Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods (2015)

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101 APPENDIX F Minnesota DOT Disadvantaged Business Enterprise (DBE) Special Provisions for Design-Build Projects TABLE OF CONTENTS 1. PURPOSE 18 2. POLICY STATEMENT 18 3. CONTRACT ASSURANCE 18 4. DEFINITIONS 18 5. DBE GOAL 19 6. SOLICITING DBEs 19 7. METHODS TO ACHIEVE THE DBE GOAL 19 8. SUBMITTAL OF INFORMATION 20 9. IF THE DBE GOAL IS NOT MET, EVALUATE GOOD FAITH EFFORTS 21 10. EVALUATION OF GOOD FAITH EFFORTS 22 11. COUNTING DBE PARTICIPATION & COMMERICALLY USEFUL FUNCTION 23 12. CONTINUING GOOD FAITH EFFORTS – Adding DBEs After Award 25 13. ADMINISTRATIVE RECONSIDERATION 25 14. EFFECT OF SUPPLEMENTAL AGREEMENTS 26 15. FAILURE TO FULFILL DBE COMMITMENT 26 16. DBE REPLACEMENT 27 17. PROMPT PAYMENT 28 18. QUARTERLY REVIEW 28 FORMS Letter of Intent to Subcontract – Form LSI DBE Description of Work – Exhibit A Form Certificate of Good Faith Efforts Consolidated Form – GFE Form Design-Build Bidders List Contractor Payment Form DBE Total Payment Affidavit

102 NOTE: In this document, the Design-Builder is referred to as the Proposer prior to award and the Contractor post award. DISADVANTAGED BUSINESS ENTERPRISE (DBE) SPECIAL PROVISIONS FOR DESIGN-BUILD PROJECTS PURPOSE These provisions (1) provide an explanation of the federal law and information regarding compliance with the DBE requirements applicable to this contract, (2) explain the process MnDOT will follow to evaluate Proposers’ efforts to obtain DBE participation, (3) provide the standards MnDOT will use to measure compliance with these requirements, and (4) identify sanctions. POLICY STATEMENT It is the policy of the Minnesota Department of Transportation (MnDOT) that Disadvantaged Business Enterprises (DBE), as defined in Title 49 CFR Part 26, and other small businesses shall have the maximum feasible opportunity to participate in contracts financed in whole or in part with public funds provided by the U.S. Department of Transportation (U.S.DOT). Consistent with this policy, MnDOT will not allow any person or business to be excluded from participation in, denied the benefits of, or otherwise discriminated against in connection with the award and performance of any U.S.DOT-assisted con- tract because of sex, race, religion, or national origin. MnDOT has established a DBE program in accordance with regulations concerning 49 CFR Part 26. MnDOT has received federal financial assistance from U.S.DOT for this contract, therefore the DBE requirements of 49 CFR §26 apply to this contract. As a condition of receiving this assistance, MnDOT has provided assurance that it will com- ply with 49 CFR §26. This regulation requires that Proposers take necessary and reasonable steps to ensure that DBEs have the maximum opportunity to compete for and perform this contract. These special provisions provide detailed information about these requirements and identify the responsibility the Proposer has to demonstrate compliance with these requirements. Failure to comply with these terms will be treated as a violation of this contract. CONTRACT ASSURANCE The Proposer, its subcontractors and suppliers shall not discriminate on the basis of sex, color, race, or national origin in the performance of this contract. The Proposer agrees to act in accordance with applicable requirements of 49 CFR §26 in the execution and award of this contract. Failure of the Proposer to comply with these requirements is a material breach of this contract, which may result in the termination of this contract or other such remedy as MnDOT deems appropriate. DEFINITIONS A. Disadvantaged Business Enterprise (DBE) Firm – A designation granted to a firm that is certified to participate in the DBE program. For this contract, a firm that is certified as a DBE in either Minnesota or Wisconsin is eligible to earn DBE credit for its performance on the contract. B. Minnesota Unified Certification Program (Mn/UCP) – The Mn/UCP certifies firms as DBEs in the State of Min- nesota. Access the online directory of certified DBE firms at http://www.mnucp.org. C. Wisconsin Department of Transportation Unified Certification Program (WisDOT UCP) – The WisDOT UCP certifies firms as DBEs in the State of Wisconsin. Access the online directory of certified DBE firms at http://app. mylcm.com/wisdot/Reports/WisDotUCPDirectory.aspx. D. MnDOT Office of Civil Rights (OCR) – The MnDOT office responsible for administering the DBE program on this project. More information can be found at www.dot.state.mn.us/civilrights or 651-366-3073. E. Subcontractor – Includes subcontractors, consultants and subconsultants, vendors, and service providers that perform or provide a service within the scope of this contract.

103 DBE GOAL The DBE goal established for this contract is 16.7%. SOLICITING DBES All Proposers should make every reasonable effort to subcontract work and purchase materials from DBEs through good faith negotiations and solicitations in advance of the dates specified for submitting DBE information. To fulfill the DBE goal, the firms utilized as DBE subcontractors or suppliers must be certified as DBEs by either the Mn/ UCP (Minnesota) or the WisDOT UCP (Wisconsin). The firms must be DBE certified prior to the submission due date of this proposal. If the DBE is selected after the submission due date, it must be certified prior to OCR approval of the DBE subcon- tract for participation toward the contract goal. The Mn/UCP and WisDOT UCP maintain online directories of DBE certified firms. See the Definitions section of this document for more information about the DBE directories. MnDOT, the Mn/UCP, and the WisDOT UCP do not make any representations as to any DBE’s technical or financial abil- ity to perform the work. Prime Contractors are solely responsible for performing due diligence in hiring DBE subcontractors. A DBE’s failure to perform the work will not be considered justification for a compensation increase. METHODS TO ACHIEVE THE DBE GOAL The Proposer may establish individual DBE goals on subcontracts and agreements as appropriate in amounts consistent with 49 CFR Part 26.51(e) to ensure that the overall contract goal is met. MnDOT will monitor the Proposer’s activities to deter- mine if they are conducted in a manner consistent with the requirements of 49 CFR Part 26. MnDOT’s Office of Civil Rights (OCR) will evaluate all subcontracts and agreements to determine whether the Proposer met the goal or made adequate good faith efforts. All subcontracts and agreements must be reviewed for DBE program compliance and approved prior to the award/selection of each subcontractor or supplier. The Proposer must establish either (1) that it has met the DBE participation goal, or (2) that it has made adequate good faith efforts to meet the DBE goal. The DBE goal may be attained by: (1) Subcontracting with a DBE firm that is certified in either Minnesota or Wisconsin. The Proposer must submit a signed agreement or a signed affidavit committing it to enter into such a subcontract. (2) Leasing equipment from a DBE firm that is certified in either Minnesota or Wisconsin. (3) Entering into a joint venture with a DBE firm that is certified in either Minnesota or Wisconsin. The joint venture must be approved in writing by the MnDOT (OCR) prior to the selection of a subcontractor, consultant, subconsul- tant, supplier or regular dealer, or other service provider. It is the Proposer’s responsibility to verify that OCR has preapproved the joint venture. (4) Purchasing materials and supplies from a DBE firm certified in either Minnesota or Wisconsin to perform as a supplier or regular dealer (60% of the regular dealer’s contracted amount will be credited toward the DBE goal). (5) Other services preapproved by the OCR. The Proposer must make adequate good faith efforts to include DBE firms in the Design-Build team. Furthermore, the Proposer shall make every reasonable effort to obtain DBE participation through negotiations and solicitations in advance of the date specified for the opening of bids. The Proposer shall indicate at the time of proposal its DBE commitment (which may be different from the goal indicated in this proposal). The DBE commitment is the amount of work the Proposer commits to have DBE firms perform on the con-

104 tract. A Proposer who fails to indicate a DBE commitment will be evaluated as if the Proposer committed to meet the DBE goal indicated in this RFP. SUBMITTAL OF INFORMATION The Proposer must identify the efforts it made to meet the DBE goal. The Proposer must submit the information described in this section as instructed. All Proposers are required to thoroughly document these solicitation efforts. The Proposer must justify any bids, quotes, or proposals it rejects from properly certified, qualified DBE firms. THE FOLLOWING INFORMATION MUST BE HAND DELIVERED TO PETER DAVICH AT MnDOT CEN- TRAL OFFICE AT THE DAY AND TIME OF THE PRICE PROPOSAL DUE DATE. The information must be sub- mitted on a compact disc (CD) as PDF files. FAILURE TO DELIVER ALL REQUIRED INFORMATION AT THE TIME OF THE PRICE PROPOSAL DUE DATE WILL RESULT IN REJECTION OF YOUR BID ON THE BASIS THAT YOU ARE NOT A RESPONSIVE BIDDER. PARTIAL SUBMISSIONS WILL NOT BE CONSIDERED. The Proposer must establish that it (1) obtained sufficient DBE participation to meet the goal, or (2) made adequate good faith efforts to meet the DBE goal. The Proposer must provide information showing the amount of DBE participation it intends to utilize on this contract. The Proposer must document the efforts it made to obtain DBE participation. The Proposer must submit the following documents to the MnDOT Office of Civil Rights: (1) Certificate of Good Faith Efforts Consolidated Form (GFE Form) (2) Good Faith Efforts Affidavit (3) Bidders List (4) Letter of Intent to Subcontract (must complete one for each DBE) (5) DBE Description of Work and Field Monitoring Report (Exhibit A Form) (6) DBE Goal Certification Form (7) Supporting Documentation to Verify Good Faith Efforts - including, but not limited to a copy of the signed agree- ments with each DBE to be utilized by the Proposer, subcontractor or supplier. 1. Certificate of Good Faith Efforts Consolidated Form (GFE Form): Please note that “Part D - SOLICITATION OF SUBCONTRACTORS, SUPPLIERS, AND SERVICE PROVIDERS” is only required if the Proposer does not have sufficient DBE participation to meet the DBE contract goal at the time this information is due. The Proposer must show that it made adequate good faith efforts to meet the goal. Instructions are provided in each section. 2. Good Faith Efforts Affidavit: The Proposer must submit a completed Good Faith Efforts Affidavit. The affidavit must be signed by an individual duly authorized by the Proposer to legally bind the Proposer in this Special Provision. All Proposers must complete this form. 3. Bidders List: This form is used by the proposer to list each firm (both DBE and non-DBE) that provides a bid or proposal. This includes bidders who are and are not selected, a description of the work, and the dollar amount of the proposal or bid. All Proposers must complete this form. The Bidders List must be maintained in accordance with 49 CFR §26.11(C) and must identify all firms quoting or bid- ding on subcontracts, consultant, sub-consultant, supplier, or service provider. The Proposer may utilize MnDOT’s Bid- ders List Form, included in this document or prepare a suitable alternative format that provides the same information: a. The firm’s name b. The firm’s address c. The firm’s status as a DBE or non-DBE

105 d. The type of work the firm will perform e. The amount of the firm’s bid or quote 4. Letter of Intent to Subcontract: The Proposer and its subcontractors and suppliers must submit a Letter of Intent to Subcontract for each subcontractor or supplier it intends to contract work within the scope of this project. This form must include a detailed description of the work; whether the firm is a Joint Venture or Mentor-Protégé, and whether the firm is a Mn/UCP- or WisDOT-UCP certified DBE. Submission of a signed Letter of Intent to Subcontract is not a guarantee that there will be a subcontract. 5. DBE Description of Work and Field Monitoring Report (Exhibit A Form) – The Proposer must submit a DBE Description of Work and Field Monitoring Report (Exhibit A Form) for each DBE firm whose participation on the project will count toward the DBE goal. This form must be accompanied by the Letter of Intent to Subcontract or other proof of commitment to use the DBE firm, such as copies of signed agreements or affidavits to that effect. These commitments will be used to determine the “commitment rate,” which is the percentage of DBE participation the Proposer has obtained at the time of submission. OCR will determine whether the Proposer meets the DBE goal based on this information. The Proposer commits to using the proposed DBE firms for not less than the percentage of the DBE participation shown on the DBE Description of Work and Field Monitoring Report (Exhibit A). A Proposer will be deemed nonresponsive if it fails to include in its submission a completed DBE Description of Work and Field Monitoring Report (Exhibit A Form), as required, for each DBE firm. 6. Additional Information: If the Proposer fails to meet the established DBE goal, it must submit any additional infor- mation that it believes is relevant to showing that it made adequate good faith efforts to meet the goal as required by the DBE program. IF THE DBE GOAL IS NOT MET, EVALUATE GOOD FAITH EFFORTS A Proposer that does not commit to meeting the DBE goal is not disqualified if the Proposer demonstrates that it made adequate good faith efforts (GFEs) to meet the DBE goal. A Proposer that does not commit to meet the DBE goal and fails to show that adequate GFEs were made is a nonresponsive bidder, and MnDOT will reject its bid. See 49 CFR §26.53(a)(2). EVALUATION OF GOOD FAITH EFFORTS The Proposer must show that it took all necessary and reasonable steps to achieve the DBE goal which—by their scope, intensity, and appropriateness to the objective—could reasonably be expected to obtain sufficient DBE participation, even if these efforts were not fully successful. Mere pro forma efforts are not sufficient to meet the DBE contract requirements. In evaluating the Proposer’s adequate good faith efforts, MnDOT will consider the following list of actions. This is not a manda- tory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. Compliance with the adequate good faith efforts requirement will be determined on a case-by-case basis. A. Soliciting through all reasonable and available means (e.g., attendance at prebid meetings, advertising and /or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The Proposer must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. The Proposer must determine with certainty whether the DBEs are interested by taking appropriate steps to follow up initial solicitations. B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facili- tate DBE participation, even when the Proposer might otherwise prefer to perform these work items with its own forces. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

106 D. (1) Negotiating in good faith with interested DBEs. It is the Proposer’s responsibility to make a portion of the work available to DBE subcontractors, consultants, subconsultants, and regular dealers, and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for contracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. D. (2) A Proposer using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm’s price and capabilities as well as contract goals into consider- ation. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself suf- ficient reason for a bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a Prime Contractor to perform the work of a contract with its own organization does not relieve the ALB of the responsibility to make good faith efforts. Prime Contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor’s standing within its industry; membership in specific groups, organizations, or associations; and politi- cal or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or nonsolicitation of bids in the contractor’s efforts to meet the project goal. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available minority/women community organizations; minority/women contractors’ groups; local, state, and federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. COUNTING DBE PARTICIPATION & COMMERCIALLY USEFUL FUNCTION In accordance with 49 CFR § 26.55, MnDOT will determine the percentage of DBE participation that will be counted toward the overall DBE goal as follows: (A) When a DBE participates in a contract, MnDOT will only count the value of the work actually performed by the DBE toward DBE goals. (1) The entire amount of the portion of a construction contract (or other contract not covered by paragraph 49 CFR § 26.55(a)(2)) that is performed by the DBE’s own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the Prime Contractor or its affiliate). (2) The entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as profes- sional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a U.S.DOT-assisted contract, counts toward DBE goals, provided that MnDOT determines the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services. (3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontract work may be counted toward DBE goals only if the DBE’s subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm will not count toward DBE goals. (B) When a DBE performs as a participant in a joint venture, MnDOT will count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals.

107 (C) MnDOT will count expenditures of a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract. (1) A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the materials, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, MnDOT will evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and DBE credit claimed for its performance of the work, and other relevant factors. (2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which the funds are passed in order to obtain the appearance of DBE par- ticipation. In determining whether a DBE is such an extra participant, MnDOT must examine similar transactions, particularly those in which DBEs do not participate. (3) If a DBE does not perform or exercise responsibility for at least 30% of the total cost of its contract with its own workforce or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, MnDOT must presume that it is not performing a com- mercially useful function. (4) When a DBE is presumed not to be performing a commercially useful function as provided in the preceding para- graph, the DBE may present evidence to rebut this presumption. MnDOT may determine that the firm is perform- ing a commercially useful function given the type of work involved and normal industry practices. (5) MnDOT decisions on commercially useful function matters are subject to review by the concerned operating administration, but are not administratively appealable to U.S.DOT. (D) MnDOT will use the following factors in determining whether a DBE trucking company is performing a commercially useful function: (1) The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. (2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. (3) The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs. (4) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract. (5) The DBE may also lease trucks from a non-DBE firm, including an owner-operator. The DBE who leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE lessees not to exceed the value of transportation services provided by DBE-owned trucks on the contract. Additional participation by non-DBE lessees receives credit only for the fee or commission it receives as a result of the lease arrangement. If a recipient chooses this approach, it must obtain written consent from the Director of the Office of Civil Rights. (6) For purposes of this section, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for the use of the leased truck. Leased trucks must display the name and identification number of the DBE.

108 (E) MnDOT will count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following: (1) MnDOT will count 100% of the cost of the materials or supplies toward DBE goals if the materials or supplies are obtained from a DBE manufacturer. (2) For purposes of this section (e), a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described in the specifications. (3) If the materials or supplies are purchased from a DBE regular dealer, MnDOT will count 60% of the cost of the materials or supplies toward DBE goals. (4) For purposes of this section (e), a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold to or leased to the public in the usual course of business. a. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. b. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating, or maintaining a place of business as provided in 49 CFR § 26.55(e)(2)(ii) if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers’ own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract- by-contract basis. c. Packagers, brokers, manufacturers’ representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this section (e). (5) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, MnDOT will count the entire amount of fees or commissions charged for assistance in the procurement of the mate- rials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided MnDOT determines the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. MnDOT, however, will not count any portion of the cost of the materials or supplies themselves toward DBE goals. (F) If a firm is not currently certified as a DBE in accordance with the standards of 49 CFR § 26 Subpart D at the time of execution of the contract, MnDOT will not count the firm’s participation toward any DBE goals. (G) The dollar value of the work performed under a contract with a firm after it has ceased to be certified will not be counted toward the overall goal. (H) MnDOT will not count the participation of a DBE subcontractor toward the contractor’s final compliance with its DBE obligations on a contract until the amount being counted has been actually paid to the DBE. Following this review, the OCR staff will make a recommendation to the Director of OCR, or designee, as to whether the Proposer has met the DBE goal or made adequate good faith efforts. The Director of OCR will determine whether the Pro- poser has met the DBE goal or made adequate good faith efforts to meet the goal for this contract in accordance with 49 CFR § 26.53 and 49 CFR§ 26 Appendix A. The Director’s written determination will be mailed to the Proposer informing it of this decision approximately 10–12 business days after receipt of the information. If the Director determines that the Proposer failed to meet the DBE goal or that it failed to make adequate good faith efforts to do so, the determination notice will be sent by certified U.S. mail. A Proposer that fails to meet the DBE goal or fails to make adequate good faith efforts to meet the goal is a nonresponsive bidder and will not be awarded the contract.

109 CONTINUING GOOD FAITH EFFORTS – ADDING DBES AFTER AWARD After award and for the duration of the contract, the Contractor has a continuing obligation to make adequate good faith efforts to meet the DBE goal. Adequate good faith efforts are explained in the “Evaluation of Good Faith Efforts” section of this document. To add DBE participation after award, the Proposer must report the information to the OCR on the appropriate form in order for it to count toward the DBE goal. The Contractor must submit a DBE Description of Work and Field Monitoring Report (Exhibit A Form) and the DBE’s bid or proposal. OCR must grant its approval for DBE credit. Failure to comply with this requirement may result in a determination that the DBE’s participation is ineligible to count toward the DBE goal. Upon OCR approval, the additional DBE commitment will be incorporated into the contract and shall be considered a contract specification. ADMINISTRATIVE RECONSIDERATION If the Director determines that the Proposer failed to make adequate good faith efforts, the Proposer may request an adminis- trative reconsideration. If the Proposer does not make a timely written request for administrative reconsideration as described herein, the Proposer will be deemed to have waived its right to request administrative reconsideration. The Proposer’s request for administrative reconsideration must be made in writing. Requests sent by fax or personal deliv- ery must be received by the MnDOT Office of Civil Rights no later than 4:30 PM on the fifth business day after the Proposer receives written notice of the determination. Administrative reconsideration requests sent by U.S. mail must be postmarked no later than the fifth business day after the Proposer receives notice of the determination. The Proposer is deemed to have notice as of the date indicated on the certified mail receipt signed by the Proposer, or its representative, at the time of delivery. The Proposer must submit the written request for reconsideration to the attention of MnDOT Deputy Commissioner at MnDOT, 395 John Ireland Blvd. St. Paul, Minnesota 55155; or by fax 651-366-4795. A copy of the request must be sent to the Director of the Office of Civil Rights at the same address or fax 651-366-3129. The Commissioner of MnDOT will designate officials to serve as Reconsideration Officials. The Reconsideration Offi- cials shall not have had any role in the original determination that the Proposer failed to meet the DBE goal or failed to make adequate good faith efforts to do so. In the reconsideration process, the Proposer will have the opportunity to: • Provide written documentation or argument concerning the issue of whether the Proposer met the goal or made adequate good faith efforts to do so. • Meet in person with the Reconsideration Officials to discuss the issue of whether the Proposer met the goal or made adequate good faith efforts to do so. The Reconsideration Officials will reconsider the record documenting the good faith efforts of the Proposer. The recon- sideration process will include the documents and arguments that the Proposer is permitted to submit. The reconsideration process is a review only of the good faith efforts made by the Proposer as of the date and time the submission was due. Good faith efforts made subsequent to that date will not be considered. MnDOT will provide the Proposer with a written decision on reconsideration, explaining the basis for the determination within 5 business days following the date scheduled for the Proposer to meet with the Reconsideration Officials to discuss the issue. In accordance with 49 CFR § 26.53(d)(5), the result of MnDOT’s reconsideration process is not subject to administrative appeal to the U.S. Department of Transportation. EFFECT OF SUPPLEMENTAL AGREEMENTS The dollar amount of a supplemental agreement or any other contract modification that increases or decreases the work in which DBE participation has been committed in the Proposal documents will be likewise added or subcontracted from the total contract base figure used to compute the portion of the contract dollars actually paid to DBE firms. Revised total contract dollar amounts must be shown on the Contractor Payment Form and Total Payment Affidavit submitted to MnDOT.

110 FAILURE TO FULFILL DBE COMMITMENT A contractor that fails to fulfill the DBE commitment is subject to appropriate administrative sanctions if the following fac- tors exist: a. the contractor fails to either (1) meet, or (2) make adequate good faith efforts to meet, the DBE commitment it represented in its GFE submission; b. the failure is through no fault of the DBE firm; and c. the failure is not the result of a modification made by MnDOT or the project owner that reduces the scope of work the DBE is to perform. Sanctions may include, but are not limited to, MnDOT withholding progress payments and monetary deductions from the contract proceeds. MnDOT may deduct a sum equal to the portion of the DBE commitment not fulfilled. MnDOT may allow for an adjustment of the Contractor’s DBE commitment if the DBE participant that was part of the orig- inal commitment fails to perform and cannot be replaced with another DBE subcontractor despite the contractor’s adequate good faith efforts to find another DBE to perform the same amount of work. DBE REPLACEMENT The Contractor must request prior written consent from MnDOT to terminate a DBE firm. Written consent is required if the termination occurs any time after a Contractor submits an affidavit, subcontract, or the DBE Description of Work and Field Monitoring Report (Exhibit A) indicating that the DBE firm will perform on the project. This includes, but is not limited to, instances in which a Prime Contractor seeks to perform work originally designated for a DBE subcontractor with its own forces or those of an affiliate, a non-DBE firm, or another DBE firm. Pursuant to 49 CFR §26.53(f), MnDOT will only provide such written consent if it agrees, for reasons stated in its concur- rence document, that the Prime Contractor has good cause to terminate the DBE firm. Under this section, good cause includes the following circumstances: a. The listed DBE subcontractor fails or refuses to execute a written contract. b. The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal industry standards. Provided, however, that good cause does not exist if the failure or refusal of the DBE subcontractor to perform its work in the subcontract results from the bad faith or discriminatory action of the Prime Contractor. c. The listed DBE subcontractor fails or refuses to meet the Prime Contractor’s reasonable, nondiscriminatory bond requirements. d. The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness. e. The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment proceedings pursuant to 2 CFR Parts 180, 215 and 1,200 or applicable state law. f. MnDOT has determined that the listed DBE subcontractor is not a responsible contractor. g. The listed DBE subcontractor voluntarily withdraws from the project and provides to MnDOT written notice of its withdrawal. h. The listed DBE is ineligible to receive DBE credit for the type of work required. i. A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its work on the contract. j. Other documented good cause that MnDOT determines compels the termination of the DBE subcontractor. Provided, that good cause does not exist if the Prime Contractor seeks to terminate a DBE it relied upon to obtain the contract so that the Prime Contractor can self-perform the work for which the DBE contractor was engaged or so that the Prime Contractor can substitute another DBE or non-DBE contractor after contract award.

111 Before transmitting to MnDOT its request to terminate and/or substitute a DBE subcontractor, the Prime Contractor must give notice in writing to the DBE subcontractor, with a copy to MnDOT, of its intent to request to terminate and/or substitute, and the reason for the request. The Prime Contractor must give the DBE five days to respond to the Prime Contractor’s notice and advise MnDOT and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why MnDOT should not approve the Prime Contractor’s action. If required in a particular case as a matter of public necessity (e.g., safety), MnDOT may provide a period of shorter than five days. In addition to post-award terminations, this process applies to pre-award deletions of or substitutions for DBE firms put forward by the Proposer in negotiated procurements. MnDOT will impose appropriate administrative sanctions for noncom- pliance with these removal requirements. MnDOT staff may assist the Contractor, when requested, in identifying DBE replacement firms. This assistance may include but is not limited to: 1. Providing the Contractor with information regarding the availability of other DBEs. 2. Providing the Contractor with assistance in locating available DBEs. PROMPT PAYMENT Minnesota Statute §16A.1245 requires that the Prime Contractor agrees to pay each subcontractor within ten (10) days of the Prime Contractor’s receipt of payment from the state for undisputed services provided by the subcontractor. The Prime Contractor is subject to pay interest charges of 1-1/2 percent per month, or any part of a month, to the subcontractor on any undisputed amount not paid to the subcontractor within the ten (10) day period. This provision applies to DBE and non-DBE subcontractors. Prime Contractors are required to make prompt and full payment of any retainage kept by the Prime Contractor to the subcontractor within 10 days after the subcontractor’s work is satisfactorily completed. Satisfactorily completed means when all the tasks called for in the subcontract have been accomplished and documented as required by MnDOT. When MnDOT has made incremental acceptances of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. Failure to comply with these payment provisions may result in sanctions including the withholding of progress payments to Prime Contractors. Appropriate penalties will be determined by MnDOT. At the conclusion of the contract, the bidder must present the DBE Total Payment Affidavit to the MnDOT Office of Civil Rights. The affidavit must show the total dollar amount of work performed by each DBE business. Submission of this information is a condition of payment. Proposers are hereby notified that the Federal False Claims Act (31 USC 3729-3733) and State False Claims Act (Minn. Stat. §15C.02) apply to statements and certifications made in connection with the DBE program. QUARTERLY REVIEW All Contractors making payments to contractors/subcontractors/suppliers/service providers, regardless of their tier or DBE status, are required to complete and submit the Contractor Payment Form to the MnDOT Office of Civil Rights (OCR), each time payments are made to subcontractors until final payment is made. Failure to comply with the requirements of the form and Minnesota’s prompt payment law may cause progress payments to be withheld. One copy of the form must be submitted to the MnDOT OCR and one copy to the Project Engineer/Manager, no later than ten (10) days after receiving payment from MnDOT. A review of the Contractor’s compliance with the DBE participation goals will be conducted on a quarterly basis.

112 LETTER OF INTENT TO SUBCONTRACT ____________________________________________ intends to subcontract work for the (Proposer’s Name)* T.H. __________________________________________________ Design-Build Project to: _________________________________________ to perform the following types of work: (Name of Subcontractor/Consultant) _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ Does this firm have the capacity to perform the agreed value of the Services/Contract? Yes ___________________ No ___________________ Will this firm be performing the Services/Contract with its own equipment and resources? Yes ___________________ No ___________________ Does this DBE firm have subcontractors, consultants, subconsultants, suppliers/regular dealers, or service providers work- ing under them on this Contract? Yes No (If yes, attach a list of subcontractors, subconsultants, regular dealers, or service providers identified to date, along with the appropriate documentation, including this firm for each DBE.) The subcontractor, consultant, subconsultant, regular dealer, or service provider is is not (Check one) a DBE certified by either the Mn/UCP or the WisDOT UCP.

113 For the Proposer*: For the Subcontractor/Consultant: _____________________________________________ _________________________________________________ (Signature) Confirmed by: (Signature) _____________________________________________ _________________________________________________ (Printed Name) (Printed Name) _____________________________________________ _________________________________________________ (Title) (Title) _____________________________________________ _________________________________________________ (Date) (Date) _________________________________________________ (Address) _________________________________________________ (Phone Number) *Note: Proposer’s subcontractors, consultants, subconsultants, regular dealers, and service providers that have subs on this project are required to complete and submit this for each DBE firm. Submission of this signed form is not a guarantee that there will be a subcontract.

114 DBE DESCRIPTION OF WORK AND FIELD MONITORING REPORT (EXHIBIT A) A contract will not be awarded to a Proposer unless this form is submitted with a signed subcontract, pur- chase order or affidavit for each DBE participating in the contract. This form is complete when the DBE subcontractor has filled in all of the applicable information in sections A and B and signs in section C. PLEASE PRINT CLEARLY OR TYPE. Section (A): (All DBE subcontractors, including trucking firms, must complete this section.) MUST BE COMPLETED BY THE DBE PRINCIPAL Letting Date: __________________________________________________ State Project Number: ___________________________________________ Prime Contractor: ______________________________________________ Phone #: ______________________________________________________ DBE Subcontractor: ____________________________________________ Phone #: ______________________________________________________ DBE Principal Name: ___________________________________________ Total Subcontract $: ____________________________________________ DBE Participation Claimed: ______________________ Percent % Amount $ ____________________________________________________ 1. Did you bid and sign a subcontract agreement with the above-named prime contractor? _____________________________________________________________ 2. Are the items, quantities, and prices listed on the subcontract agreement or affidavit correct? _____________________________________________________________ 3. List the line items to be performed: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ 4. Are there any other agreements not addressed in the subcontract? If yes, please explain: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________

115 5. If equipment to be used is other than what is listed in your DBE certification file, please answer the following: a. Will the renting or leasing include any of the following? Attach a copy of the lease(s) or rental agreement(s). Equipment Insurance Operator Maintenance b. Lessor’s name: Amount to be paid: Number of days to be used: 6. Will there be any other firm(s) providing work listed in your (DBE) subcontract? If yes, answer the following: Firm’s Name: $ amount of the work: 7. What is the name of the person supervising your work on this project? Is this your employee? 8. How many people will you be employing on this project? Minorities: Females: 9. Total dollar amount of materials to be supplied? _____________________________________________________________ 10. Who are you purchasing the materials from? _____________________________________________________________ 11. Please submit Purchase Agreement and/or Purchase Order from manufacturer(s) or primary material supplier(s). NOTE: This Exhibit ‘A’ will not be approved without the Purchase Agreement/Purchase Order. 12. Please list all subcontracts that your firm will be performing during the current construction season, including non- DBE work: (Attach additional sheet if necessary.) Project Number Prime Contractor Project Location # of Working Days 1. 2. 3. MnDOT OCR

116 Section (B): TO BE COMPLETED ONLY BY THE DBE TRUCKER 1. The number of hours contracted or quantities to be hauled on this project: 2. How many fully operational units will be used on this project? (Tractor/trailers: Dump trucks: ) 3. How many fully operational units will be yours? (Dump trucks: Tractors/trailers: ) 4. How many other units will be yours? (Tractors: Trailers: ) 5. If ITOs or trucking companies are to be used on this project, answer the following: Name of ITO/Company Dollar Amount of Contract/Agreement Number of Dump Trucks, Tractors/Trailers (specify) 1. 2. 3. 4. Section (C): (All DBE subcontractors, including trucking firms, must complete Section C.) I hereby certify that the information presented above is correct. I agree to inform the Office of Civil Rights in writing of any changes within 10 days of the change(s). DBE Company: _______________________________________________ DBE Principal: _______________________________________________ Signature Title _________________________________________________________ Date _________________________________________________________ Section (D): TO BE COMPLETED BY MnDOT OFFICE OF CIVIL RIGHTS STAFF PERSON Project Number: _______________________________________________ District # _____________________________________________________ MnDOT OCR Staff Person: ______________________________________ Phone No. ____________________________________________________ Project Engineer: ______________________________________________ On-site Phone #: _______________________________________________ Office Phone #: ________________________________________________

117 Section (E): TO BE COMPLETED BY PROJECT ENGINEER WHEN THE DBE’S PORTION OF WORK IS 1/3 TO 1/2 COMPLETED 1. Does it appear that the DBE firm is performing the work specified in Exhibit “A” description of work? Yes ___________________ No ___________________ 2. Does it appear that the DBE contractor is managing its portion of the project and using its own company employees? Yes ___________________ No ___________________ 3. Does it appear that the DBE contractor is providing the equipment for its items of work or other work specified? Yes ___________________ No ___________________ 4. Does it appear that the quality of the DBE contractor’s performance, scheduling, and project management are meeting industry standards? Yes ___________________ No ___________________ 5. Comments: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ NOTE: If you, as the Project Engineer, have checked “NO” to any of the above questions or have any other comments, it is important that you contact the MnDOT Office of Civil Rights staff person assigned to this project. Project Engineer: _______________________________________________ Date: ________________________________________________________ MnDOT OCR

118 CERTIFICATE OF GOOD FAITH EFFORTS CONSOLIDATED FORM (GFE FORM) INSTRUCTIONS This form consolidates the Certificate of Good Faith Efforts, the Good Faith Efforts Affidavit, and the Bidders List in the DBE Special Provisions and is referred to as the GFE Consolidated Form. All parts of this form must be completed unless otherwise stated in the section’s heading. The Proposer must complete this form and submit it with the Good Faith Efforts Information by the submission due date as defined in the DBE Special Provisions. Prime Contractors may also use this form to demonstrate good faith efforts when a DBE is replaced after the contract is awarded. IF THE DBE GOAL IS NOT MET, the Proposer must include in its good faith efforts information a letter explain- ing in detail the efforts the ALB made to meet the DBE goal. The ALB is required to thoroughly document its good faith efforts, which should include justification of all bids, quotes, or proposals it rejects from certified DBE firms. THE LETTER SHOULD EXPLAIN HOW THE ALB CONSIDERED THE RELEVANT FACTORS IN 49 CFR Part 26, App. A AND ANY OTHER DEMONSTRATIONS OF GOOD FAITH EFFORTS. 1. This GFE Consolidated Form must be completed. Please note that “Part D - SOLICITATION OF SUBCONTRAC- TORS, SUPPLIERS, AND SERVICE PROVIDERS” must be completed only if the DBE goal is not met. 2. A statement of the Proposer’s overall plan for obtaining DBE participation noting barriers or challenges the Proposer encountered in obtaining DBE participation. Specifically, detailing all necessary and reasonable steps to achieve the DBE goal or other requirements which, by their scope, intensity, and appropriateness to the objective of achieving the DBE goal, could reasonably be expected to obtain sufficient DBE participation, even if the Proposer was not successful. 3. The solicitation requirement is twofold and includes the initial solicitation and appropriate follow-up with inter- ested DBEs. Evidence of solicitation efforts of DBEs, such as copies of requests for bids sent to DBE firms with identifica- tion of the firms clearly stated; fax confirmation sheets displaying the date, fax number, name of DBE firm, and status; list of all DBE firms called, date, contact name and response; or e-mail distribution lists with date and time clearly indicated. The solicitations to DBEs should provide sufficient information about the type of work available on the project. 4. Identify the efforts made to select portions of work to be performed by DBEs in order to increase the likelihood that the DBE goal will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation. 5. A detailed explanation of the reason for not accepting DBE quotes. Each nonaccepted quote should be addressed individually. Provide an explanation of the efforts the Proposer made to negotiate in good faith with interested DBEs. Provide information about any cost comparisons that were considered in the decision to not accept DBE quotes. The fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for a Proposer’s failure to meet the contract DBE goal, as long as such costs are reasonable. The Proposer is not required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. If the Proposer makes such a determination, it should provide a written explanation for this conclusion. 6. A detailed explanation of the Proposer’s efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance. 7. A detailed explanation of the Proposer’s efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials or related assistance or services. 8. A detailed explanation of the effective use by the Proposer of the services of available minority/women commu- nity organizations; minority/women contractor’s groups; local, state, and federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and place- ment of DBEs. 9. Provide copies of any advertisements placed on hardcopy or websites. Advertisements should include information about the project(s), type(s) of work for which quotes are being solicited, and specific contact information for the Proposer. Contact the MnDOT Office of Civil Rights if you have any questions: 651-366-3073.

119 Guidelines for Certificate of Good Faith Efforts (GFE) Consolidated Form The Proposer /Prime Contractor must show that it took all necessary and reasonable steps to achieve the DBE goal which—by their scope, intensity, and appropriateness to the objective—could reasonably be expected to obtain sufficient DBE participa- tion, even if not fully successful. The criteria for evaluating good faith efforts is described in 49 CFR, Part 26, Appendix A which can be found at http://www.osdbu.dot.gov/DBEProgram. An ALB submitting good faith efforts information should address the following factors in its good faith efforts information submission. The information below is not a mandatory list, nor is it exclusive or exhaustive. Criterion 1: Solicitation Efforts 1. Did the Proposer use the current DBE Directory to identify DBEs? 2. Did the Proposer perform sufficient solicitations given the amount of work to meet the DBE goal? 3. Did the Proposer break out and solicit for work in economically feasible units? 4. Did the Proposer solicit for work that it otherwise would self-perform? 5. Were DBEs with business operations in close geographic proximity to the project solicited? Criterion 2: Timely Notice 1. Did the Proposer send timely written (e-mail/fax) solicitation notices to certified DBE firms? 2. Did the solicitation notice include the following: a. Name and location of project b. Bid date c. Scope of work requested d. Location where DBEs can review plans and specifications e. Date and time to submit quote f. Contact name for technical assistance g. Any special requirements Criterion 3: Finance and Bonding Outreach 1. Did the Proposer offer assistance by providing contacts for possible bonding, insurance, and lines of credit? 2. Did the Proposer offer assistance by providing technical assistance in these areas? Criterion 4: Proposer Follow-Up 1. Did the contractor maintain a follow-up log from the initial solicitation? The log must show: a. Type of contact (fax, telephone, e-mail) b. Name of contact person c. Name of DBE firm d. Date and time of DBE contact e. Response received f. Reason for DBE not bidding project (if applicable)

120 Criterion 5: Proposer DBE Program Outreach and Support 1. Did the Proposer host DBE informational workshops, attend Minnesota Department of Transportation (MnDOT) sponsored DBE events such as networking sessions, DBE conferences, DBE/ Proposer meetings, etc.? 2. Did the Proposer contact minority business organizations about DBE opportunities? Note: The submission due date is the date Price Proposals are due in accordance with the MnDOT Design-Build DBE Special Provisions. Contact the MnDOT Office of Civil Rights if you have any questions: 651-366-3073 MINNESOTA DEPARTMENT OF TRANSPORTATION OFFICE OF CIVIL RIGHTS CERTIFICATE OF GOOD FAITH EFFORTS CONSOLIDATED FORM This Certificate of Good Faith Efforts Consolidated Form (GFE Consolidated Form) is required to demonstrate that the Proposer either met the DBE goal or made adequate good faith efforts to meet the DBE goal pursuant to 49 CFR Part 26, Appendix A. Please refer to the instruction sheet prior to completing the form. This form and all supporting good faith efforts documentation must be provided to the MnDOT Office of Civil Rights prior to the submission due date as defined within the Design-Build DBE Special Provisions. PART A – PROPOSER’S INFORMATION (This part must be completed.) COMPANY NAME ADDRESS STREET CITY STATE ZIP CODE PHONE # FAX # E-MAIL ADDRESS CONTACT PERSON TITLE PART B – PROJECT DESCRIPTION (This part must be completed.) STATE PROJECT # CONTRACT # (If Applicable) £ Attach copy of MnDOT Advertisement ANTICIPATED START DATE (Based on progress schedule) EXPECTED COMPLETION DATE (Based on progress schedule) DBE GOAL % VS DBE COMMITMENT % (Type of GFE Information – Check one only) £ Pre-award £ Post-award/Execution TOTAL DBE PARTICIPATION DOLLARS BASED ON ADVERTISED DBE GOAL (Total prime bid $ * DBE % Goal) PART C – PROJECT SUMMARY AMOUNTS (This part must be completed.) TOTAL PRIME BID $ TOTAL DOLLARS COMMITTED TO NON-DBES (Not including suppliers) $ TOTAL DOLLARS COMMITTED TO DBES (Not including suppliers) $ TOTAL DOLLARS COMMITTED TO DBE SUPPLIERS (Total paid to DBE suppliers 60%) $ WORKED PERFORMED BY PRIME $ PERCENT OF WORK PERFORMED BY PRIME % TOTAL DBE PARTICIPATION REMAINING (Difference between DBE goal $ and DBE commitment $) $

121 PART D – SOLICITATION OF SUBCONTRACTORS, SUPPLIERS, AND SERVICE PROVIDERS (Complete this part only if DBE goal is not met.) List all subcontractors solicited, both DBE and non-DBE contractors, truckers, and suppliers for this specific project. Include initial contact and follow-up dates, as well as methods of contact (phone, fax, e-mail, etc.). The good faith effort submission should include evidence of the solicitation effort such as copies of request for bids sent to DBE firms with the name of the DBE firms clearly identified; fax confirmation sheets showing the date, fax number, name of DBE firm, confirmation the fax was sent; list of all DBE firms called showing time of call, person contacted, and response; or e-mail lists with time/day sent clearly indicated. Subcontractor/Supplier/Service Provider DBE? Phone # Dates, Method of Contact Description of Work Dollar Amount of QuoteYes No DATES METHOD 1 £ £ 2 £ £ 3 £ £ 4 £ £ 5 £ £ 6 £ £ 7 £ £ 8 £ £ 9 £ £ 10 £ £ £ £ £ £ Make additional copies of this page as necessary.

122 PART E - DBE COMMITMENTS (This part must be completed.) DBEs COMMITMENTS List only DBEs that have executed Exhibit A forms. I. DBE Contractor Information Description of Work Dollar Amount of Bid/ Proposal 1 DBE Contractor Name Contact Name Address Federal Tax # E-mail Phone Fax: 2 DBE Contractor Name Contact Name Address Federal Tax # E-mail Phone Fax: 3 DBE Contractor Name Contact Name Address Federal Tax # E-mail Phone Fax: 4 DBE Contractor Name Contact Name Address Federal Tax # E-mail Phone Fax: 5 DBE Contractor Name Contact Name Address Federal Tax # E-mail Phone Fax: Make additional copies of this page as necessary.

123 PART F – NON-DBE QUOTES SUBMITTED (This part must be completed.) NON-DBE COMMITMENTS List all non-DBE firms that provided quotes or bid proposals. Indicate whether the quotes were accepted. Please include a copy of their quote(s). II. NON-DBE Contractor Information Description of Work Dollar Amount of Bid/Proposal Will Firm Be Used? 1 NON-DBE Contractor Name Y or N Contact Name Address Federal Tax # E-mail Phone Fax: 2 NON-DBE Contractor Name Y or N Contact Name Address Federal Tax # E-mail Phone Fax: 3 NON-DBE Contractor Name Y or N Contact Name Address Federal Tax # E-mail Phone Fax: 4 NON-DBE Contractor Name Y or N Contact Name Address Federal Tax # E-mail Phone Fax: 5 NON-DBE Contractor Name Y or N Contact Name Address Federal Tax # E-mail Phone Fax: Make additional copies of this page as necessary.

124 PART G - DBES QUOTED BUT NOT SELECTED (This part must be completed.) If DBE quotes were rejected, attach a separate sheet of paper explaining the specific basis for rejecting any DBE quote. Note: Additional cost is not in itself sufficient reason for rejecting a DBE quote. However, prime contractors need not accept excessive or unreasonable DBE quotes. The contractor’s standing within its industry or memberships in specific groups (for example union vs. non-union employee status) are not legitimate causes for the rejection or nonsolicitation of a quote in the contractor’s efforts to meet the project goal. (See Instructions attached to this form.). Please include a copy of the quote(s) received. QUOTED DOLLARS DBEs WHO QUOTED, BUT WERE NOT SELECTED TYPE OF WORK QUOTED REASON NOT SELECTED 1. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 2. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 3. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 4. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 5. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 6. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 7. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 8. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 9. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 10. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 11. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 12. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 13. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 14. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 15. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 16. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 17. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 18. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 19. Clearly state specific basis for rejecting the DBE on a separate sheet of paper 20. Clearly state specific basis for rejecting the DBE on a separate sheet of paper NUMBER OF DBEs SOLICITED PART H – CERTIFICATION / GOOD FAITH EFFORTS AFFIDAVIT (This part must be completed.) STATE OF MINNESOTA COUNTY OF I, , being first duly sworn, state as follows: (Full Name)

125 1. I am the of (Title) (Name of Individual, Company, Partnership, or Corporation) that has been identified as a Proposer for the State Project _____________ . 2. I have the authority to make this affidavit for and on behalf of the Proposer. 3. The information provided in the attached Certificate of Good Faith Efforts is true and accurate to the best of my belief. SIGNATURE (Bidder or Authorized Representative) TITLE DATE Subscribed and sworn to before me This day of , 20 _____________________________________________________________ Notary Public My commission expires , 20 Under Sec. 26.107 of “49 CFR Part 26,” dated February 2, 1999, if at any time the Department or a recipient has reason to believe that any person or firm has willfully and knowingly provided incorrect information or made false statements, the Department may initiate suspension or debarment proceedings against the person or firm under 49 CFR Part 29, take enforce- ment action under 49 CFR Part 31, Program Fraud and Civil Remedies, and/or refer the matter to the Department of Justice for criminal prosecution under 18 U.S.C. 1001, which prohibits false statements in federal programs.

126 CONTRACTOR PAYMENT FORM State Project Number Prime Contractor: 1st Tier Sub-Contractor: Payment Reporting Period: From: To: Instructions: All Contractors making payments to contractors/subcontractors/suppliers/service providers, regardless of their tier or DBE status, are required to complete and submit this form to the MnDOT Office of Civil Rights (OCR) each time payments are made to subcontractors until final payment is made. Failure to comply with this form and Minnesota’s prompt payment law may cause progress payments to be withheld. Submit one copy of this form to the MnDOT OCR and one copy to the Project Engineer, no later than ten (10) days after receiving payment from MnDOT. CONTRACTOR INFORMATION ORIGINAL CONTRACT AMOUNT COMMITTED DBE % ACTUAL DBE % TO DATE Name: Address: Phone: Name of Subcontractor/Supplier DBE? (Check if Yes) Description of Work Subcontract Amount 1. £ 1. 1. 2. £ 2. 2. 3. £ 3. 3. 4. £ 4. 4. 5. £ 5. 5. 6. £ 6. 6. Amount of Current Payment Total Subcontractor Payment-To-Date % Paid to date Final Payment? Yes/No 1. 1. 1. 1. 2. 2. 2. 2. 3. 3. 3. 3. 4. 4. 4. 4. 5. 5. 5. 5. 6. 6. 6. 6. Company Officials Signature & Title Date Signed Name & Title of Individual Completing Report (Type or Print Clearly) Title: Title: Phone: Fax: Phone: Fax: CONTRACTOR PAYMENT FORM INSTRUCTIONS All Contractors making payments to contractors/subcontractors/suppliers/service providers, regardless of their tier or DBE status, are required to complete and submit this form to the MnDOT Office of Civil Rights (OCR) each time payments are made to subcontractors until final payment is made. Failure to comply with this form and Minnesota’s prompt payment law may cause progress payments to be withheld. Submit one copy of this form to the MnDOT OCR and one copy to the Project Engineer, no later than ten (10) days after receiving payment from MnDOT. State Project Number: As identified by MnDOT Prime Contractor: The contractor who was awarded the project.

127 1st Tier Subcontractor: If a subcontractor has a subcontractor, list the 1st tier sub here and then list all of the 2nd tier subcontractors in the Name of Subcontractor/Supplier area. All areas should be filled in regarding the prime as well. Payment Reporting Period: This should reflect the current payment period. Contractor Information: Information for contractor who is making the payments. This must be filled out completely. Original Contract Amount: Prime contractor’s contract dollar amount. Committed DBE%: The DBE commitment certified in the prime’s bid is the minimum percentage of DBE participation on the project. Actual DBE % to Date: The percentage met to date. Name of Subcontractor/Supplier: Company that is working for the prime contractor on this project. (If a sub was con- tracted for more than one contract, list each contract separately.) DBE?: Check this box if the subcontractor is a certified DBE in Minnesota. You can find a list of the DBE firms certified in Minnesota at http://www.dot.state.mn.us/civilrights/dbedirectory.html. Description of Work: The type of work the subcontractor was contracted for. Subcontract Amount: The dollar amount the subcontractor was contracted for. Amount of Current Payment: The current dollar amount being paid to the sub. Total Subcontractor Payment to Date: Total dollar amount paid to the sub, including the current payment. % Paid to Date: Percentage of total payments made in comparison to the prime’s award amount. Final Payment?: Indicate whether this is the final payment being made to the sub. Company Official’s Signature & Title: Self-explanatory Name & Title of Individual Completing Report: Self-explanatory If you have questions on completing the form, call the Office of Civil Rights at (651) 366-3073. DBE TOTAL PAYMENT AFFIDAVIT Pursuant to MnDOT Standard Specifications for Construction, Section 1908, the following DBE Total Payment Affidavit shall be executed by the Prime Contractor after all work contracted to be performed by DBEs has been satisfactorily com- pleted. Identify each DBE firm that worked on the project and the dollar amount of the subcontract. If the dollar value of a DBE firm’s total work is less than the DBE’s original subcontract, please attach an explanation. State Project Number: ___________________________________________ STATE OF MINNESOTA COUNTY OF ___________________________ I, , being first duly sworn, state as follows: (Full Name)

128 1. I am the authorized representative of (name of individual, company, partnership, or corporation) and I have the authority to make this affidavit for and on behalf of said Prime Contractor. 2. The following DBE subcontractors/suppliers/service providers/subconsultants have performed work on the above project with a total dollar value of: Name of DBE Firm Dollar Amount of Subcontract Total Dollar Amount 1. 2. 3. 4. 5. 6. 7. 8. 3. I have fully informed myself regarding the accuracy of the statements made in this affidavit. Signed: ______________________________________________________ (Prime Contractor or Authorized Representative) Subscribed and sworn to before me This day of , 20 _____________________________________________________________ (Notary Public) My commission expires , 20 Prepare Affidavit in duplicate. Submit one original to the Project Engineer and one original to: MnDOT’s Office of Civil Rights 395 John Ireland Blvd., MS 170 St. Paul, MN 55155 No. 1908 – Standard Specifications for Construction Unless the Contractor has presented an affidavit showing the total dollar amounts of work performed by Disadvantaged Busi- ness Enterprises (DBE), final payment may be withheld.

NEED SPINE WIDTH TRANSPORTATION RESEARCH BOARD 2015 EXECUTIVE COMMITTEE* OFFICERS Chair: Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies, University of California, Davis Vice Chair: James M. Crites, Executive Vice President of Operations, Dallas/Fort Worth International Airport, TX Executive Director: Neil J. Pedersen, Transportation Research Board MEMBERS VICTORIA A. ARROYO, Executive Director, Georgetown Climate Center; Assistant Dean, Centers and Institutes; and Professor and Director, Environmental Law Program, Georgetown University Law Center, Washington, DC SCOTT E. BENNETT, Director, Arkansas State Highway and Transportation Department, Little Rock DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA MALCOLM DOUGHERTY, Director, California Department of Transportation, Sacramento A. STEWART FOTHERINGHAM, Professor, School of Geographical Sciences and Urban Planning, University of Arizona, Tempe JOHN S. HALIKOWSKI, Director, Arizona DOT, Phoenix MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort SUSAN HANSON, Distinguished University Professor Emerita, School of Geography, Clark University, Worcester, MA STEVE HEMINGER, Executive Director, Metropolitan Transportation Commission, Oakland, CA CHRIS T. HENDRICKSON, Professor, Carnegie Mellon University, Pittsburgh, PA JEFFREY D. HOLT, Managing Director, Bank of Montreal Capital Markets, and Chairman, Utah Transportation Commission, Huntsville GERALDINE KNATZ, Professor, Sol Price School of Public Policy, Viterbi School of Engineering, University of Southern California, Los Angeles MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence JOAN McDONALD, Commissioner, New York State DOT, Albany ABBAS MOHADDES, President and CEO, Iteris, Inc., Santa Ana, CA DONALD A. OSTERBERG, Senior Vice President, Safety and Security, Schneider National, Inc., Green Bay, WI SANDRA ROSENBLOOM, Professor, University of Texas, Austin HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN KIRK T. STEUDLE, Director, Michigan DOT, Lansing GARY C. THOMAS, President and Executive Director, Dallas Area Rapid Transit, Dallas, TX PAUL TROMBINO III, Director, Iowa DOT, Ames PHILLIP A. WASHINGTON, General Manager, Denver Regional Council of Governments, Denver, CO EX OFFICIO MEMBERS THOMAS P. BOSTICK (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC TIMOTHY P. BUTTERS, Acting Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. DOT ALISON JANE CONWAY, Assistant Professor, Department of Civil Engineering, City College of New York, NY, and Chair, TRB Young Members Council T. F. SCOTT DARLING III, Acting Administrator and Chief Counsel, Federal Motor Carrier Safety Administration, U.S. DOT SARAH FEINBERG, Acting Administrator, Federal Railroad Administration, U.S. DOT DAVID J. FRIEDMAN, Acting Administrator, National Highway Traffic Safety Administration, U.S. DOT LeROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC JOHN T. GRAY II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC MICHAEL P. HUERTA, Administrator, Federal Aviation Administration, U.S. DOT PAUL N. JAENICHEN, SR., Administrator, Maritime Administration, U.S. DOT THERESE W. McMILLAN, Acting Administrator, Federal Transit Administration, U.S. DOT MICHAEL P. MELANIPHY, President and CEO, American Public Transportation Association, Washington, DC GREGORY G. NADEAU, Acting Administrator, Federal Highway Administration, U.S. DOT PETER M. ROGOFF, Acting Under Secretary for Transportation Policy, Office of the Secretary, U.S. DOT MARK R. ROSEKIND, Administrator, National Highway Traffic Safety Administration, U.S. DOT CRAIG A. RUTLAND, U.S. Air Force Pavement Engineer, Air Force Civil Engineer Center, Tyndall Air Force Base, FL BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA GREGORY D. WINFREE, Assistant Secretary for Research and Technology, Office of the Secretary, U.S. DOT FREDERICK G. (BUD) WRIGHT, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC PAUL F. ZUKUNFT (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security * Membership as of February 2015. Abbreviations used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S.DOT United States Department of Transportation

92+ pages; Perfect Bind with SPINE COPY = 14 pts Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 481 N CH R P SYN TH ESIS 481 Current Practices to Set and M onitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery M ethods NEED SPINE WIDTH Job No. XXXX Pantone 202 C TRANSPORTATION RESEARCH BOARD 500 F ifth S treet, N .W . W ashing to n, D .C . 20001 A D D R ESS SER VICE R EQ UESTED TRB A Synthesis of Highway Practice