Lump Sum Request for Proposal ( RFP ) Insert Project Name University Project Number: xx-xxx-xx-xxxx

Lump Sum Request for Proposal ( RFP ) Insert Project Name University Project Number: xx-xxx-xx-xxxx Insert RFP Issue Date

Throughout this RFP Respondent or you means the prime firm responding to this RFP. PRE-PROPOSAL MEETING The University has scheduled / will not have a Pre-Proposal Meeting. The time and location of meeting(s) are as follows: Insert time, day and date Building Name Room Number / Meeting Location Street Address City, State and Zip Code Attendance at this meeting is Non- Mandatory / Mandatory. The University will not accept Proposals from Respondents that do not attend. Maps, driving directions, and parking information for the various campuses of the University are available at: http://campusmaps.umn.edu/ PROPOSAL SUBMITTAL REQUIREMENTS The University Must Receive Your Proposal No Later Than:, 20 at 2:00 P.M. (Minnesota time) per the time clock in Purchasing Services The University will not consider late Proposals. SUBMIT BY E-MAIL Proposals shall be submitted via e-mail to the contact listed below. Submit one signed copy of your entire Proposal, with all attachments, in Adobe Portable Document Format (.pdf). The subject line of the e-mail shall include the words Proposal Submission, Project Number and Project Name for this RFP. UNIVERSITY CONTACT FOR RFP SUBMISSIONS / QUESTIONS: Chip Foster via e-mail: foste048@umn.edu Kevin Sullivan via e-mail: sull0198@umn.edu Denis Larson via e-mail: dpl@umn.edu The person named above shall be the only contact for all questions regarding any aspect of this RFP and its requirements. Submit all communications by e-mail to contact listed above unless instructed to do so in this RFP or in writing by the University contact designated above. If any Respondent attempts any unauthorized communication or does not adhere to the Proposal Submittal Requirements listed above, the University may, in its sole discretion, reject that Respondent s Proposal. University Project Number: xx-xxx-xx-xxxx Page 2 of 31

TABLE OF CONTENTS 1.0 PROJECT INFORMATION... 4 1.1 Background... 4 1.2 Project Description... 4 1.3 University-Provided Information... 4 1.4 Contract Sum... 4 1.5 Critical Project Schedule Dates... 5 1.6 Form of Contract between the University and the Selected Respondent... 5 2.0 PROPOSAL REQUIREMENTS AND EVALUATION CRITERIA... 5 2.1 Tentative Schedule of Selection Process... 5 2.2 Pre-Proposal Meeting... 6 2.3 Evaluation Criteria... 6 2.4 RFP Cover Page and Declaration... 7 2.5 Respondent s Team Qualification... 7 2.6 Project Approach and Work Plan... 7 2.7 Project Schedule... 7 2.8 Project Cost... 7 2.9 Targeted Business and Urban Community Development and Workforce Utilization... 7 2.10 Responsible Contractor Verification Of Compliance... 8 2.11 Safety... 9 2.12 Interviews... 9 All checked Attachments listed below are part of the RFP. X Attachment A: X Attachment B: X Attachment C: X Attachment D: X Attachment E: X Attachment F: X Attachment G: RFP Cover Page and Declaration Respondent s Team Qualifications Project Approach and Work Plan Project Schedule Project Cost Targeted Business & Urban Community Development Questionnaire Responsible Contractor Verification Of Compliance University Project Number: xx-xxx-xx-xxxx Page 3 of 31

1.0 PROJECT INFORMATION 1.1 Background The Board of Regents of the University Of Minnesota (the University ) is requesting Proposals to provide construction services for Insert a short description of the Project background. (Why is the University undertaking this Project?) (the Project ). 1.2 Project Description Insert a summary description of the Project (including square footage, types of space, tenants, and Project location) Insert the name of the A/E is the Architect/Engineer of Record for the Project. Due to the funding source, this Project requires the use of American-made steel (2014 Minnesota Session Law, Chapter 294). At the University s request, Respondent shall promptly furnish proof of origin of steel materials. Failure of the Respondent to timely provide the requested information may result in disqualification. (Delete if not required) 1.3 University-Provided Information The University has assembled the following information (available to view online at http://purchasing.umn.edu/construction/advertisements.html) about the Project (collectively, the RFP Documents ) for review by the Respondent: This RFP and all Attachments RFP Instructions, Requirements, and Rights Reserved by the University Current Prevailing Wage Rates Insert a list of additional RFP Documents for the Project. The University has assembled the following additional RFP Documents (available to view online at www.cppm.umn.edu) for review by the Respondent: The Contract The University s Standards and Procedures for Design However, note the RFP Documents are subject to change. The University will provide notice of any changes to the RFP via addenda. Any information provided to Respondents during the course of the RFP process, including the documents enumerated in this Section 1.3, is provided only for your use in preparing your Proposal. Respondents shall independently evaluate the information for their use in preparing the Proposal and shall be solely responsible for their use or interpretation of the information. 1.4 Contract Sum University Project Number: xx-xxx-xx-xxxx Page 4 of 31

The selected Respondent will perform the Work for a Contract Sum that shall be a fixed, lump sum that shall include all costs necessary to complete the Work in accordance with the Contract Documents, including Respondent s overhead and profit. The total construction budget for this Project is Insert dollar amount (current dollars, no escalation). 1.5 Critical Project Schedule Dates The University requires the Project to be substantially complete by no later than Insert the intended date of Substantial Completion (e.g. July 1, 2010). Insert any other critical dates that pertain to the construction schedule or any other important dates/deadlines that must be met throughout the Project The schedule required to meet the date(s) noted above must include all University reviews required by this RFP or the then-current University s Standards and Procedures for Design (www.cppm.umn.edu/standards.html). 1.6 Form of Contract between the University and the Selected Respondent 1.6.1 The Contract between the selected Respondent and the University will be the University s Construction Agreement, OGC-SC900 (available at http://www.cppm.umn.edu/proposals.html), which is incorporated into this RFP (the Contract ). By submitting a Proposal, Respondent acknowledges and agrees that it received, read, understands, and shall be bound by and comply with the Contract. No exceptions or deviations to the Contract will be considered. 1.6.2 The Contract will incorporate by reference this RFP and any RFP Attachments, the General Conditions of the Contract for Construction, American Institute of Architects, Inc. (AIA) Document AIA A201-2007, as modified by the University (available at http://www.cppm.umn.edu/proposals.html), and any RFP modifications agreed to by the University. The University may attach to the Contract as Supplementary Conditions Respondent s Proposal, selected provisions of Respondent s Proposal or modifications to Respondent s Proposal agreed to by University and Respondent. 2.0 PROPOSAL REQUIREMENTS AND EVALUATION CRITERIA 2.1 Tentative Schedule of Selection Process The University s intended schedule for selection of the awarded Respondent is set forth below. ACTIVITY RFP Available for Distribution DATE Date University Project Number: xx-xxx-xx-xxxx Page 5 of 31

Pre-Proposal Meeting (If Applicable) Deadline for RFP Questions Proposal Due Date Shortlist for Interviews (If Applicable) Interviews (If Applicable) Identification of Potential Awarded Respondent Anticipated Authorization to Proceed Date Date at Noon Date at 2:00 PM Date Date Date Date 2.2 Pre-Proposal Meeting A Pre-Proposal Meeting has been scheduled at the location and time noted on page 2 of this RFP. Attendance at this Pre-Proposal Meeting is Non-Mandatory / Mandatory for prime firms that are interested in responding to this RFP. The University will not accept Proposals from Respondents that are not listed on the Pre-Proposal Meeting Sign-in Sheet, which is posted online with the RFP Documents as stated in section 1.3. Insert any other necessary Pre-Proposal Meeting information. The University has not scheduled a Pre-Proposal Meeting for this RFP. (Delete if required) 2.3 Evaluation Criteria 2.3.1 The University will evaluate Proposals against the evaluation criteria for the degree to which each Proposal meets the criteria as follows: Attachment / Section Description Value Attachment A RFP Cover Page and Declaration Pass / Fail Attachment B Respondent s Team Qualifications Value Attachment C Project Approach and Work Plan Value Attachment D Project Schedule Value Attachment E Project Cost Value Attachment F Attachment G Targeted Business & Urban Community Economic Development Responsible Contractor Verification Of Compliance Value Pass / Fail Section 2.11 Safety Value University Project Number: xx-xxx-xx-xxxx Page 6 of 31

Section 2.12 Interview Value 2.3.2 In order to be considered responsive, each Respondent must complete and submit all required Attachments without any modifications to the RFP Documents. 2.3.3 The University will evaluate and score each Proposal. The Respondent selected for an award will be the one whose Proposal is responsive, responsible, and is the most advantageous to the University, as determined by the University in its sole discretion. 2.3.4 Submission of a Proposal indicates the Respondent's acceptance of the evaluation criteria. 2.4 RFP Cover Page and Declaration The Respondent will prepare and submit the RFP Cover Page and Checklist. This completed document should be the cover page of the Respondent s Proposal. Failure to answer the questions in the checklist or sign the cover page may result in disqualification. 2.5 Respondent s Team Qualification The Respondent will prepare and submit information pertaining to their Team s Qualification which will identify the experience of the Respondent and its Team Members. A lack of prior experience and/or working together on comparable projects may hinder your overall score. Failure to complete may result in disqualification. 2.6 Project Approach and Work Plan The Respondent will prepare and submit information regarding their approach / plan to working on the Project. Failure to complete may result in disqualification. 2.7 Project Schedule The Respondent will prepare and submit information regarding their proposed schedule for the Project. The Respondent must take into account any critical dates identified in section 1.5 when building their schedule. Failure to complete may result in disqualification. 2.8 Project Cost The Respondent will prepare and submit information regarding their proposed Project cost and change order mark-up. Failure to complete may result in disqualification. 2.9 Targeted Business and Urban Community Development and Workforce Utilization Respondents will prepare and submit as part of their Proposal, University Form 00658-A. The University will evaluate completed forms as outlined in the Targeted Business and University Project Number: xx-xxx-xx-xxxx Page 7 of 31

Urban Community Development Guidelines (Form 00658-B). Failure to complete may result in disqualification. Respondent acknowledges that the University adopted a policy to establish and implement Targeted Business, Urban Community Economic Development and Small Business Programs (the TGB Programs ), which is available at: http://regents.umn.edu/sites/regents.umn.edu/files/policies/equity_diversity_eo_aa.pdf Respondent hereby acknowledges that it has a copy of this policy. Respondent agrees that as a material consideration for the University entering into the Contract, Respondent will fulfill its commitments with regard to the TGB requirements set forth on University Form 00658-A and upon the University s request provide substantiation of compliance. If a potentially awarded Respondent has not met the minimum requirements for successfully passing this portion of the RFP, the University may: Consider their Proposal non-responsive. Work with the Respondent to help them achieve a passing score. Section intentionally omitted as it does not apply to this RFP. (Delete if Project value is less than $100,000 or TGB exemption has been approved) 2.10 Responsible Contractor Verification Of Compliance Respondent acknowledges that the University has elected to voluntarily comply with Minnesota Statutes, Section 16C.285, which sets forth minimum criteria that Respondent must meet to establish itself as a responsible contractor. Responsible contractor means a Respondent that conforms to the responsibility requirements in this RFP and verifies that it meets the minimum criteria set forth in Minnesota Statute, Section 16C.285, Subdivision 3 ( Minimum Criteria ). The Minimum Criteria are included in the Responsible Contractor Certification of Compliance attached as Attachment G ( Compliance Certificate ). If Respondent or any subcontractor does not meet the Minimum Criteria or fails to verify that it meets the Minimum Criteria, it is not a responsible contractor and is not eligible to be awarded a contract for the Project or to perform work on the Project. A false statement under oath verifying compliance with any of the Minimum Criteria shall render Respondent or a subcontractor that makes the false statement ineligible to be awarded a contract on the Project and may result in termination of a contract awarded to Respondent or a subcontractor that submits a false statement. Respondent must submit the Compliance Certificate and List of First-Tier Subcontractors (University Document 00900) as evidence that it and its first-tier subcontractors meet the Minimum Criteria. Failure to complete these submissions may result in disqualification. Respondent must obtain Compliance Certificates from each of its first-tier subcontractors in the forms attached as Attachment G and Attachment G-1. If Respondent retains additional subcontractors on the Project after submitting University Project Number: xx-xxx-xx-xxxx Page 8 of 31

Attachment G-1, Respondent shall submit the List of Additional Subcontractors attached as Attachment G-2 (University Document 00901) within 14 days of retaining the additional subcontractors. Respondent shall submit to the University upon request copies of the signed Compliance Certificates from all subcontractors of any tier. Respondent may be required to furnish information or evidence as requested by the University to support or otherwise verify the statements in the Compliance Certificate(s). Such information shall be submitted within 3 business days of receipt of the University s request. Failure of the Respondent to timely provide the requested information may result in the Respondent s response being rejected. 2.11 Safety The purpose of the Safety Rating is to confirm that the Respondents performing work for the University are meeting or exceeding applicable safety, health and environmental laws, statutes, regulations, ordinances, rules, directives, procedures, and orders and the requirements of the University s Construction Standards. Respondents will prepare and submit a Safety Questionnaire per the instructions stated in the Contractor Safety Guidelines, which is available on-line at http://purchasing.umn.edu/construction/safety.html. The resulting Safety Rating will be considered when evaluating this Project. Only those Respondents with a Safety Score of 5.0 or greater will be considered for this Project. The Respondent can view their Safety Rating on-line at http://purchasing.umn.edu/construction/safety.html. Only the Respondent s safety score will be evaluated in this process--safety scores of the sub-contractors will not be evaluated. The Respondent must take the processing time noted in the Guide into account when submitting their Safety Questionnaire. If the Respondent currently has a Safety Rating on file at the University for the current calendar year, they do NOT need to submit their safety information with their Proposal. 2.12 Interviews If necessary, the University may shortlist and interview the top rated Respondents. The University may request that the Respondent s critical team members attend the interview on the date specified in this RFP. Only those individuals identified in the Respondent s Proposal may be allowed to attend the interview. Individuals who fail to participate in the interview may jeopardize the Respondent s competitiveness. At the University s discretion, substitutes, proxies, phone interviews, or electronic interviews may be allowed. The University may request additional information prior to interviews. University Project Number: xx-xxx-xx-xxxx Page 9 of 31

The University does not intend to conduct interviews for this RFP. (Delete if required) University Project Number: xx-xxx-xx-xxxx Page 10 of 31

ATTACHMENT A: RFP COVER PAGE AND DECLARATION 1. Does the Respondent acknowledge they are using this Attachment as their Proposal Cover Page and that they have NOT modified or re-formatted the additional RFP Attachments? 2. Does the Respondent acknowledge they have read, understand, and agree to ALL applicable items noted in the RFP Instructions, Requirements, and Rights Reserved by the University document? Yes Yes 3. Will the Respondent sign the Contract referenced in this RFP? Yes No No No 4. Will the Respondent be able to provide an acceptable Certificate of Insurance and Payment and Performance Bonds that meets the University s requirements? 5. Does the Respondent understand and agree to meet the Prevailing Wage Rate requirements for this Project? 6. Does the Respondent understand and agree to meet the American-made Steel requirements for this Project? 7. Did the Respondent have a representative from their firm present at the Mandatory Pre-Proposal Meeting? 8. Respondent acknowledges receipt of the following total number of addenda that were issued with this RFP: Yes Yes Yes Yes No No No No I hereby authorize the University to request from any individual or firm any information it deems necessary to verify any information provided by the Respondent in its Proposal and to determine the Respondent s capacity and responsibility as a prospective contractor with the University. I certify under penalty of perjury that I am a duly authorized representative of the Respondent listed below, I have carefully examined all RFP Documents and documents referenced in this RFP, I understand all instructions, requirements, specifications, terms and conditions, and all statements, information, costs, and schedules submitted in response to the RFP are current, complete, true and accurate. Respondent s Legal Name of Firm Date of Submission Printed Name of Respondent s Representative Signature of Respondent s Representative E-mail Address Phone Number Mailing Address University Project Number: xx-xxx-xx-xxxx Page 11 of 31

ATTACHMENT B: RESPONDENT S TEAM QUALIFICATIONS 1. Complete the following Critical Team Member Experience Matrix (Attachment B-1) identifying the experience and responsibilities of the identified team members. Note the following when documenting this information: a. Submit information for only the Project Roles specified in the Matrix. Do NOT add additional roles. b. List only ONE individual per role. c. The comparable completed project(s) must have been completed within the last FIVE years and should be similar to the University s Project. d. Attach a 1-page resume for EACH individual listed in the Matrix. 2. Complete the following Additional Team Member Matrix (Attachment B-2) identifying the other key Team Members / Subcontractors that will contribute to the success of the Project. Note the following when documenting this information: a. Attach a 1-page resume for EACH individual listed in the Matrix. 3. Complete and submit the following Project Data Sheet(s) (Attachment B-3) identifying the specific project experience of the Respondent and their Critical Team Members. Note the following when documenting this information: a. A separate Project Data Sheet must be prepared for EACH project with only one project allowed per sheet. b. Submit up to, and no more than, THREE total projects. c. Listed project(s) must have been completed within the last FIVE years and should be similar to the University s Project. d. Listed project(s) must have been managed by the Respondent or any other firm s on the Respondent s team. e. It is recommended that you list projects completed by the Team Members identified in Attachment B-1. f. Attach any photos or additional information (no more than two pages worth) with each Project Data Sheet. University Project Number: xx-xxx-xx-xxxx Page 12 of 31

ATTACHMENT B-1: CRITICAL TEAM MEMBER EXPERIENCE Project Role Project Manager Site Superintendent Cost Estimator Name of Individual E-mail Address Individual s Firm Name Individual s Firm Location City, State City, State City, State Current job function within Firm Years working within Firm # # # Years working within Industry # # # Number of projects completed with other Team Members Identify the name, cost, and completion date for up to three comparable completed projects 1. Site Superintendent: # 2. Cost Estimator: # 1a. Project Name 1b. Project Cost 1c. Completion Date 2a. Project Name 2b. Project Cost 2c. Completion Date 1. Project Manager: # 2. Cost Estimator: # 1a. Project Name 1b. Project Cost 1c. Completion Date 2a. Project Name 2b. Project Cost 2c. Completion Date 1. Project Manager: # 2. Site Superintendent: # 1a. Project Name 1b. Project Cost 1c. Completion Date 2a. Project Name 2b. Project Cost 2c. Completion Date 3a. Project Name 3b. Project Cost 3c. Completion Date 3a. Project Name 3b. Project Cost 3c. Completion Date 3a. Project Name 3b. Project Cost 3c. Completion Date Briefly describe the Individual s Responsibilities for this Project Percent of Time on Project #% #% #% University Project Number: xx-xxx-xx-xxxx Page 13 of 31

ATTACHMENT B-2: ADDITIONAL TEAM MEMBER Project Role / Subcontractor Individual Name Firm Name Firm Location (City, State) Electrical Subcontractor Mechanical Subcontractor Roofing Subcontractor Other University Project Number: xx-xxx-xx-xxxx Page 14 of 31

ATTACHMENT B-3: PROJECT DATA SHEET 1. Construction Firm: 2. Project Name: 3. Project Location: 4. Project Description: 5. Project Owner: 6. Construction Cost: 7. Construction Start Date: 8. Construction End Date: 9. Size (i.e., capacity, tonnage, lineal feet, square feet, etc.): 10. Describe how this project is comparable to the University s Project? 11. Identify up to three constructability issues encountered by your firm on this project and briefly describe your firm's approach to resolving each of such issues: 12. Identify the type of Service(s) provided for this project by placing an X in the appropriate box(es): Preconstruction Phase Services: Construction Phase Services: 13. Identify the Construction Delivery Method provided for this project by placing an X in the appropriate box(es): Design-Build: Construction Manager at Risk: Construction Manager - Agent: Design-Bid-Build: University Project Number: xx-xxx-xx-xxxx Page 15 of 31

Other: 14. Identify which proposed team member(s) worked on this project by placing an X in the appropriate box(es): Project Manager: Site Superintendent: Cost Estimator: Project Owner Contact Name: Project Owner Title: Project Owner Telephone Number: Project Owner E-mail Address: Architect/Engineer of Record: Architect/Engineer of Record Contact Name: Architect/Engineer of Record E-mail Address: University Project Number: xx-xxx-xx-xxxx Page 16 of 31

ATTACHMENT C: PROJECT APPROACH AND WORK PLAN NOTE: Your response to this Attachment must NOT exceed 5 pages 1. Describe your anticipated approach to this Project, including specifically project supervision, management, scheduling and accounting methods you intend to employ. 2. List all permits you expect will be required for each component of the Project: Permit Required Project Component Permitting Authority 3. Itemize and describe any difficulties, challenges or risks your firm foresees in providing services to the University on this Project, how you expect to manage those difficulties, challenges or risks, and what assistance will be required from the University. In particular, address site security, safety, traffic management and other issues related to minimizing disruption on campus while performing the Work. 4. Itemize and describe any value-added services, product characteristics, or other benefits or advantages that will be afforded to the University in selecting the Respondent for the Project. 5. Identify any concerns you noted in your review of the RFP Documents (as defined in the RFP) for this Project. University Project Number: xx-xxx-xx-xxxx Page 17 of 31

ATTACHMENT D: PROJECT SCHEDULE 1. Respondent must attach a DRAFT Critical Path Method ( CPM ) Schedule for the Project. The CPM schedule should identify tasks to be performed and/or deliverables to be provided and time frames to complete performance of the identified tasks and the expected time frame in which the Project would be completed. For readability purposes, the CPM schedule may be submitted in an 11 by 17 format. When preparing the CPM schedule, assume the following: a) University Project team reviews will occur as required by the current Construction Document Distribution Matrix, which can be found on the University Capital Planning and Project Management website at www.cppm.umn.edu/standards.html. While progress on design can be made during the review periods, reviewers have two weeks to provide responses. b) Permitting is required for various components of this Project. The University's Project Manager will cooperate in the application for building and other permits. The selected Respondent will be required to obtain and pay for all required permits, assessments, and governmental fees, licenses, and inspections, excluding Sewer Availability Charges and Water Access Charges assessed by the Metropolitan Waste Control Commission. c) For Projects greater than $500,000, the Facilities Committee of the Board of Regents must review and approve schematic plans for the Project. The schedule shall include one month for this process. Board of Regents yearly schedule can be found at: http://www1.umn.edu/regents/meetings.html 2. Include a written narrative that provides a detailed description of the scheduling logic and assumptions that were used when preparing the CPM Schedule. 3. State what events or issues, if any, could impede your ability to achieve the substantial completion date (or any other critical dates) stated in Section 1.5 of the RFP. 4. Identify specific strategies to avoid and/or mitigate project construction delays. Provide an estimate of the earliest start date following execution of a Contract and indicate what could delay the start of the Project. NOTE: The Respondent MUST use the authorization to proceed date stated in Section 2.1 as the starting point of their Project schedule. Respondent should not be doing any Project work prior to this authorization to proceed date. University Project Number: xx-xxx-xx-xxxx Page 18 of 31

ATTACHMENT E: PROJECT COST Total Lump Sum Cost $ Maximum Change Order Mark-up* % Alternate # 1: Lump Sum $ Add / Deduct Alternate # 2: Lump Sum $ Add / Deduct Alternate # 3: Per Unit $ Add / Deduct Unit Price # 1: Per Unit $ N/A Unit Price # 2: Per Foot $ N/A Unit Price # 3: Per Yard $ N/A *For the purposes of and subject to the limitations set forth in Section 7.3.7 of the AIA A201-2007 General Conditions, as modified by University, the Respondent must propose a Maximum Change Order Mark-up as a percentage of the Cost of the Change Order Work. Note that the General Conditions of the Contract caps the mark-up percentage for change order work, whether self-performed or performed by subcontractors, at 8%. By proposing this Maximum Change Order Mark-up, Respondent understands and agrees that this mark-up percentage will be the lesser of 8% or the mark-up percentage proposed above. Refer to the AIA A201-2007 General Conditions, as modified by the University, for specific terms and conditions regarding change order mark-up. University Project Number: xx-xxx-xx-xxxx Page 19 of 31

ATTACHMENT F: TARGETED BUSINESS & URBAN COMMUNITY DEVELOPMENT AND WORKFORCE UTILIZATION Definitions For University purposes, a Targeted Business ( TGB ) firm is one which is: 51% owned and controlled by a minority, women, or person with a disability. Minorities are defined as: African-American persons who have origins in any of the black racial groups of Africa; Hispanic-American persons of Spanish or Portuguese culture with origins in Mexico, South or Central America or the Caribbean Island; Asian-American persons having origins in the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands; American Indians; Alaskan Natives persons having origins in any of the original peoples of North America. Persons with disabilities are defined as: Persons who satisfy the definition of qualified disabled persons according to The Americans Disabilities Act (P.L. 101-336) University Recognized Certifications: US Small Business Administration, State of Minnesota, National or Minnesota Minority Supplier Development Council, City of St. Paul Central Certification (CERT) Program, Women s Business Development Center-MN (WBDC-MN). General Program Requirements Respondent will demonstrate its commitment to achieve meaningful levels of participation with Targeted Businesses, by the percentage of work actually awarded to these businesses on this Project. A meaningful level of participation is a level that is considered reasonable for the size and type of project. The following goals and requirements apply for this Project: Participation of Targeted Businesses equal to or greater than thirteen percent (13%) of the Base Bid/Proposal costs. (The University encourages Respondents to provide University Project Number: xx-xxx-xx-xxxx Page 20 of 31

approximately one-half of the stated TGB participation to minority owned businesses and approximately one-half to women and/or disabled owned businesses). Any level of participation that is not per se reasonable may be determined reasonable if the Respondent provides objective evidence that participation at the per se reasonable level is not available for the Project. No less than 75% of the work performed or the material purchased shall be provided by the Targeted Business Enterprise(s) identified on Document 00658-A for this Project. Submittal Requirements Respondent shall submit, along with their Proposal, the following Targeted Business and Urban Community Economic Development Questionnaire (Document 00658-A). Proposals that are not accompanied with this completed document may be deemed non-responsive. The awarded Respondent must submit the following information to the Office for Business and Community Economic Development on a monthly basis throughout the Project: 1. Copies of invoices verifying any supply or material purchases from TGBs; 2. Copies of all subcontract agreements issued with TGBs; 3. Workforce Utilization report (Document 00659) from prime contractors and subcontractors. The awarded Respondent will be required to submit the following affidavits to the Office for Business and Community Economic Development as a condition of the final payment after all work has been performed on the Project: 1. TGB Total Payment Affidavit (Document 00660); 2. TGB Verification of Completed Work Affidavit (Document 00661). Workforce Utilization SMSA (Standard Metropolitan Statistical Area) workforce levels of participation for this Project are: 32% Minority Employees; 6% Female Employees; 2% Disabled Employees. Preventing Discrimination in Employment: A Respondent demonstrates its commitment to prevent discrimination by its permanent employment of minorities, women, and disabled persons. A Respondent demonstrates its commitment to prevent discrimination by its planned workforce on this project. A Respondent demonstrates its commitment to prevent discrimination by its Equal Employment Opportunity / Affirmative Action Policy Statement. University Project Number: xx-xxx-xx-xxxx Page 21 of 31

A Respondent demonstrates its commitment to prevent discrimination by an approval or Certification by the State of Minnesota or by a Minnesota municipality (Minneapolis, St. Paul, Duluth, etc.) of its Affirmative Action Plan. Urban Community Economic Development A Respondent demonstrates its commitment to improve the urban communities in which the University construction projects are located by: Its current practice of funding, providing personnel to and/or soliciting employees from programs designed to train residents of the targeted areas designated by each city pursuant to Minnesota Statute Section 469.202. Its agreement to participate during this project with the University to fund, provide personnel to, and/or solicit employees from programs designed to train residents of the targeted areas designated by each city pursuant to Minnesota Statute Section 469.202. Program Administration The University of Minnesota s Small Business and Urban Development Program is administered by: Sharon Banks Project Manager, Business & Community Economic Development University of Minnesota 2221 University Office Plaza, Suite 136 Minneapolis, MN 55414 Phone: (612) 626-8043 Fax: (612) 625-9056 Email: banks016@umn.edu University Project Number: xx-xxx-xx-xxxx Page 22 of 31

UNIVERSITY DOCUMENT 00658-A: TARGETED BUSINESS AND URBAN COMMUNITY ECONOMIC DEVELOPMENT QUESTIONNAIRE Respondent s Name: Mailing Address: Contact Name: Phone Number: E-mail Address: Each Respondent shall answer the following questions and include completed document with their Proposal. Failure to complete may result in disqualification. Responses to the following questions will be scored in accordance with the following Targeted Business Questionnaire Scoring Guidelines (Document 00658-B). 1. What percent of the Base Bid for this Project will be provided by a Targeted Businesses as a prime contractor, subcontractor, and/or supplier? % Proposed Targeted Business Names may be provided after award is made, % is required at time of bid. Name of Targeted Business Enterprise(s) Type of Work or Supplies Dollar Amount 2. Percent of Respondent s permanent workforce who are minorities, women or disabled persons. % 3. Percent of the Respondent s permanent workforce for this Project will be minorities. % 4. Percent of the Respondent s workforce for this Project will be women. % 5. Respondent has more than 40 full time employees and included a copy of their Equal Employment Opportunity Plan or Affirmative Action Certificate with bid documents. OR, Respondent has less than 40 full time employees and included a letter confirming total number of employees for the past two calendar years. Documents are attached: YES NO University Project Number: xx-xxx-xx-xxxx Page 23 of 31

6. Describe your efforts to support programs for protected classes as defined by the University s Targeted Business Program and in accordance with Minnesota Statute Section 469.202, complete the following: Program Name Location / Neighborhood Amount of Funds Provided (last 12 months) Amount of Time (hours) Provided (last 12 months) Number of Persons Hired NOTE: UNION PARTICIPATION IS NOT AN ACCEPTABLE RESPONSE TO QUESTION #6. 7. Do you anticipate utilizing apprentices or interns from community training programs on this Project? Yes No if so, provide details: Program Name Discipline Number of Apprentice Number of Interns Projected Hours/Months NOTE: UNION PARTICIPATION IS NOT AN ACCEPTABLE RESPONSE TO QUESTION #7. University Project Number: xx-xxx-xx-xxxx Page 24 of 31

UNIVERSITY DOCUMENT 00658-B: TARGETED BUSINESS QUESTIONNAIRE SCORING GUIDELINES 1. Percent of the Base Bid for this Project subcontracted to Targeted Businesses. 13% & Above = 30 Points 12 12.99% = 25 Points 11 11.99% = 20 Points 10 10.99% = 15 Points 9 9.99% = 10 Points 8 8.99% = 9 Points 7 7.99% = 8 Points 6 6.99% = 7 Points 0 5.99% = 0 Points 2. Percent of Respondent s permanent workforce who are minorities, women or disabled persons. 7% & Above = 5 Points 5 6.99% = 4 Points 3 4.99% = 3 Points 2 2.99% = 2 Points 1 1.99% = 1 Points 0 0.99% = 0 Points 3. Percent of Respondent s workforce for this Project will be minorities. 32% & Above = 15 Points 26 31.99% = 13 Points 21 25.99% = 11 Points 17 20.99% = 9 Points 13 16.99% = 7 Points 9 12.99% = 6 Points 0 8.99% = 0 Points 4. Percent of Respondent s workforce for this Project will be women. 6% & Above = 10 Points 4 5.99% = 4 Points 3 3.99% = 3 Points 2 2.99% = 2 Points 1 1.99% = 1 Points 0 0.99% = 0 Points 5. Attached Equal Employment Opportunity Plan, Affirmative Action Certificate, or letter confirming less than 40 full time employees for the past two calendar years. University Project Number: xx-xxx-xx-xxxx Page 25 of 31

Yes = 5 Points No = 0 Points 6. Adequately described efforts to support programs for protected classes. Yes = 5 Points No = 0 Points 7. Adequately described efforts to include apprentice or interns from community training programs on this Project. Yes = 5 Points No = 0 Points MAXIMUM POINTS AVAILABLE: 75 1. For Project exceeding $1,000,000: A General Contractor having 55 or more points will successfully pass this process and demonstrate its commitment to the University s policies and procedures for Targeted Business inclusion. 2. For Project under $1,000,000: A General Contractor having 45 or more points will successfully pass this process and demonstrate its commitment to the University s policies and procedures for Targeted Business inclusion. 3. A Specialty Contractor (i.e., roofing, HVAC, Elevator, etc.) having 35 or more points will successfully pass this process and demonstrate its commitment to the University s Targeted Business Program. 4. A General Contractor proposing on Projects outside of the 7 county metro area having 25 or more points will successfully pass this process and demonstrate its commitment to the University s policies. If the value of a Project outside of the 7 county metro areas is $5 million or more, Respondent must have a score of 30 or more points to successfully pass this process and demonstrate its commitment to the University s Targeted Business Program. 5. If a potential awarded Respondent has not met the minimum requirements in the immediately preceding paragraphs 1-4 above, the University may, but is not obligated to, either i) work with Respondent to help Respondent achieve the minimum requirements, or ii) based upon a review of the facts and circumstances, including without limitation the nature of the work, the extent to which Respondent typically self-performs, and Respondent s efforts to achieve the goals, make a determination that Respondent made a good faith effort to achieve the goals and, based upon that determination, waive the minimum scoring requirements. Respondent will not be allowed to change their cost or schedule during this process. University Project Number: xx-xxx-xx-xxxx Page 26 of 31

ATTACHMENT G: RESPONSIBLE CONTRACTOR VERIFICATION OF COMPLIANCE (UNIVERSITY DOCUMENT 00900) Minnesota Statutes, Section 16C.285, subdivision 3. Responsible Contractor, Minimum Criteria. Responsible Contractor means a contractor that conforms to the responsibility requirements in the solicitation document for its portion of the work on the project and verifies that it meets the following minimum criteria: 1. The Contractor: i. is in compliance with workers' compensation and unemployment insurance requirements; ii. is currently registered with the Department of Revenue and the Department of Employment and Economic Development if it has employees; iii. has a valid federal tax identification number or a valid Social Security number if an individual; and iv. has filed a certificate of authority to transact business in Minnesota with the secretary of state if a foreign corporation or cooperative. 2. The contractor or related entity is in compliance with and, during the three-year period before submitting verification, has not violated section 177.24, 177.25, 177.41 to 177.44, 181.13, 181.14, or 181.722, and has not violated United States Code, title 29, sections 201 to 219, or United States Code, title 40, section 3141 to 3148. For purposes of this clause, a violation occurs when a contractor or related entity: i. repeatedly fails to pay statutorily required wages or penalties on one or more separate projects for a total underpayment of $25,000 or more within the three-year period; ii. has been issued an order to comply by the commissioner of labor and industry that has become final; iii. has been issued at least two determination letters within the three-year period by the Department of Transportation finding an underpayment by the contractor or related entity to its own employees; iv. has been found by the commissioner of labor and industry to have repeatedly or willfully violated any of the sections referenced in this clause pursuant to section 177.27; v. has been issued a ruling or findings of underpayment by the administrator of the Wage and Hour Division of the United States Department of Labor that have become final or have been upheld by an administrative law judge or the Administrative Review Board; or vi. has been found liable for underpayment of wages or penalties or misrepresenting a construction worker as an independent contractor in an action brought in a court having jurisdiction. Provided that, if the contractor or related entity contests a determination of underpayment by the Department of Transportation in a contested case proceeding, a violation does not occur until the contested case proceeding has concluded with a determination that the contractor or related entity underpaid wages or penalties;* 3. The contractor or related entity is in compliance with and, during the three-year period before submitting the verification, has not violated section 181.723 or chapter 326B. For purposes of this clause, a violation occurs when a contractor or related entity has been issued a final administrative or licensing order;* 4. The contractor or related entity has not, more than twice during the three-year period before submitting the verification, had a certificate of compliance under section 363A.36 revoked or suspended based on the provisions of section 363A.36, with the revocation or suspension becoming final because it was upheld by the Office of Administrative Hearings or was not University Project Number: xx-xxx-xx-xxxx Page 27 of 31

appealed to the office;* 5. The contractor or related entity has not received a final determination assessing a monetary sanction from the Department of Administration or Transportation for failure to meet targeted group business, disadvantaged business enterprise, or veteran-owned business goals, due to a lack of good faith effort, more than once during the three-year period before submitting the verification;* *Any violations, suspensions, revocations, or sanctions, as defined in clauses 2 to 5 occurring prior to July 1, 2014, shall not be considered in determining whether a contractor or related entity meets the minimum criteria. 6. The contractor or related entity is not currently suspended or debarred by the federal government or the state of Minnesota or any of its departments, commissions, agencies, or political subdivisions; and 7. All subcontractors that the contractor intends to use to perform project work have verified to the contractor through a signed statement under oath by an owner or officer that they meet the minimum criteria listed in clauses 1 to 6. Certification By signing this document, I am certifying that I am an owner or officer of the contractor and am verifying under oath that: 1. Contractor is in compliance with Minnesota Statutes, Section 16C.285, 2. I have included Attachment G-1 with contractor s solicitation response, and 3. if contractor is awarded a contract, I or another owner or officer will also submit Attachment G-2 as required. Contractor Company Name Date Authorized Signature of Owner or Officer Printed Name Title State of ) ) County of ) Signed and sworn to before me on, 20, by the of Signature of notarial officer Title (and Rank) Commission Expiration Date University Project Number: xx-xxx-xx-xxxx Page 28 of 31

ATTACHMENT G-1: LIST OF FIRST-TIER SUBCONTRACTORS SUBMIT WITH CONTRACTOR RESPONSE Minnesota Statutes, Section 16C.285, subdivision 5. A prime contractor or subcontractor shall include in its verification of compliance... a list of all of its first-tier subcontractors that it intends to retain for work on the project. NAMES OF FIRST TIER SUBCONTRACTORS (Legal name of company as registered with the Secretary of State) Company Address Work To Be Performed University Project Number: xx-xxx-xx-xxxx Page 29 of 31

ATTACHMENT G-2: LIST OF ADDITIONAL SUBCONTRACTORS (UNIVERSITY DOCUMENT 00901) SUBMIT AS SUBCONTRACTORS ARE ADDED TO THE PROJECT This form must be completed and e-mailed to the Purchasing Department at usp@umn.edu. Minnesota Statutes, Section 16C.285, subdivision 5. If a prime contractor or any subcontractor retains additional subcontractors on the project after submitting its verification of compliance, the prime contractor or subcontractor shall obtain verifications of compliance from each additional subcontractor with which it has a direct contractual relationship and shall submit a supplemental verification confirming compliance with subdivision 3, clause (7), within 14 days of retaining the additional subcontractors. NAMES OF ADDITIONAL SUBCONTRACTORS (Legal name of company as registered with the Secretary of State) Company Address Work To Be Performed See AIA A201 General Conditions of the Contract for Construction, 2007 Edition as modified by the University, Subsections 5.2.1 and 5.3.2, for further information regarding additional subcontractors. University Project Number: xx-xxx-xx-xxxx Page 30 of 31

Certification By signing this document I am certifying that I am an owner or officer of the contractor and am verifying under oath that all subcontractors that the contractor intends to use to perform project work have verified to the contractor through a signed statement under oath by an owner or officer that they meet the Minimum Criteria in Minnesota Statutes, Section 16C.285. Contractor Company Name Date Authorized Signature of Owner or Officer Printed Name Title State of ) ) County of ) Signed and sworn to before me on, 20, by the of Signature of notarial officer Title (and Rank) Commission Expiration Date University Project Number: xx-xxx-xx-xxxx Page 31 of 31