arbi :der `£ nut.dimctly inYetft+ed in the dispute may be invited to be present during they prpsoutivn and disc ion portions of an arbitration hearing. Attorneys shalt not be perm . 'tE? attend or pattlo mato'in ati}r portion of a hearing. Paragraph 12 —At no time shall any, party th a,pgadris ,r izspilteR unilaterally or independently contact the Arbitrator assigned to tier case,. All inquiries must be submitted W the Secretary of the Joint Confereoce Board. . Paragraph 13 - The Joint Conference Board may also serve as a board of arbitration in other disputes, including wages, but only when tegtrestod to do so by all parties involved in the particular dispute or controversy, It is not the Ita.> ontior of this Agregment ibatthe Joint Conference Board shall take part in such disputes except by mutual consent of all parties involved. ARTTCLL VII Paragraph l - The duly authorized representatives of mornbers of affiliates of either party hereto, if having in their possession proper credentials, shall be permitted to visit jobs MPLA-CC-44 bocuNgn Envelope [a 500$C849.8998-4E3"A30-1E842A255423 during working hours, to interview the contractor or the workers, but they shall in no way interfere with the progress of the work. Paragraph 2 - The handling of tools, machinery and appliances necessary In the performance of the work covered by a particular collective bargaining agreement, shall be done by journeymen covered by such agreeemcnt and by helpers and apprentices in that trade, but similar tools, machinery and appliances used by other trades in the performance of their work shall be handled in accordance with the particular collective bargaining agreement of that trade. Paragraph 3 - In the interest oft o public- economy and at the discretion of the employer or foreman, all small tasks covered ky'aaport ar collectivo barpifiing agreomont may be done by workers or laborers of other trades,, if meohanics or ldbtires ofthi4irade are not on the building or job, but same ost. not to be of ltfnger dnracinrt than t Half hour im any one day. The Joint Confer+encs♦ $card may render a decision invelving a composite crew. Paragraph 4 - It is fundamental to the of the parties to this Av= ent be sfi Conference Board. All current methl Constructions Trades Council, andIM Standard Agreement and Joint Coro Agreement. The area labor agreemm forth language stipulating those0atat Board shall be filed with theSer of the Joint Conference Board po prevail as interim agreements in the, at the time of the annual meeing, affRiates Jf the Wcago and Cook County SU11414-and WmA -by this Agri iinb0t are stipulated to the Board for the term of the cumat'ndard `ilea 2nembers and bates of tie p tines setting fire tl$idA4reemeut and JOW C hrence he Jbtltc�tincaariruiij+p at the time ft Cbrivrit trade or crdt-aVeamenfs will labor'neg6dtitions are Fnecimplete or in process Paragraph 5 - All members and a#iiliate&ofthe patties with laboragreentents containing language stipulating those parties W tlie`Strtdsrd Agreement anti Joint Confttrence $bard shall remain stipulated for the term oftmr,cm mA Standard Agreement. Any members or affiliates of the parties who negotia'mIanguagt stipulating the parties to the Standard Agreement and/or the Joint Confareh- beard in their area labor agznent shall remain stipulated for the term ofthe current 5tandez� Agreement Any As�socaa#foe that incorporates Standard Agreement end/bi JohitConferenee Board stipulation language into their collective bargaining agreement will automatically have representation on the Joint Conference Board. Paragraph 6 - Only those crafts with stipulation language in their area labor agreements will be allowed to bring jurisdictional dispute casts to the Joint Conkrence Board. Those crafts without stipulation language in their area labor agreements will be allowed to participate if a jurisdictional dispute ease is brought against theircraftand will have the right to appeal any decision, if such an appeal is available, as provided in Article VI of this Agreement_ MPLA-CC-45 DocuSign iEnw1ope ID: MD9CB49-6998-4E39-aA30-tE042D2WW Paragraph 7 - This agreement applies only to work pe, f rmed within Cook County, Illinois. Paragraph 8 - As herein before provided in Ardole VII, decisions or ayiards as to jurisdictional claims and decisions, dotermidog whether or not said decisions or awards have been violated rendered by- the Joint Conference Board shall be fatal, binding and conclusive on all the parties hero, Al: of th k awrobwanid affiliates, and on all employers subject only to the right of appeal herein provided for in Article Vl. Paragraph 9 - To further I*Ment the► dwsio pf therJolat_Gonferxa'tee Board, it is agreed that any partyham, say4 thok w=bqnvrOM6o;,-aW, empkr may at any time file a Verified Coo . in with witiZ t f` 894rd al ging a violation of a decisicttt era pt ipt Iy znt , Ti Bo s t tsuPon suet "a hearing, to be hold wAio thm 4A of me* of E d Gopl tt withto the alleged violation, and shall nAtffyall it rowd oftifia #lrpe t3ard ply thereof. An Arbitrator selected puns ft AwolelvA,1 ' , tit {�d Ali o: a hearing tit the time and place spoci#ied, - jL AA1 1' t ,a t+ t tttity to testdfy and to presentdocu e t , t :tnattero#`tlte.bearing within forty-eight (os) ttoc tb wp*_ 11 A w4tor r a. written deoWon in the tn"W stttoa wi roc° tut ;beep 4 violation of its prior dooision or awwdb C4*4fdeoisio situ i d,,,l y #iflad. trail or by personal service,. Upon aff path,) Paragraph 10 - Shw id the Arbt#r€atgr:t to ini3 tt>t� id l es<b-0, a violation of the Board's prior decision A lanes by the offending party or parties. ' f or mxy take tents€ xowe of tha %Bowl g courses of action in order to enforce compliance with the Board's dale a) The Arbitrator may asset liquidated"cismagesa swM ex1; eed $5,000 for each violation by individual moto' I Q son eraisloy s r " it by tbq, parties hereto, and may assess lqu'l dmed damages. vot axceed.�O,* for each violation by either gaily harrtc, ox �+ wits af1€h o rept^es+tatives, if a one is rendered by the ArblWori It should ba come uratc wM tire: seriousness of the violation having a refit cnnship.to lost hour3, f1a the Clnisms and lost om enay for the employer. Each of the pathos hereto hemOyy agrees fos Itself� and its members, to pay to the other party vthih daixty days anysum, or scams; so' assessed because of violations of a decision or award by itself, its officers, or representatives, or its member or members. Should oither party to this agrcenneat, or any of its members fail to pay the amount so assessed within d*ty clays of its assessment, the party or member so failing to pay shall be deprived of all then benefits of this agreement until such time as the matter is adjusted to the satisfaction of the Arbitrator. 10 MPLA-CC-46 bocusigri Envelope lo, 5DQ9C849-6996.4E39.8A30-tE6420256425 b) It may order cessation of all work by the employers and the employees on the job or project involved. Paragraph I I - All Notices under this Agreement shall be in writing and sent by the. Administrator of the Joint Conference Board via facsimile or email. For all nodfications to affiliates of the Chicago & Cook CountyBuilding and Construction Trades Council, the Administrator may rely up the hicwinlildi numbers, addrwos andentail addrems in the current direct ory o the "CoUWL I+or notMcat€Ons to all contractors and, subcontmaors, the AdmW*ator may rely on corporate, Infomal tion, on the Illinois Secretary of State wa�bsite �r ot% priate cktabases. Oftinal, Notices of aU Joint Confe,=ce Board ";Way 6Ott to each of'tha patties involved via certi&d mail. The notice provlSIOU @flt' ltt*Way, inn orlegal holidays. Paragraph 12 - The WI *Y�00 be recorizad eglwl halos: New Yom Day, Memorial Day, dir t 1 , i.abor f?ay,'tt anksgl ittg Day and Christilcla Day. Paragraph 13 - no Dowd thelf h4vo no decision after a hOa4,, `!Armh shall be the resporsw, i3ty.aftiW!ptottaili decision, incrludingfl - a d�rs a with a prior ward Qt' be entitled tv recover 0411tpxr event the Board is arc" or'' 0.. enforcement procew nitre attorneys flees, and any 4MO h rot) undewks my action to e?force its Wtcd partial o£`it de cislon. Rather, it to i6ck apg-pniate enforcernent of a 'the de i i IrtIng non-cwaapiiance loy �% MW OwbrWrlont proceeding shall ll4n: the non- av7ail rlg party. In the e ed PP*hWO in, any auch naalliteg,party shall beer, all costs, Paragraph 14 - In establiats#,rgfe jurlmii vet Q� ft Joint Conference Board overall parties to the dispute, thappnsryrespttiztsiiilityfor the judicial determination of the arbitrability of a dispute atAthe Gtlort offt Cortira�ce Board shall be borne by the party rcguestirtg lief fttear file iiircietlyg jrisdctiotral dispute. If all of the parties to the disputethe arbitration herring or otherwise agree in writing that the parties am s6pulated to the Joint Conferobca Hoard and Standard Agreement, the mated' ?4t`pa�&.s`mayproceed at the lariat Conference Hoard even in the absence of one or,moft parties taa the dispute, In such instances, the issue at jurisdiction is an additional tbat"inust be determined in the first instance by the Arbitrator who shall set fort bad of bis determination -in his decision. The Joint Conference Board may pacdei alain. any procte ings seeking s declaration or determination that the underlymg'dlstpute is subject to the jurisdiction and process of the Joint Conference Board. In, any such proceedings, the non -prevailing party and/or the party challenging the jtzdsdiotion of the Joint Conference Board shall bear all the costs, expenses and attorneys fees incurred -by the Board in`estabbshing its jurisdiction. The provision of Paragraph 13 regarding obtaining attorney fees shall apply. IT M PLA-CC-47 DocuSlgn Envelope 10: 5DD9CS49-899&4E~39-8A30-1E842D256425 Paragraph 15 - It is agreed by the parties hereto-thatthisagreement shall remain in full force. and effect until June 1, 2020 unless otherwise amended by agreement of parties. IN W rINESS WHEREOF, the parties have caused this document to be executed at Chicago, Illinois this 28tb day of May, 2015, CONSTRUCTION EMPLOYERS' ASSOCIATION LaO4.1's tUskw) Sr. BY Charles M. Usher EPLA-CC-481 12 CHICAGO & COOK COUNTY BVILDINQ & CONSTRUCTION TRADES COUNCIL BY Thomas Villanova Contract No. CERTIFICATE OF COMPLIANCE WITH MULTI -PROJECT LABOR AGREEMENT (MPLA) I/WE hereby acknowledge that I/WE (Name of company) have read the Metropolitan Water Reclamation District of Greater Chicago's Multi -Project Labor Agreement. I/WE and all my/our subcontractors certify that we are in compliance with the Agreement in that I/WE and all my/our subcontractors have agreed to be bound by and operate under a current collective bargaining agreement with a union or labor organization affiliated with the AFL-CIO Building Trades Department and the Chicago and Cook County Building and Construction Trades Council, or their affiliates which have jurisdiction over the work to be performed pursuant to this Contract, (hereafter referred to as a "participating trade group"). State the name of the participating trade group(s) that your firm is currently signatory with in order to comply with the MPLA: (e.g.: Operating Engineers 150). (Identify all such participating unions or labor organizations. Attach a separate sheet if necessary); If your firm is not currently signatory with a participating urdon or labor organization, complete the following: I intend to comply with the MPLA by: Entering into a collective bargaining agreement with the following participating trade group(s): (Identify all such participating unions or labor organizations. Attach a separate sheet if necessary); By: _ Attest: Dated: Name of Company or Corporation Signature of Authorized Officer Secretary Revised April 2018 MG'LA-CC-49 EXHIBIT 4 Affirmative Action Ordinance, Revised Appendix D AFFIRMATM APPON ORDINANCE METROPOLITAN WA,U ;MATION DISTRICT OF GRAM CHICAGO AS REVISED JUNE 4, 20'1 S AFFIRMATIVE ACTION ORDINANCE REVISED APPENDIX D OF THE METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO Section 1. Declaration of Policy Whereas, it is the policy of the Metropolitan Water Reclamation District of Greater Chicago (the "District") to ensure competitive business opportunities for small, minority- and women -owned business enterprises in the award and performance of District contracts, to prohibit discrimination on the basis of race? sex, gender, color, racial group or perceived racial group, disability, age, religion, national origin or ethcity, sexual orientation, veteran or military discharge status, association with ann4 with those characteristics, or any other legally protected characteristic in the award of or participation in District contracts, and to abolish barriers to full participation in District contracts by all person, regardless of race, ethnicity or sex; Whereas; the listrict pursuant♦ tp ft o ty under 70 II,CS 605/11.3, is committed to establishing procedures to implem t�la polio as well as state and federal regulations to assure the .utilization of minority-p ned.,,'WoVio o x . end small business enterprises in a manner consistent with constitutional, re qui!ti Whereas, the District is comm11t44,tqqua4 opportunity for minority -,women -owned and small businesses to participate in t o a va i - . rfoim ce of District contracts; Whereas, the Supreme Court o 'tutu ; in City of Richmond v. J.A. Croson Co., 488 U.S. 469 (189), has, e ' t . , jai s � s thot nece , maintain effective contracting affirmative action proms in c iri11 p Artgo with constitutional requirements; Whereas, the District is cotttsd to implementing its affirmative action program in conformance with the United States S*o ne'C u&s decision in Croson and its progeny; Whereas, in furtherance of this eo , 'trnent, the Board of Commissioners directed the District staff and its outside consultants in 1to conduct conduct an'investigation into the scope of any discrimination in the award of and participation in District construction contracts as well as in the construction industry in Metropolitan Chicago, the extent to which such discrimination or the effects thereof has denied and continues to deny minority and women's business enterprises equal opportunity to participatein District contracts and to recommend the appropriate affirmative action steps to be taken to eliminate any such discrimination and its continuing effects. Whereas, on June 21, 2001, the District adopted its Revised Appendix D, Notice of Requirements for Affirmative Action Program to Ensure Minority, Small and Women's Business Participation ("Appendix D"); and Whereas, in 2006 the Board of Commissioners undertook a review of Appendix D, the District's contracting policy and operation under Appendix D and an investigation into the existence of continued discrimination against minority and women -owned businesses in the Metropolitan Chicago construction industry to evaluate the continued need for Appendix D and D -2 any necessary revisions thereto; Whereas, the Board of Commissioners undertook a review in 2012 of Appendix D, the District's contracting policy and operation under Appendix D and an investigation into the existence of continued discrimination against minority- and women -owned businesses in the Metropolitan Chicago construction industry to evaluate the continued need for Appendix D and any necessary revisions thereto; Whereas, in 2014, the Board of Commissioners undertook another review of Appendix D, the District's contracting policy and operation under Appendix D and an investigation into the existence of continued discrimination against minority- and women -owned businesses in the District's geographic and procurement market areas to evaluate the continued need for Appendix D and any necessary revisions thereto. That review resulted in commissioning a comprehensive disparity study conducted by an outside consultant that was finalized in 2015. Section 2. Findings The Board of Commissioners, having reviewed the 2015 report of its outside consultam finds: 1. In 2003, the tJ S.. District City of Chicago, 298 F. Sup .2d 725 (N, demonstrated that past and curroAf firms at a competitive disadvantage gn tk have and continue to impede the g�wth a 2. In 2004, a study of the K Bates, Distinguished. Professor, Wayne African-An*riean, i; ispgniac .Ono, p t owned businesses hoe bakers in those faced by white mates. Court in guilders Association of Greater Chicago v. . III. 2003) hold that the evidence introduced at trial Minatory practises contue to place MBE and WB %award .of governmental contracts and such practices �d success of MBlys and WBEs. tropolitan Chicago Construction Industry by Timothy State Univp-sity, concluded that the evidence that i pO ,b is sses have been, and continue 'to be �tit'y mall t�usutesses is strong, has rernairii cal thatFAi¢ait-Anc�an, Hispanic, and women tropiit Clucag construction industry greater than 3. A November, 2005 study of the Metropolitan Chicago construction industry by David Blanchflower, Professor of Economics at Dartmouth College, has determined that discrimination against Asian -owned businesses existed in the business community in areas of business financing and construction wages and that this, together with evidence of individual discrimination against Asian -owned construction companies, leads to the conclusion that discrimination against Asian owned businesses continues to exist in the Metropolitan Chicago construction industry. 4. In 2005, the U.S. District Court held in Northern Contracting, Inc. v. Illinois Department of Transportation, 2005 U.S. Dist. LEXIS 19868 (N.D. Ill. Sept. 8, 2005) that there is strong evidence of the effects of past and current discrimination against MBEs and WBEs in the construction industry in the Chicago area. 5. The trial court's decision was affirmed in Northern Contracting, Inc. v. Illinois Department of Transportation, 473 F.3d 715 (7`' Cir. 2007). 6. In 2006, Board of Commissioners of Cook County, Illinois accepted a report it had commissioned titled, "Review of Compelling Evidence of Discrimination Against Minority - and Women -Owned Business Enterprise in the Chicago Area Construction Industry and Recommendations for Narrowly Tailored Remedies for Cook County, Illinois" (Cook County D -3 2006 Report), which concluded that there is extensive evidence of discrimination against MBEs and WBEs in the Chicago area construction marketplace, and the participation of MBEs and WBEs in the County's construction prime contracts and subcontracts is below the availability of such firms. 7. In 2006, the Illinois State Toll Highway Authority commissioned a study for the availability of Disadvantaged Business Enterprises ("DBEs") in its geographic and procurement markets, to ensure that its DBE program was narrowly tailored as required by constitutional standard, which found 19.56% DBE availability in construction, 19.36% DBE availability in construction=related professional services, and that DBE utilization had steadily increased from 2.40% in 2004 to 24.72°fo in 2410.8: The Board of Commissioners of Cook County commissioned a new report, entitled *7he Status of Minority and Women -Owned Business Enterprises Relevant to Construction Activity In and Around Cook County, Illinois" (Cook County 2010 $tudy), which, found that MBEs and WBts were not utilized in all aspects in proportion to their, availability. 9. In 2014 the: U34 Pep tmer t of Justice produced a report to Congress, Onthwd "Compelling Interest for 1 - and order -Conscious Federal Contracting Programs: An Update to the May �3, 19 Re i of-, aiiors to Minority. and Womp-Owned 3usi e$, °" ut updated 'the original 'basis fd� &e ,$ Departrnent of Transportation's DBE pr l r 44` concluded that discrit, blots efioue to impede the ability of MBE& and s to compete ~with tier rrrts ern and equal footing in government contra tin J, including. n thoowstcuoWn 10. In 2411'2 `oned a report on barriers to oustr ti omt c opportrxnities in the t ha0 p.:` end re br endatl6ns for District efforts to cdilcc 81a0 barriers, which €otO : it�'t Mqgeqcgnstntation market. 11 h? 2014 Tb `cnnij�s oned. its first comprehensive disparity, study to investigate barriers to eqwoppo�"s"In the 'District's geographic and industry h aft, eas and make recomrnendatiota for))iarict efforts to reduce such barriers, which found' continuing disparities in the bigtHef7s fhk6t �roas. 12, In 2015, ft t l curt in Midwest Fence, Corp. v. U.S. Department of Transportation et 4 2015 J. 9,076 (N.D- , 111. March; 24, 2015(Held that discrimination continues to impede ud rldisadvantaged business enterprise in the Illinois construction industry). 13. The District has determined that it has a continuing compelling interest in preventing public funds in construction contracts from, perpetuating the effects of past discrimination and current discrimination against minority- and women -owned firms in its market. 14. The Affirmative Action Program adopted by the District is hereby modified to further continue to ameliorate the effects of racial and gender discrimination in the construction market. 15. The remedies adopted herein by the District will not overly burden non -MBE and non-WBE firms in the award of District Contracts. 16. The Commissioners shall periodically review minority -owned and women -owned participation in contracts awarded by the District to ensure that the District continues to have a D -4 compelling interest in remedying discrimination against minority and women -owned firms in the award of District contracts and that the measures adopted herein remain narrowly tailored to accomplish that objective. Now, therefore, the District Board of Commissioners hereby adopts this Revised Appendix D: Section 3. Purpose and Intent The purpose and intent of this Ordinance is to mitigate the present effects of discrimination on the basis of race, ethnicity or sex in opportunities to patictpgo. oti the District's prime contracts and associated subcontracts and to achieve equitable 4!Z44oa of minority -owned; women owned and small business a lerpnses in District construction;. aontracts. Section 4. Coverage The fallowing provis ons, to be lcuown as "Appendix D" together with relovW, forms, shall apply and he A"' � t0 very ccinstruc, ion 06tract awarded by the Distrito �v� � --t estimated toil e�p C.is in, q�eess of $10%000.06, except contracts let in to event oldaft. emcenyp4lanX.tt$ 21115. Section 5.. 000nMotra The, Mea rig of tee in the Ordinanc are as follows: (a) "Admi, 1*4toe Meats, the District's. A, irmattve, Action Program Adm` mt. (b) "Afftlj�kl of a .P�rscm or enl ty rn n a prson or entity that directly tly throu h pne of iio td,*4 s, cotitrols, or is "pllad by, or is under , 1 with, the pe n i znirtg l on; '# , l s€rict shall t=ansider a , factors, Including covmwownetft common maxiigem0i t, and contractuallati. (c) " Annual Puptiarr {3oals" mean the tatgetct levels established by the 13tict for the annual aggrqgatepoM14p4tion of MBEs and WBEs in District construction contra (d) "Bidder" means at individual, a business enterprise, including a sole pro prhietorship, a partnership, a corporation, a notY for profit corporation., a limited liability company or any other entity which has submitted a bid on a District contract. (e) "gooks and Records" include, but are not limited to, payroll records, bank statements, bank reconciliations, accounts payable documents, account ° receivable documents, ledgers, all financial software, and all employer business tax returns. (f) "Contract Specific Goals" means the Goals established for a particular project or contract based upon the availability of MBEs or WBEs in the scope(s) of work of the Project. (g) "Construction contract" means any District contract or amendment thereto, providing for a total expenditure in excess of One Hundred Thousand Dollars ($100,000.00) for the construction, demolition, replacement, major repair or renovation and maintenance of real property and improvement thereon or sludge hauling and any other related contract which the District deems appropriate to be subject to Appendix D consistent with the Ordinance. D -5 (h) "Commercially Useful Function" means responsibility for the execution of a distinct element of the work of the contract, which is carried out by actually performing, managing, and supervising the work involved, or fulfilling responsibilities. (i) "Contract Goals" means the numerical percentage goals for MBE, WBE or SBE participation to be applied to an eligible District construction contract subject to Appendix D for the participation of MBEs, WBEs and SBEs, based upon the scopes of work of the contract, the availability of MBEs, WBEs and SBEs to meet the goals, and the District's progress towards meeting its Annual MBE, WBE and SBE goals. 0) "Director" means the District's Director of Procurement and Materials Management, formerly known as the Purchasing Agent. (l) "Lconomically Disadvantaged" means an individual with a Personal I�et VYorth .less than $2,000'100 -`O , indexed annually for the Chicago Metro Area Consider Price Index, published by the C .S, Cement of Labor, Bureau, of Labor Standards, beginohlg TWW 008. (1) 1% e<;i4tlVe 1A`roctor" m s the ehiof administrative officer of the Distrilot4 formerly known as thho tl;uiterintendeo#. Ales demo strated skills, knowledgrve or ability to, Rmfo, ia Ilic #i old of endpeay - z ' qk l certifreativa is sought by the firm as defined by normal adU - practioes, including liectirelere required. `orts," meant those hottest, fair and ooThin CiaElly rile actions 0, undertn fan rtioot the -MBE or ."E goal, which; by they e, nsity, and apprppri ie e2 p e t%ve fan r�ason�bly be expected to fulf 11 the Prcag. � , xr�e"` is ~oey licsed to practice in the StWq iU red by the B �mcki t in thisOrcntrao+n�gziianoe wtih this Qrdinance. ` visit flVenium" means an association of two or more persons, or apy oombjw, ion of types of'l u ` _ �nfe rises and persons noimbering two or more, proposing to Pod ` a single for proft busira enterprise, in which each Joint Venture partner contributes prop , capital, efforts, skill a c i pvvledge, and in which the certified firm is responsible for ei't, a 1 clearly defined portion -,b the work of the contract and whose share in the capital contrihutlgd; control,. management, risks, and profitsof the Joint Venture are equal to its ownership interest. Joint Ventures must have an agreement in writing specifying the terms and conditions of the relationships betwveon-the partners and their relationship and responsibility to the contraot; (q) "Job Order Contract" or "JOC" means a firm, fixed price, indefinite quantity contract designed to complete a large number of construction projects quickly. (r) "Local business" means a business located within the counties of Cook, DuFage, Kane Lake, McHenry, or Will in the State of Illinois or Lake County in the State of Indiana which has the majority of its regular full-time work force located in this region or a business which has been placed on the District's vendor list or has bid on or sought District construction work. (s) "Minority -owned business enterprise" or "MBE" means a Local Small business entity, including a sole proprietorship, partnership, corporation, limited liability company, Joint Venture or any other business or professional entity, which is at least fifty-one percent (51 %) owned by one or more members of one or more minority groups, or, in the case of a publicly held D -6 corporation, at least fifty-one percent (51%) of the stock of which is owned by one or more members of one or more minority groups, and whose management, policies, major decisionsand daily business operations are controlled by one or more Minority Individuals. (t) "Minority Individual" means a natural person who is a citizen of the United States or lawful permanent resident of the United States and one of the following: (i) African -American - A person having origins in any of the Black racial groups of Africa and is regarded as such by the African American Community of which the person claims to be a part. (iii) Asian -American — A person having origins in any of the origioal. peoples of the Far Bast, Southeast Asia, the Indian Subcontinent, or the Pacific Islands, os theTorlherx Marianas,d is regarded as such by the Asian American community of which the g Qn clairzis to be a;'iG. (I!)' l:ii&panic-American A person having origins from Mexioo,,,ftorfo T4,Qo,: Cuba and SoUtb -OrCont Am$rica and is regarded as such by the Hispaanl- �, OommOmfty of which the persoil glafrns to lac: a part, regardless of rage. (iv) Vative,A n A person having origins in any of1he I� peQpl s of N artd v ¢ co ed through trlb Cortif cation as a 1 r Oft . a, i o o i t or t244[pn ree6gri1Ztd by the Government of the Una otatt� ek (v} fi%d vldual. txiembers of other groups whose particip n .: ` red or a state or fl t WO or by eotlrrfrdr. V In Idi vtial tnebers of other groups found by theistirit�oeially D hY b I'Ted, radial or ethnic prejudice or aultur )?as wit , Am caii sci �r teed to ihdvldua ualities� resultixt in decreased oppctrtuxiifi 1 c in the i's*lace arts dourless with the District. ( P .4.4 N WortV mems the het value of the assets of aA inaW& t t M l S � s : peTOunal aet worth d dt Licit � ' ` ,d�ihal o , tjn.aii applicant or, other oared MBIr or WBB, provid6tl flt'#th f` :. e$" a sotal. agency that meets the District's eligibility terai� or �%e ind��vf'd, s equity In l or. igr primary place or residence. As to assets held jointly with his or .her Sousa rec, gMZO,,d civil trier, an individual's personal net worth includes only that ndivldal'smhare of such assets. An individual's net worth also includes the present value of the individual's interest in any vested pension plans, individual retirement accounts, or other retirement savings or ipvestmtrt°faro s less the, tax and interest penalties that would be imposed if the asset were disetO ted at the present time. (v) "Prime Contractor" means a Contractor that is awarded a District contract and is at risk for tfae completion of an entire District project, including purchasing all materials, hiring and paying subeonti actors, and coordinating all the work. (w) "Small Business Enterprise" or "SBE" means a small business as defined by the U.S. Small Business Administration (SBA), pursuant to the business size standards found in 13 CFR Part 121, relevant to the scope(s) of work the firm seeks to perform on District contracts, except that the size standard for specialty trade construction firms shall be 150 percent of the SBA size standard. A firm is not an eligible SBE in any calendar fiscal year in which its gross receipts, averaged over the firm's previous five fiscal years, exceed the size standards of 13 CFR Part 121. D -7 (x) "Socially Disadvantaged" means a Minority Individual or Woman who has been subjected to racial, ethnic or gender prejudice or cultural bias within American society because of his or her identity as a member of a group and without regard to individual qualities. Social disadvantage must stem from circumstances beyond the individual's control. A Socially Disadvantaged individual must be a citizen or lawfully admitted permanent resident of the United States. (y) "Subcontractor" means a party that enters into a subcontract agreement with a District Prime Contractor to perform work or provide materials on a District project. (Z) subcontract On* corn] is a «seed coit () 'Ter" refers to the relationship of a subcontractor to the prime cqUtractor. A or having a contract with the prime contractor, including a material staff Her tp the actor, is considered a "first -tier subcontractor," while a s cphtraptc $t e rratra it ftd-tier subcontractor" and the subcontractor's rnatpria I a is a f'fh -dol tti�coraGtor tubed to the sgmc duties, Ob*tcass? o�. tttc r s 6rdina nco. "fit hz*ipn flan" me s the, �> in the form speodipd, by-; i lot wwah Faust by a Bidden lis* tho NH S, WBFs and SBE tw o contract, the scopes of the work and the dollar duos ot the per-ovotWS of the (bb) "V ,dor list"' means tho District's list of firms that A £� e un of Cools, thea d£ o w ov by the Q y o E h oago, th , CQ. ty . di e t Cantor, of the C sago Minority Suppler : 1 slrisstptise yy Iinais Unified Crt�ctio r � � ins �y tla� t.l.�. 5�1 lii�si�ess AdzninistraSan, "� -�vned btsn� eit#e riso,Y or "WBE" m a U et# as atest liy-onetcen# (l✓) owned by one or mote ecti porat pn, y-taiie pent ( 1 % } of the stock of 'Whicl� is o ta, and whdse management and daily business operations are contr. woieYi. iettrmination of whether a business is at least fifty-one percent wn iai� ol` wcimen shall be made without regard to community Proporty laves ttagomon s ` ell; c as ��,as a mall 1 d 1: on;, la� Out- of a V- d by one, orb oiled; by tine or more (31 %) owned by _a Section o Non -Discrimination and Affirmative Action Clause As a precondition to selection, a Contractor must include in its bid proposal f6f a'eovered contract the following commitments: During the performance of this contract, the Contractor agree: (a) It shall not discriminate on the basis of race, sex, gender, color, racial group or perceived: -racial group, disability, age, religion, national origin or ethnicity, sexual orientations veteran or military discharge status, association with anyone with these characteristics, or any other legally protected characteristic in the solicitation for or purchase of goods in the performance of this contract. (b) It shall actively solicit bids for the purchase or subcontracting of goods or services from qualified MBEs, WBEs and SBEs. D -8 (c) It shall undertake Good Faith Efforts in accordance with the criteria established in this Ordinance, to ensure that qualified MBEs, WBE, and SBEs are utilized in the performance of this contract and share in the total dollar value of the contract in accordance with each of the applicable utilization goals established by the District for the participation of qualified MBEs, WBEs and SBEs. (d) It shall require its subcontractors to make similar good faith efforts to utilize qualified MBEs, WBEs and SBEs. (e) It shall maintain records and furnish the District all information and reports required by the District for monitoring its compliance with this Ordinance. (f) It shall designate a person to act as an Affirmative Actionodrdinatoz to facilitate the review of all concerns related to the participation MBEs, W.Bs and Section 7. Race- and Gender- Neutral Measures to Eusure-pool Opportunities for All CotIttactors and Subcontractors Tt District shall develop and use measures to Ac' a tbe pa 't tcipat op of all funs in rstriat con,4tz etion contraot$t`g activttios. These measures 9hal inolpde but vo not hi mitod: to ) Unbust ing oorttracts to facilitate the p€trticip40.00 0f U apd SM1 9 as M ing lr to io tones for the presentatron : t � pv9p *,o a livery. $4 rio fpatidn of interested b - i ,0tr tct s. Vbviding.umQrmationon contracting p � r; t lion end pae is cn �hg op ties, 144luill,t through an elec o c si l n . AssistWO 1V at s and 813Es with tra.inizg ws obi he toWt,al asp is of 1 a bid for a, 01sullitcontraot. ( zidih j!0,oo to businesses in oV4 t sXrc3b d —in 4t ' ` 41bondin acid fna oin , and support for busi less de lc pm t has a0000ift bid iWjOWOO, SW�ty requirditWnts, quality control. (f) Prohibiting Prime Contractors from requiring bi yiding fbr subcontractors, where' ( Holding pre -bid conferences, where appropriote, to explain the contract and to encourage Bidders to use all available firms as subcontractors. (h) Adopting prompt payment procedures, including, requiring by contract that Prime Contractors promptly pay subcontractors and investigating complaints or charges of excessive delay in payments, (i) Developing Linked Deposit and other financing and bonding assistance programs to assist small firms. Reviewing retainage, bonding and insurance requirements and their application to bid calculations to eliminate unnecessary barriers to contracting with the District. (k) Collecting information from Prime Contractors on District construction contracts detailing the bids received from all subcontractors for District on construction contracts and the expenditures to subcontractors utilized by Prime Contractors on District construction contracts. (1) Limiting the self -performance of prime contractors, where appropriate. (m) To the extent practicable, developing future policies to award contracts to SBEs. (n) Maintaining information on all firms bidding on District prime contracts and subcontracts. (o) At the discretion of the Board of Commissioners, awarding a representative sample of District construction contracts without goals, to determine MBE, WBE and SBE utilization in the absence of goals. (p) Referring complaints of discrimination against MBEs, WBEs or SBEs to the appropriate authority for investigation and resolution. Section 8. Certification Eligibility (a) Only businesses that meet the criteria for certification as a MBE, WBE or SBE may be eligible for credit towards meeting Utilization Contract Goals. Tbw applicant has the burden of production and persuasion by a preponderance of the evidence at all stages of the certification process. (b) Only a firm awned by a Socially and Economically Disadvantaged psrson(s) may be certified as a MBE or WBE. (i) The f nWs ownership by a Socially, and Eoonom ally Disadvantaged person(s) must be real, substantial, and continuing, going beycf nd pro fift4 ovm ship of tho Am as r ocw in ownership documents. 'Elie owner(s) tntist Sri ciy the ineidents ,of owersli and share in the risl�s and profits comzYast vith11 i71 #n V. (ii) The contributions of capital or e so 1 � tl(l � E ohonucally i isadvan taged owners) to acquire the ownership t #t Mi# st be daloAa Vista al. if a rt is relied upon as pant of a Social and; fgcrnd , y ���y �d pwner's contribution to aoqu m ownership, the Expertise most, hj o� .to, rqWslt_ : "'sty . generally ' . bl to the i cogrn W in a spectalin Odd. in areas cnt�c to ' op , . iOr 's potential sties s, speck to the type,�of w©rk thn i t �". d ." in die rords� Tne indM41,W, whose )a?tperttse is roiled roust bAvc a 90nsVrate iri is al" i4vesttnerat in the Artri. Qniy As managed and co fi�p `a Boc4 � " � n�ritrally I�i�ad�tagecl�er�on�s) (i A firm. must not be subject to any fornial rosijjcjjq�� �t 11rnit the customary discretion of th,eociaily and Economically Disadvantage own( Thpre, can be no restrictions through corporate charter provisions, by-law provisions, contracts or any other formal or informal devices that prevent the Socially and Economically Disadvantaged owner(§), without the cooperation or vote of any non -Socially and Economically Disadvantaged person; from making any business decision of the firm, including the making of obligations or the dispensing of funds. (ii) The Socially and Economically Disadvantaged owner(s) must possess the power to direct or cause the direction of the management and policies of the firm. and to make day-to-day as well as long term decisions on management, policy, operations and work. (iii) The Socially and Economically Disadvantaged owner(s) may delegate various areas of the management or daily operations of the firm to persons who are not Socially and Economically Disadvantaged. Such delegations of authority must be revocable, and the Socially and Economically Disadvantaged owner(s) must retain the power to hire and fire any such person. The Socially and Economically Disadvantaged owner(s) must actually exercise control over the firm's operations, work, management and policy. (iv) The Socially and Economically Disadvantaged owners) must have an overall understanding of, and managerial and technical competence, experience and. Expertise, directly related to the firm's operations and work. The Socially and Economically Disadvantaged owner(s) must have the ability to intelligently and critically evaluate information presented by D -10 other participants in the firm's activities and to make independent decisions concerning the firm's daily operations, work, management, and policymaking. (v) If federal, state and/or local laws, regulations or statutes require the owner(s) to have a particular license or other credential to own and/or control a certain type of firm, then the Socially and Economically Disadvantaged owner(s) must possess the required license or credential. If state law, District ordinance or other law regulations or statute does not require that the owner posses the license or credential, that the owner(s) lacks such license or credential is a factor, but is not dispositive, in determining whether the Socially' and economically Disadvantaged owners) actually controls the firm. (vi) A Socially and Economichlly Disadvantaged owner cannot engage in outside employment or other business interests that confliet with -fie rri .m$nt pf the firm car prevent the owner fxozp devoting sufficient time and att�it*n to tn4 aff��s of the firm to Moage and control its day to day activities. (d) b ly an independent firm may be certif%e'd � a '1 , r s1 . An independent firm is one whose vial lity sloes not '* rid 'on Its i4 with tltcr firm, Recognition of an applicant as a separate entity for tax or 0. Orpamtpqo#is,riot neoessadly sufficient to 4ernoogtrate that is independent add non-AMIW, ' ts' det iisti whether an applicant is an in ftondent business, the Director will:: () EvalUft relationships with rrrYs in suo'h areas as personnel, facilities, egaipment,Atancial and/or bob ding s po , mouroes, (0), Con $der whether present or oyetle l�Jt r e, relmionsltips between the Socially tenoically Dsadvatata o , split fcir ,)vME or WBE cehtioaOr, Ownrs of the applicant fir UZ aM. afPled firms or persons assoo 'd with"non-certified s ooi pr i 1 is it deli gee:. (it 'ne the applicant's rol. i 4 d tans, to determine w'lidther a >.pa . , M of exctlWive or primary debl*, -fed -Arti co xomises the appiioant's rise" odd . _Y. i Cot#ider the consistency of r 46h, � tlps betw4.n the applicant and non - certified firms wif1i nor1 industry practice. (e) Aii applicant shall be certified only for spectf3c t spi t pfwork in which the Socially and Economically Disadvantaged owner(s) for MB s a d; s dr�the majduity owner for SBEs has the ability and Expertise to manage and control the &rn's operations and work. (f) The District shall certify the eligibility of Joint Ventures involving MBEs, WBEs or SBEs and non -certified firms. (g)The certification status of all MBEs, WEs and hall'be reviewed periodically by the Administrator. Failure of the firm to seek recertification by filing the necessary documentation with the Administrator as provided by rule may result in decertification. (h) It is the responsibility of the certified firm, to notify the Administrator of any change in its circumstances affecting its continued eligibility. Failure to do so may result in the firm's decertification. (i) The Administrator shall decertify a firm that does not continuously meet the eligibility criteria. 0) Decertification by another agency shall create a prima facie case for decertification by the District. The challenged firm shall have the burden of proving by a preponderance of the evidence that its District certification should be maintained. (k) A firm that has been denied certification or recertification or has been decertified may protest the denial or decertification by filing a written appeal with the Executive Director within D -11 10 calendar days of receipt of the denial of District certification, recertification or decertification. The appeal should set forth in detail the facts upon which it is based, and attach all relevant documentations. The Executive Director shall render a decision within 15 calendar days of receipt of a timely appeal. The Executive Director's decision shall be final. (1) A firm found to be ineligible may not apply for certification for two years after the effective date of the final decision. Section 9. Schedule of Goals for Minority -Owned, Women -Owned and Small Business Enterprise Utilization In, fulfillment of its policy to provide MBFs, WBEs, and SBEs full and equitable opportunities to participate in the District's construction prime collitracts and subcontracts, the District shall establish annually goals for NOE, P, and 3t pa cipation, based on the availability of MBEs and WBEs in the District's geo�►hic a tM�t� nt market. Section IQ. Contract Goals. (a) The Director, in consultation with $e,A ministrawr and tho User Department, shall establish Cotttra:ct Goals for construction, lv. Es and tlt% WBEs regist$red -oh tl subc©ntrW _g functions of the contrast (b). Where, a. substantial portion pf ofr�quipntent, the Director may, desigmto con; tructlon work and related supplios an, WBE suppliers horein. mots:based upon ft, av ` Oty of at least three tk is-Vot4dT 4 t to ,n the aritieipated ' it's u i jZA49U of NWs acid. WBEs to date. t 3 ru s?1Wt Uae Gist' i for the purchase i,i{or that podW4, of, t„4otract relating to xdafy the riitatpris o> the credit for MBE or (c) The Contract Goal(s) shall be dMigilatod in the contrafA dac . % Section 11. Counting MBE, W$ , a>a 'a i+cipwiotl #owairds 04trAct Goats (a) A Bidder may achieve the Utilization C0,41z44, 04a, by Its s atus' as a MBE, WBE or SBE or by entering into a Joint Venture with one or Izlore Es, Bs Gild$Es or by first -tier subcontracting a portion of the work to one or more MBEs, WBEs; anal SBEs or by direct purchase of materials or services from one or more MBEs, WBEs 4ad SBEs or by any combination of the above. (b) If a firm is certified as both a MBE and a WBE, the Bidder May count the firm's participation either toward the achievement of its MBE or WBE goal, but not both. (c) A Bidder may count toward the achievement of its SBE goal the utilization of any MBE or WBE that also satisfies the definition of a SBE. (d) A Bidder may count the entire amount of that portion of a contract that is performed' by MBEs, WBEs or SBEs own forces, including the cost of supplies and materials obtained and installed by the MBE, WBE or SBE for the work of the contract, and supplies purchased or equipment leased by the MBE, WBE or SBE used to directly perform the work of the contract (except supplies and equipment the MBE, WBE- or SBE purchases or leases from the Prime Contractor or the Prime Contractor's Affiliate). (e) Where a Bidder or first -tier subcontractor engages in a Joint Venture to meet the Contract Goal, the Administrator shall review the profits and losses, initial capital investment, D -12 actual participation of the Joint Venture in the performance of the contract with its own forces and for which it is separately at risk, and other pertinent factors of the joint venture, which must be fully disclosed and documented in the Utilization Plan in the same manner as for other types of participation, to determine the degree of MBE, WBE or SBE participation that will be credited towards the Contract Goal. The Joint Venture's Utilization Plan must evidence how it will meet the goal or document the Bidder's Good Faith Efforts to do so. The Administrator has the authority to review all records pertaining to Joint Venture agreements before and after the award of a contract in order to assess compliance with this Ordinance. The MBE, WBE or SBE Joint Venture partner must have a history of proven expertise in performance of a specificarea of work and will not be approved for perfbrmijag only genoral mmagerrmt of the Joint Venture. The specific work activities for which the WBE or $BB Joint Venture partner will be responsible and the assigned individwl-s must die clearly dogipa#ed in the Joint Venture Agreement. 'Me Joint Venture must submit to the Ad tinlsttatof quar*ly work plans, including scheduling dates of the tasks. The Ad?tratp ?ttusr apgtRr irly glans for the MBE, "'E or SBE Joint Venture partnees"p ei 0, n-to be credit 'taWOWs the Contract Goals. (f) Only the participation of B§, WBE or $bft that will perform as first -tier sub ontractors will be counted towards n-otong: tho VftlhAdth C "ontraot Goals.. () Only expenditures to a ltrl8�, nl~ pr $131� that is per orzming a:Commercially Useful Function shall be counted toward, the �TtilizatQtt. {i) A firm is con fide d 1 . Try usdW function when it is respbif�ible "for execution. of a d3�trn�t �lerl<l�mt a� lie �+�� of a con aict and carries out its resportsibilrties by actually perfbirilu a s g the work involved. The firm �? , must pay all costs associated wt h p a l t �, ;� W. The firm must be R ally`"and directly responsible 1� '140 payment of its workforce must own acid !or lease a ui meat{ }�wting .price; determining quality artd quantity 'and payln for and g : ,e, The firm cannot share employees with the Prime Contractor or its Allis. ppAyr ts for use of equipment or materials by the firm can be made through dodiiodo s- by the PAme Contractor. No family members who own related businesses are allowed to base, loan or provide equipment, employees or materials to the firm. (ii) A firm does not perform a commercially usoU function if its role is limited to that of an extra participant in a transaction through which funds are,passed in order to obtain the appearance of MBE, WBE or SBE participation. The prime Contractor is responsible for ensuring that the firm is performing a commercially useful function. (iii) The District will evaluate the amount of work subcontracted, industry practices, whether the amount the MBE, WBE or SBE is to be paid under the contract is commensurate with the work it is actually performing and other relevant factors. (iv) If a firm subcontracts a greater portion of the work of a contract than would be expected based on normal industry practice, it is presumed not to perform a Commercially Useful Function. When a firm is presumed not to be performing a Commercially Useful Function, the firm may present evidence to rebut this presumption. (h) Credit towards the Contract Goals will be allowed only for those direct services performed or materials supplied by MBEs, WBEs or SBEs or first -tier subcontractor MBEs, WBEs or SBEs. MBEs, WBEs or SBEs must perform no less than eighty-five percent (85%) of D -13 their work with their own forces, through the use of its own management and supervision, employees and equipment. If industry standards and practices differ, the firm must furnish supporting documentation for consideration by the District. (i) Purchase of materials and supplies must be pre -approved if their purchase is related to goal attainment. Bidder may count payments to MBE, WBE or SBE regular dealers or manufacturers who offer only furnish and deliver contracts for materials and supplies for no more than twenty-five percent (25%) of each MBt, WBE or SBE goal, unless approved by the Administrator. If the bidder exceeds the supplier exception amount allowable as stated in the bid documents, the bid will be viewed as non -responsive. G) A dealer is a firm that, owns, opiates, or maintains a store, warehouse, or other establishment in which the materials or supplies rewired fox performance of the contract are bought, kept in stock, and re laxly sold tq tl e pu Rq in the usual course of business. To be a regular dealer, the firm must engage in, as its princi l business, and in its own name, the pur hasp tl and sale of the produits in o . fo1Ww 4e4lear in such bulk items as steel, cement, gravel, stone, and potrole�tm prodtt ttee�T ndt keep such products in stock, if it owns or. operates distribution equipment. E,rokors with packagers shall not be regarded as manufacturers or regular dealers within the mpg°aetioh; A iniitfacturer is a firm that operates or maintains a factory or establishment that produces on, the premises the materials or supplies dibdfiied by the Bidder. (k) If a,firm ceases to be a eOrtifi d during its performance on a contract, the dollar value of work performed under a contra4t wltb.'t > der it has Ceased to be certified shall not be wuhted. (1) In determining achievement O Mil# ti.pia onf act Goals, the participation of a MBE, WBE or SBE shall not be counted Wj4 tut, amopnt has been paid t® the MBE, WBE or SBE. Seefich 12. Utilization Flan Sub*W0 ()Compliance documents "trust lie sub4i tted as provided in the solicitation. Failure to do so will render the bid non -rest JU,I er. Tlfe Director shall review each bid submission to determine if it meets the requirements herein. (b) A Bidder must either meet the Utilization Contract Goals or establish its Good Faith Efforts to do so as described in Appendix D and the solicitation. (c) Each Bidder shall submit with its bid a completed and signed Utilization Plan that lists the names, addresses, telephone numbers, email addresses and a description of the work with contractitem number and contact person of the businesses intended to be used as subcontractors, subconsultants and suppliers, including those firms proposed to meet the Contract Goal(s); the type of work or service each business will perform; and the dollar amount to be allocated to the certified firm(s). Each Bidder's Utilization Plan shall commit to MBE, WBE or SBE participation equal to or greater than each of the Contract Goals set forth in the solicitation, unless the Bidder requests a partial or total waiver of the requirement that it file a Utilization Plan or achieve a particular goal by submitting with the bid a signed Waiver Request in the form specified in the solicitation. (d) Each Bidder must submit with its bid a signed MBE, WBE or SBE Subcontractor's Letter of Intent for each firm in the form specified in the solicitation, with either a copy of each MBE, WBE or SBEs current Letter of Certification from a state or local government or agency D -14 or documentation demonstrating that the firm is a MBE, WBE or SBE within the meaning of this Appendix D. In the event of a conflict between the amounts stated on the Utilization Plan and the MBE, WBE or SBE Subcontractor's Letter of Intent, the terms stated on the Utilization Plan shall control. An original or facsimile copy of the MBE, WBE or SBE Subcontractor's Letter of Intent will be acceptable. (e) Where a Bidder had failed to meet the Contract Goal(s), it must file a Waiver Request documenting its Good Faith Efforts to meet the Goals) -as provided in the format described in the solicitation, the Administrator shall require the contractor to file a Contractor Information Form and provide additional documentation of its good faith efforts in attempting to fulfill such goals. (i) Such Good Faith Efforts, as defined herein,,shall include, but are not limited to, the following: (i) Att d air eTl�id .cOf�rooe oaducted by the District to acquaint contractors with MBEs, v'Zg-M d: 9* ova fable to OMAde relevant goods and services and to inform MBEs, WBEs and -S O sO txaet OPOIOW ties on the contract; (H) ReviOW 0 a0141q 'em15s. and SBEs maintained by the. District and other stag and fool SA�'p��441-d pt ilv8; ISrior to the bid opening to identify qualified MBEs, WBEg and Z s for Shc ci a on r`' tis (iii) Ac l'soo t' 1e s tin I alpnd r days before the bid opening date, in one or more daily tl andtt uv ticn,. for proposals or bids by MBEs, WBEs and SBEs for subcontrts or the supply oigoos and`services on the contract; (1v) N12 ti ly n M sotto . ttf available MBEs, and WBEs and "Es identified on the Di$tOofs'0t r`lfst �t rel yannt services for subcontracts or the supply of goods and serve (V) PrOY We AOU "W -Ss with convenient and timely opportunities to review and wbt4in ro1cvapt per, s "earns or terms and conditions of the contract to enable such MBts, WBEs nod 99Es'to prepare fin informed response to a contractor solicitation; (vi) Divide total contract requirements into small tasks or quantities and Adjust performance bond and insurance requirements or otherwise assist MBEs, WBEs and SBEs in obtaining the required bonding, insurance or irm cing where economically feasible, to encourage participation of M$Es, WBEs and SBEs; (vii) Follow up initial solicitation of MBEs, WBEs and SBEs by contacting them to determine if the enterprises are interested in making bids or proposals; (viii) Negotiate in good faith with MBEs, WBEs and SBEs prior to the bid opening and do not reject as unsatisfactory any bids or proposals submitted by M/WBEs without justifiable reason, including the lack of bonding capacity or the ability to obtain insurance requirements such as Completed Builders Risk (All Risk) Insurance, Comprehensive General Liability Insurance, Contractor Contractual Liability Insurance and Public Liability Insurance; (ix) Establish delivery schedules, where the requirements of the work permit, which will encourage participation by MBEs, WBEs and SBEs; (x) Establish joint ventures with MBEs, WBEs and SBEs; D -15 (xi) Use the services and assistance of the District, the Small Business Administration, the Office of Minority Business Enterprises of the U.S. Department of Commerce and appropriate community and minority and women's business organizations; (ii) Failure of"a Bidder to provide requested information to the Administrator or to cooperate with the Administrator's investigation, may be grounds for the rejection of a bid and/or a Waiver request. (iii) Upon completion of the investigation, the Administrator shall inform the Director of his or her i"ndings. (iv) The Director, after, consultation with the Administrator, shall determine whether to grant the waiver request based on the Bidder's Mood Faith Efforts at the time of bid submission. (v) Whore the ,I)ireotor determined that a Bidder has not made Good Faith Efforts, the Director shall declae the hid sc brnissl'on non�responsivo and will reject the bid. (d) A contractor's submission of a Ut"Mation Flan that commits to a MBE or WBE participation equal or greater, that. ie pii bl� utilization goals shall not provide a basis for a higher bid-, an incre $ in e0i 0- i3r ` r � l el ariige order. (e) The requirrient to snl? lio Ply and MBA, WBE or SBE Suboontractor's Letters of Intent apps wn the dlvidt parjt is awarded under Job Order Contracts awarded by the I)istriot. (i) A Ptir4c Controtor, 04 a ;job Order Contract shall submit with each -work order i,$sued under, such a Qp* t " J aa' that lists the name, addressteAcphonc number, email address and oordoa,porort for , WBE or SBE to be used on the work order, as well as a descrjptrt orl tc ,d and a dollar amount to be aliooated to such MBE, WBE or 513 . `l`hc Pt* � o for shall submit with each work order a I , OL WBE or SBE St bcontraotor's I ett r d Tpterit each cert Fled firm. (ii) A Prime Contractor awarded a Job Order Contract shall be subj-ect to the compliance monitoring provisions hareirt. The Prime Contractor must submit to the Administrator monthly docuinentatlon, as specJ#ied'by the Administrator, demonstrating that the Contractor has attained the Contract Goals for the completed portion of the Job Order Contract, or that it has been unable to do so despite its good faith efforts. Good Faith Efforts must be documented as provided in this Ordinance. Section 13. Compliance Review (a) The Director shall declare the bid submission non -responsive if a Bidder: (i) Failed to submit with its bid a completed and signed Utilization Plan; (ii) Failed to commit in its Utilization Plan to MBE, WBE and SBE participation equal to or greater than each of the Utilization Contract Goals unless the Bidder submitted with its bid a request for a total or partial waiver of the Goal(s). M . (iii) Failed to identify in its Utilization Plan the MBE, WBE or SBE by name, scope of work, contract item number, and dollar value of work or percentage of participation equal to or greater than each of the Contract Goal(s). (iv) Failed to submit with its bid the MBE, WBE and SBE Subcontractor's Letter of Intent from each MBE, WBE and SBE listed on its Utilization Plan. (b) Where, after consultation with the Administrator, the Director determines that the Utilization flansubmitted by a Bidder is Use or fraudulent, the bid shall be rejected or, if the determination is made after the bid award, the contract may be forfeited in accordance with the provision of Article 28 otthe General Conditions. (c) If a Meutor-Proteg$ relwollsl ip is proposed to meet the Contract Goal, the Mentor Protege Developii�►�t" tap u�ttst b� submitted to the Administrator for approval prior to contract award.rtiiis " describes aft. association between large business prime contractor ff ' 10 u" , t4_ dd designed to motivate, one e and to provide mtttualiy bonolclal deve)Qpmental assistance to those socially disadvantaged firth. (d) )Prior to the at�� o� Wy:con�a� tbd Administrator shall review the Utilization Plan, MBE, WB:, a�4 1 $ S s - as Lo (9 of Intent and Letter(s) of Certificatio n,and Contractor Inf nafi t d {WM�qWF rniS as specified in the solicitation, submitted, > the apparent ion bider fin 'c mod. Whduct any other investigation the Administrator deem,$ appropri4tto ` 01 e'co i lia q. (e) Wit ,U X'WOAdO Ys der d aid, the Prime Contractor shall furnish executed copies of allb„cant.cts to the Administrator. Subsequently, the contractor slap 04=Mall lei✓, WBE'and SBE related subtler cowauts On (� `lam a O ` er` SW* set tiM;*les for use of its subcontractors before fifty percent (54$10) bf` o is oatapti jed. (g) If requested by the Adtninistrotor, the Prime Contractor must submit a MBE, WBE: and SBE Work kkm'06joctijag the work taW associated with certified firms' commitments poor to the award of the contract. `the Wont Plan must provide a description of the work to be subcontracted to other MBPs, WDEs and SBEs and non -certified firms and the dollar amo' t and the name of the all tiers of subcontractors. The Work Plan becomes part of the Prime Contractor's contractual commitment and .the contract record, and may not be changed without prior approval of the Administrator. Section 14. Contract Performance Compliance (a) After the award of a contract, the Administrator shall review the Prime Contractor's compliance with its MBE, WBE and SBE commitments during the performance of the contract. (b) The Prime Contractor shall be required to submit the Affirmative Action Monthly MBE/WBE/SBE Status Report providing the information and in the format as specified by the District with every payment request. The Contractor's failure to do so may result in a delay of the progress payment. D -17 (c) Evidence of MBE, WBE and SBE subcontractor participation and payments must be submitted as required by the District to confirm subcontractors' participation and payment.. (d) District contract compliance officers and auditors, or their designees, shall have access to the contractor's and subcontractor's books and records, including certified payroll records, bank statements, employer business tax returns and all records including all computer records and books of account to determine the contractor and MBE, WBE and SBE subcontractor compliance with the goal commitment. Audits may be conducted at any time and without notice in the total discretion of the District. A Prime Contractor must provide the Administrator any additional compliance documentation within 14 calendar days of such request. Audits may be conducted without notice at any time at the discretion of the .District. (e) Tftistrict pretelbr, that any purported MBE, WBE and SBE subcontractor other than do listed an tie utiialiorti'lan are performing work or providing mate for equipment JJ bt t4p se .vaid E sA bgontractors listed on the Utilization Plan, to, :P ContmOor. ill lie n t 'r -its fig 'of an apparent violation is taking place and prosr_oss- paym oats m be Witbhod. The contract r will have the opportunity to meet wt$ tits Affirmativ4 Action AdninJ4$tr4tor Orlon to a finding of noncompliance. (f) hm a pactWI ,or., totol waiver of the Contract Goal(s) has been granted ,t Prirp Cc r act4t` t t eo t k ott ,' aitli efforts during the perfortxtaace of the xair� 1� meot the (s and the Adtn!nisV,, it shalt provide technical assistance with resp ct to ePorts. The Acrnistratox shall r1?; tie 'rime Contractor to provide documenttiotx of x cot tinir to ad 1'`aitlt 8-#i is in attet Ott • to fullill its commitments. ;�!me l o�'*r c � e any changes to the approved utili t = Plan subs-, xt iohs f` ie (s o (s) listed in the utilization Planthxou bout of the cr6 t without tit rior, , O , p naval of the Administrator. This inc e gt lirttitc tox . b es iA'�vl� )h�° tih� fI .� .- . , ctor seeks to perform work exigi All .` , for a MBtx �t or SBE ... Att . or with its own forces or those of an t liatk a - certa£ted 3rxti or mother M)Br W 9x,. Failure to obtain the prior, written apprqe Administrator in the forma $pik i 1�d 1 the istrict shall constitute a breach of the cod `t; subject the, Prime Contractor to any and all available sanctions. The participation of c firms that did not receive prior, vur%ttoti approval by the Administrator will not be cttupte towards the, Contract Goal(s). (i) The Prime Contractor must demonstrate good cause to terminate or re, e. moo. scope of work of the MBE, WBE or SBE, to the satisfaction of the Administrator. Good cause i limited to the following circumstances: (1) The listed MBE, WBE, or SBE subcontractor fails or refuses to execute a written contract. (2) The listed MBE, WBE or SBE subcontractor becomes bankrupt, insolvent or exhibits credit unworthiness, (3) The listed MBE, WBE or SBE is ineligible to work on public works projects because of suspension and debarment proceedings pursuant to federal or state or local law. (4) The Administrator has determined that the listed MBE, WBE or SBE subcontractor is not a responsible contractor. D -18 (5) The listed MBE, WBE or SBE subcontractor voluntarily withdraws from the project and provides the Administrator written notice of its withdrawal. (6) The listed MBE, WBE or SBE subcontractor is ineligible to receive credit for the type of work required. (7) The MBE, WBE or SBE owner dies or becomes disabled with the result that the listed MBE, WBE or SBE subcontractor is unable to complete its work on the contract. (8) Other good cause as determined in the Administrator's sole discretion. (ii) Good cause does not include where the Contractor seeks to terminate a MME3 WBE or SBE it relied upon to obtain the contract so that the Contractor can sel'tporfonn the wank or substitute =other �ME, WBE or SBE or non -certified subcontractor tQ perfo rM th0 work for wlueh tho TOE, WBE or SBE was engaged or listed on the Util tion-Platt, 0H) The l IM4 Contractor must give the MBE, WBE or SBE nonce witli a copy to �t !Wswor, of Its intent to request to terminate andtor substitute, s dtIled reasOng or% g v) tho,Pdme Qontrartor proposes to terminate or substitute a, MBF, "Ju ok SBE sub rftmgor fbi Wit, the Contractor must mane Good 'Faith hereto to WBE or SBE subcontractor for the original �, ' to Meot its # dotitiractual commitment. Its Good Faith Eftrts s at Winart t >• 1 E to perform or provide at least the same totk t _. mateial or Se unsi t',tact.as the original MBE, W$E_or SBE to the to oat its lE �VBr BB trctual comrnitmern. ()Tho Jhi,,x,0e etor must submit a MBE, WISE or SBE Letter of nt nt 6t ewh,p poso. dew MBE, WBE or SBE subcontractor. (vi) The Administrator will approve or disapprove the substitution based bri thol Prime Contraotot's`d6cutherited &ompliance with these provisions. (h) In, the evert a pri-Me Contractor fails to achieve the level of MBE, WBEE participation described io its Utilization Plan as the result of the District's deletion of the work to be performed, by a M,$$E, W1 E or $BE, the Prime Contractor shall notify the Administrator it writing and may request on ,amendment of its Utilization Plan. A letter of release signed by the subcontractor must be included with the request. () In the event it, Pride Contractor, in the performance of its contract, determines that the conditions of the work warrant a reduction in the scope of work to be performed by a MBE, WBE or SBE the Prime Contractor must utilize Good Faith Efforts to fulfill its MBE, WBE or SBE contractual commitment. The Prime Contractor must notify the Administrator in writing within 14 calendar days of the determination to request an amendment of its Utilization PIan. The Prime Contractor must give the MBE, WBE or SBE notice in writing, with a copy to the Administrator, of its intent to request to reduce the scope of work, and the detailed reasons for the request. The Administrator will approve or disapprove the reduction based on the Prime Contractor's documented compliance with these provisions. 0) Where contract change orders are made individually or in the aggregate that increase the total value of the contract by more than ten percent (10%) of the original contract value, the D -19 Prime Contractor shall increase the utilization of all MBEs, WBEs or SBEs, where feasible, so that the total value of the percentage of work performed by MBEs, WBEs or SBEs as to increased contract value bears the same relationship to the total value of the contract (as modified by change orders) as the percentage of MBEs, WBEs or SBEs utilization committed to in the contractor's original Utilization Plan. Section 15. Sanctions for Non -Compliance (a) Where the Administrator believes that the Prime Contractor or subcontractor has committed fraud or misrepresentation against the District or has failed to comply with this Ordinance or its contract, or provided false or fraudulent documentation, the Administrator shall notify the Prime Contractor and/or subcontractor in writing of such determination of noncompliance,:and withhold up to one hundred percent (100%) of the current progress or final payment due the Prime Contractor for up to 90 days. The amount to be withheld shall be based upola a determination of the degree to which the Prime Contractor has failed to meet its MBA, WU or W contractual commitments and to what extent the Prime Contractor -ha��e o_d Fatth `Bfforts to achieve such commitments. The Prime Contractor and/or subwntrktor _4�41 have the n ht to meet with the Administrator within 10 calendar days of receipt of tho notice. After con erencs and conciliation, the Administrator will determine whether e l�ri oittractar and/ ' S6contractor is in compliance. i$) If (h A krgtor determines the Prime Contractor and/or subcontCact i Wit, ,in cople grid the 'ion cannot be resolved by conference area„ cttc16tz the Admnrti=atorshall f fhb chatter to the Executive Director and the >xecutiy lls y sett rtn the ' iTOT to, the Aftinistrator with direction or may direct the Priift6 Cot got ,' id z subcontractor to show cause.on a date certain why further sanctions should not -be mJP � . () 'The Prune Contractor or subcontractor shall have 15 calendar days aipt Qf the show cause:ofice �+ithinvlich to file a response in writing with �edrh A' hea ng before a duly p i ted Hearing Officer shall be convened to prove tl e;' etor y . and/or so'contractor an opportunity'to be heard with respect to the non-compliatiqe. calendar days after the 1✓xitive Director's referral, the Hearing Officer shall shedul a h to be held within 30 calendar days of receipt of the referral for hearing at which thAe contractor and/or subcontractor may present evidence of the purported violation, Agar the, absence thereof. The District will carry the burden of proof by a preponderance of the e�, e'. The Prime Contractor and/or subcontractor may present additional evidence- and wltd` .t` show cause why sanctions should not be imposed. An official record will be Dept with tie lock of the District. All filings by the District or the respondents should be made with the Clerk ol'tl* District, with courtesy copies going to the parties and the Hearing Officer. (ii) The Hearing Officer shall conduct such show cause hearings involving the Ordinance and shall render findings of fact, conclusions of law and recommendations regar Ing disposition of the hearings. Procedures and rules governing the show cause hearings wiltbe adopted by the Board of Commissioners. The Hearing Officer will not become co -counsel with any attorneys appearing before him/her at any time during the hearing. (iii) All Show Cause Hearings must be conducted on the record and all testimony must be under oath and transcribed verbatim by a court reporter. All parties shall be given the opportunity to present and respond to evidence. The Hearing Officer shall conduct a fair hearing and maintain order and shall abide by the Judicial Canons of Ethics enacted by the Illinois Supreme Court. D -20 (iv) Within 30 calendar days after the hearing with the Prime Contractor and/or subcontractor, the Hearing Officer shall issue in writing to the Executive Director his/her written findings of fact, conclusions of law as to compliance and recommendations with respect to any appropriate sanctions. The Executive Director shall transmit the Hearing Officer's findings, conclusions and recommendations to the Board of Commissioners which may impose sanctions for a Prize Contractor's and/or subcontractor's noncompliance with this Ordinance including, but not limited to (1) Withholding up to fifty percent (50%) of the current progress or final payment due the contractor until the Administrator determines that the contractor is In compliance. Following the withholding of up to fifty percent (50%) of the curroAt progress payment, up to one hundred percent (100%) of further progress payments m4y'be withhold until the -contra0tor is found to be in compliance with the requirements of this ()rdfrian+ The t to be Withhold will be based upon a determination of the degree to which the Pft, Cot," has fai O4 to Meet its MBE, WBE or SBE contractual commitments and to what extent the'Prime Contractor has mado pod faith efforts to achieve such commitments. Declaring the Prime Contractor and/or s Ontftotbr .to k non. r85poihe end_ disfy�dabar the Prime Contractor and/or suoniaitir #%ramlhl t bid on ii ti�iis#t e � 1o11 contracts for a period of less than one 1) Y r04: Mo MWO tin three(* A t� that is disqualified pursuant to the provirts of`this precluded `ftM par�c�;patl4n on any District contract as a Prime Cootmoto; t�41Gi tot ar#c su -Plise t iii o disgttaliftcat on. In cases of the use of false doott of :false statetn4gts, ftdd ar misrepresentation, the disqualification porx •.V0 t t `ems ;an ei hte i 18na, -rlthso, d not more than three (3) years for the second and not � -flaur (24) months and not more tha, tbrree e- :third violatlnn-dlr ►rdtt the date of disqualification. established , ljectiag bids by the Prifrie Contractor. o yet awU&dJt0_1fi# 'ift, rstattces of the use of false do - ium t Q ;tom: stoi 00% feud ter tis Pfosentation. {4) For, any MBE, WBE or SBE that has misreprocnootitslyM,VBE or SBE status and/pr fdiled. to operate as an independent business ootwrn pe atn a Commercially Vseful Function, declaring by the Director that the 1\ OV, "t or 11W Ineligible to participate as a MBE, WBE or SBE in District contracts. A firm that has boert. declared ineligible. may not participate as a MBE, WBE or SBE for a period of not less than one (1) year and not more than three (3) years. (5) Forfeiting and deducting from the Prime Contractor's progress or final payments under the c©ntract an amount up to the dollar amount of its 1Vi$ly; WBE goal commitment that the chi ttractor has failed to meet. The amount to be deducted" willbe based upon a determination of the extent to which the Prime Contractor made Good Faith Efforts to achieve such commitments. (6) Referring the matter to the Office of the Attorney General or Cook County State's Attorney for follow-up action. (c) The Administrator and Director will take action to prevent a contract from being awarded to a Prime Contractor or first -tier subcontractor disqualified from bidding hereunder for the period of disqualification. (d) The District's attorneys' fees and costs will be assessed against the Prime Contractor and/or subcontractor where the Hearing Officer makes a finding that the Prime D -21 Contractor or subcontractor used false documentation, made false statements, or committed fraud or misrepresentation. (e) Notice of sanctions imposed by the Board of Commissioners for violations of the Ordinance by the Prime Contractor, subcontractor and/or supplier will be spread upon the public record by the District, including but not limited to publication in the Record of Proceedings of the Board of Commissioners, posting on the District's web site, publication in any type of media, newspaper publication and direct notice by letter to governmental entities. (#) Any sanctions imposed against an entity shall also apply perWoally to all off cers and directors of the entity or partners of the entity, and their successors and assigns with knowledge of the acts and omissions that give rise to the sanctions against the Entity. (g) The District tray take other action, as appropriate, within the discretion of the- Adnxinistrator, stabject to the approval of the Hearing Officer and the Boatd of (04#rtiss1oners. ScOon 16. +C er'Vederal Regulations Tbe:proi ions of this Ordinance shall not apply to any eontraot to tho e± tent that difierOit*000ftes or standards are required by any law or regulatioVlp1 ft' hfw t ad r tftiA all be interpreted to diminish or supplant the P ty°°l iroments contained in Appendices B, C, Q, and I of irint c ct or ApOndi ,C.nf non -Grant funded contracts. Se do 17. Reporting and Review Tho—SOtd of Commissioners directs the District staff to lciard of e�)ft-"` t on an annual basis with respect to the following-. a e level of MBE; V BE or S$E participation achi v :. hi trig% cons 'Ion, oitraots subject to Appendix D. (b) Identification of any problems with the enforcement of Appon4lx .a4d (c) Any recommendations with respect to improving the implerneotatioti of Appendix D. Section 18. Sunset Provision This Appendix D shall be reviewed no later than five years from its adoption and shO expire on June 4, 2020 unless the District finds that its remedial purposes h v . not Worn fall achieved and that there is a compelling interest in continuing to impleznent;riarrowly tairred remedies to redress discrimination against MBEs and WBEs so that the District will not function as a passive participant in a discriminatory market in the Metropolitan Chicago construction industry. Section 19. Repeal of Prior Inconsistent Provisions All enactments and provisions heretofore adopted by this Board of Commissioners in the area of affirmative action in connection with construction contracts subject to this Ordinance that are inconsistent with the provisions of this Ordinance are hereby expressly repealed. D -22 Section 20. Severauility If any clause, sentence, paragraph, section or part of this Ordinance shall be adjudged by any court of competent jurisdiction to be invalid, the judgment shall not affect, impair or invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, section or part of this Ordinance directly involved in the controversy in which the judgment shall have been rendered. Section 21. Effective Dates This amendment to revised Appendix D shall be effective and apply to all bids for contracts advertised after June 4, 2015. Marlyana T. Spy �i Boar o Commissioners of the Metro'04tan Water Reclamation bistffot cif Greater Chicago Approvegras to form and legality: Head Assistant Attorney General Counsel D -23 EXHIBIT 5 Utilization Plan REVISED JUNE, 2015 METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO MBE, WBE, SBE UTILIZATION PLAN For Local and Small business entities - Definitions for terms used below can be found in Appendix D: MBE - Section 5(s); WBE - Section 5(cc); SBE - Section 5(w). NOTE: The Bidder shall submit with the Bid, originals or facsimile copies of all MBE, WBE, SBE Subcontractor's Letter of Intent furnished to all MBEs, WBEs, and SBEs. IF A BIDDER FAILS TO INCLUDE signed copies of the MBE, WBE, SBE Utilization Plan and all signed MBE, WBE, SBE Subcontractor's Letter of Intent with its bid, said bid will be deemed nonresponsive and rejected. All Bidders must sign the signature page UP-5 of the Utilization Plan, even if a waiver is requested. Name of Bidder: Contract No.: Affirmative Action Contact & Phone No.: E-Mail Address: Total Bid: MBE, WBE, SBE UTILIZATION PLAN AND ALL SIGNED MBE, WBE, SBE SUBCONTRACTOR'S LETTER OF INTENT MUST BE COMPLETED, SIGNED AND ACCOMPANY YOUR BID!!! The bidder should indicate on the Utilization Plan explicitly if the dollar amounts for the MBE participation will also be counted toward the achievement of its SBE participation. See Affirmative Action Ordinance, Revised Appendix D, Section 11, Counting MBE, WBE and SBE Participation towards Contract Goals. (a) (b) (c) MBE UTILIZATION Name of MBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: If the MBE participation will be counted towards the achievement of the SBE goal please indicate here: Email Address: ❑ ❑ YES NO The MBE. WK. SBE Utilization Plan and the MBE, WBE, SBE Subcontractor's Letter of Intent MUST Accompany the Bid! I ! UTILIZATIONMBE Name of MBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: If the MBE participation will be counted towards the achievement of the SBE goal please indicate here: Name of MBE and contact person: Business Phone Number: Address: Email Address: El YES MBE UTILIZATION Description of Work. Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: If the MBE participation will be counted towards the achievement of the SBE goal please indicate here: Email Address: ES (Attach additional sheets as needed) El NO I U P-2 'The bidder should indicate on the Utilization Plan explicitly if the dollar amounts for the WBE participation will also be counted toward the achievement of its SBE participation. See Affinnative Action Ordinance, Revised Appendix D, Section 11, Counting MBE. WBE and SBE Participation towards Contract Goals. (a) (b) (c) WBE UTILIZATION Name of WBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: If the WBE participation will be counted towards the achievement of the SBE goal please indicate here: Email Address: ❑ ❑ YES NO The MBE, WBE, SBE Utilization Plan and the MBE. "'BE, SBE Subcontractor's Letter of Intent MUST Accompany the Bid! ! ! WBE UTILIZATION Name of WBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: Email Address: If the WBE participation will be counted towards the achievement of the SBE goal please indicate here: ❑ ❑ YES NO The MBE, WBE, SBE Utilization Plan and the MBE, WBE. SBE Subcontractor's Letter of Intent MUSTAccomparly the Bid' WBE UTILIZATION Name of WBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: If the WBE participation will be counted towards the achievement of the SBE goal please indicate here: Email Address: YES (Attach additional sheets as needed) NO U P-3 SBE UTILIZATION Name of SBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: Name of SBE and contact person: Business Phone Number: Address: Email Address: SBE UTILIZATION Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: Email Address: SBE UTILIZATION Name of SBE and contact person: Business Phone Number: Address: Description of Work, Services or Supplies to be provided: CONTRACT ITEM NO.: Total Dollar Amount Participation: Email Address: (Attach additional sheets as needed) The MBE, WBE, SBE Utilization Plan and the MBE, WBE, SBE Subcontractor's Letter of Intent MUST Accompany the Bid! ! ! UP-4 On Behalf of SIGNATURE SECTION (name of company) I/We hereby acknowledge that I/WE have read Revised Appendix D, will comply with the provisions of Revised Appendix D, and intend to use the MBEs, WBEs, and SBEs listed above in the performance of this contract and/or have completed the Waiver Request Form. To the best of my knowledge, information and belief, the facts and representations contained in this Exhibit are true, and no material facts have been omitted. I do solemnly declare and affirm under penalties of perjury that the contents of the foregoing document are true and correct, and that I am authorized, on behalf of the bidder, to make this affidavit. ATTEST: Date Secretary Signature of Authorized officer Print name and title Phone number 1)The Bidder is required to sign and execute this page, EVEN IF A WAIVER IS BEING REQUESTED. 2)Failure to do so will result in a nonresponsive bid and rejection of the bid. 3) If a waiver is requested, the bidder must also complete the following "WAIVER REQUEST FORM." The MBE. WBE, SBE Utilization Plan and the MBE, WBE, SBE Subcontractor's Letter of Intent MUST .Accompany the Bid! 1 1 U P-5 REVISED JUNE, 2015 Page Intentionally Left Blank WAIVER REQUEST FORM If a waiver is requested, the Bidder is required to sign and execute this page. Contract No.: Name of Bidder: Contact Person and Phone Number: With respect to the contract specified above, the Bidder hereby requests a total or partial waiver of the requirement that, pursuant to Section 12 (a)- (d) of the Affirmative Action Ordinance, Revised Appendix D, it files a MBE, WBE, SBE Utilization Plan or achieve a particular goal for MBE, WBE, SBE participation in the contract. The reasons for the request are as follows: On Behalf of I/We hereby acknowledge that (name of company) I/WE have read Affirmative Action Ordinance, Revised Appendix D, will comply with the provisions of Affirmative Action Ordinance, Revised Appendix D, and intend to use the MBEs, WBEs, and SBEs listed in the MBE, WBE, SBE Utilization Plan in the performance of this contract and have completed the Waiver Request Form. To the best of my knowledge, information and belief, the facts and representations contained in this Waiver Request Form are true, and no material facts have been omitted. I do solemnly declare and affirm under penalties of perjury that the contents of the foregoing document are true and correct, and that I am authorized, on behalf of the contractor, to make this affidavit. ATTEST: Secretary Signature of Authorized officer Print name and title Phone number NOTE TO BIDDERS All Waiver requests are evaluated carefully by the District. The evaluation is based on your firm's documented GOOD FAITH EFFORTS. The GOOD FAITH EFFORTS MUST be Undertaken PRIOR to your bid submittal to the District. Good Faith Efforts are identified on pp. D15-D16, Section 12. Utilization Plan Submission (e), (i)(i)-(xi). The VIBE, WBE. SBE Utilization Plan and the NIBE, WBE, SBE Subcontractor's Letter of Intent MUST Accompany the Bid! ! ! UP-6 REVISED JUNE, 2015 Page Intentionally Left Blank MBE, WBE, SBE SUBCONTRACTOR'S LETTER OF INTENT To: (Name of Bidder) and the MWRDGC RE: Contract Name:(Insert Name) Contract Number: (Insert Number) From: (Name of MBE/WBE/SBE Firm) MBE: Yes No WBE: Yes No SBE: Yes No The MBE/WBE status of the undersigned is confirmed by the attached letter of Certification. A certification letter must be attached hereto. The undersigned is prepared to provide the following described services or supply the following described goods in connection with the above named project/contract: It more space is needed to fully describe the MBE/WBE/SBE firms' proposed scope of work and/or payment schedule, attach additional sheets. The above described performance is offered for the following total price: (Written in Figures) (Written in Words) In the event of a discrepancy between the "Written in Words" price and the "Written in Figures" price, the "Written in Words" price shall govern." The undersigned will enter into a formal written agreement for the above work with the Prime Contractor, conditioned upon the execution of a contract by the Prime contractor with the MWRDGC. (Signature of Owner, President or Authorized Agent of MBE/WBE/SBE) Name/Title (Print) Date THIS SIGNED DOCUMENT FAILURE TO DO SO WILL REJECTION OF THE BID. Phone MUST BE SUBMITTED WITH THE RESULT IN A NONRESPONSIVE BID BID. AND All bidders shall submit with the Bid, copies of MBE, WBE, SBE Subcontractor's Letter of Intent in paper form with signatures, which were furnished to each MBE, WBE, and SBE listed in its MBE, WBE, SBE Utilization Plan and must be submitted to the District with its bid as part of its bid packet with either a copy of each MBE, WBE, and SBE current Letter of Certification from a state or local government or agency or documentation demonstrating that the MBE, WBE, SBE is a MBE, WBE or SBE within the meaning of this Revised Appendix D. Failure to submit the MBE, WBE, SBE Subcontractor's Letter of Intent signed by each MBE, WBE, SBE subcontractor will be viewed as nonresponsive and the bid will be rejected. All MBE, WBE, SBE Subcontractor's Letter of Intent must conform to the MBE, WBE, SBE Utilization Plan submitted with the bid. An original or facsimile copy of MBE, WBE, SBE Subcontractor's Letter of Intent will be acceptable. [11MA EXHIBIT 6 Affirmative Action Status Report AFFIDAVIT - AFFIRMATIVE ACTION STATUS REPORT Notice: This report is required to be submitted at 25%, 50%, 75%, and 100% completion of construction. Contract Title: Contract Number: Prime Contractor's Name: Prime's Contact Name: Prime's Contact Phone #: Estimated Completion Date: Status Report No.: 25% - 50% - 75% - 100% (CIRCLE ONE) In connection with the above -captioned contract: For each MBE, WBE, and SBE subcontractor, including third tier contracts awarded by your MBE/WBE/SBE company, describe the work or goods or services provided in relation to this contract (indicate line items, if applicable) performed during the report period. MBE, WBE, and SBE Subcontractor MBE / WBE AMOUNT OF CONTRACT I AMOUNT PAID TO DATE /SBE DESCRIPTION OF WORK/SERVICES AND/OR GOODS PROVIDED. BE SPECIFIC. MBE, WBE, and SBE Subcontractor MBE/WBE AMOUNT OF CONTRACT AMOUNT PAID TO DATE /SBE DESCRIPTION OF WORK/SERVICES AND/OR GOODS PROVIDED. BE SPECIFIC. MBE, WBE, and SBE Subcontractor MBE / WBE AMOUNT OF CONTRACT AMOUNT PAID TO DATE /SBE DESCRIPTION OF WORK/SERVICES AND/OR GOODS PROVIDED_ BE SPECIFIC. rage 2 of MBE, WBE, and SBE Subcontractor MBE/WBE AMOUNT OF CONTRACT AMOUNT PAID TO DATE L I /SBE DESCRIPTION OF WORK/SERVICES AND/OR GOODS PROVIDED. BE SPECIFIC. MBE, WBE, and SBE Subcontractor MBE/WBE AMOUNT OF CONTRACT AMOUNT PAID TO DATE /SBE DESCRIPTION OF WORK/SERVICES AND/OR GOODS PROVIDED. BE SPECIFIC. I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS DOCUMENT ARE TRUE AND CORRECT, AND THAT I AM AUTHORIZED TO MAKE THIS AFFIDAVIT. I CERTIFY THAT THE ABOVE NAMED FIRMS WERE AWARDED CONTRACT(S), PERFORMED THE WORK WITH THEIR OWN FORCES, AMOUNTS LISTED ARE ACCURATE AND PAYMENTS WERE MADE IN ACCORDANCE WITH CONTRACTUAL OBLIGATIONS. CANCELLED CHECKS AND/OR SUPPORTING INFORMATION WILL BE ON FILE FOR INSPECTION OR AUDIT. Name of Affiant: Title: Signature: Date: State of re of County (City) of This instrument was SUBSCRIBED and SWORN TO before me on Signature of Notary Public EXHIBIT 7 Operation and Maintenance Plan