City & County of San Francisco
HUMAN RIGHTS COMMISSION
INTERIM HRC ATTACHMENT 3
Requirements for Professional Services Contracts
For Contracts $25,000 and over
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PART I. GENERAL
1.01 PURPOSE
A. To be eligible for award of this contract, each proposer must agree to comply with the following requirements authorized by San Francisco Administrative Code Chapter 12B, Section 12B.4 and Chapter 14A (where applicable), and their implementing Rules and Regulations.
B. Chapters 12B and 14A of the San Francisco Administrative Code and their implementing Rules and Regulations are incorporated by reference herein as though fully set forth and provide that the failure of any proposer or consultant to comply in good faith with these requirements shall be deemed a material breach of contract. Copies of both Chapters 12B and 14A and their implementing rules and regulations are available on the HRC website at www.sfhrc.org.
C. For assistance regarding Attachment 3 and the accompanying forms for Professional Services contracts contact the following number(s):
Human Rights Commission Main Office (415) 252-2500
DBE Certification (415) 252-2537 or (415) 252-2530
For all other city departments and compliance with the Equal Benefits Program, please contact the HRC Main Office.
v 09-02-04 / Page 1 of 12HRC ATTachment 3 CITY AND COUNTY OF SAN FRANCISCO
Requirements for Professional Services Contracts Human rights Commission /
1.02 SUBMISSION OF HRC FORMS
A. Forms which must be submitted with the proposal:
***These forms are available in Adobe Acrobat PDF, and Microsoft® Word Fillable formats
on our website www.sfgov.org***
1. HRC Form 1: DBE Rating Bonus Application
a. Proposers are requested to submit and include all information whether or not a rating bonus is claimed
b. All proposers, including joint ventures that wish to benefit from the DBE rating bonus, must submit this form. If this form is not completed and returned with the proposal, the business submitting the proposal may not receive the rating bonus.
c. For contracts over $10 million, please complete all information for statistical purposes only.
2. HRC Forms 2A and 2B: DBE Subconsultant Participation Forms
a. These forms must be completed & submitted with the proposal. Except where the proposer or contract awarding authority has obtained a waiver from the HRC, any proposal submitted without a completed HRC form 2A and 2B will be deemed non responsive & rejected. All subconsultants must be listed, including lower tier subconsultants.
b. Subconsulting goal can only be met with HRC certified DBEs.
c. Any proposal that fails to meet the specified DBE percentage goal shall be considered non-responsive and be rejected unless compelling documentation is submitted with HRC Form 2B setting forth why the goal cannot be met.
3. HRC Form 3: Compliance Affidavit
This form must be signed under penalty of perjury under the laws of the State of California.
4. HRC Form 4: Joint Venture Participation Schedule: Form 4 shall be completed and submitted to the HRC office by the proposer if it is claiming a rating bonus based on DBE participation in a joint venture. Documentation relating to this form cannot be submitted after the deadline unless such documentation is requested by the HRC. The Joint Venture Participation Schedule is not applicable to projects over $10 million. In order to be eligible for a bid discount each joint venture partner must have, at the time of submission of bids, an appropriate valid contractor license as required in the contract documents.
5. Form 5: Employment Information must be completed and returned with the proposal by the prime consultant, including joint venture partner.
B. Certification Application Forms:
NOTE: A DBE that is already certified by HRC is not required to submit a Schedule A.
1. Schedule D: DBE Certification Application
a. Proposers and subconsultants must be certified as DBEs on the proposal due date to qualify for rating bonus or to qualify to meet the DBE subcontracting goal. A proposer will not receive any rating bonus unless, by the proposal due date, HRC has issued a certification letter confirming the proposer’s DBE status.
b. Any proposer who is in the process of appealing the Director’s denial of certification or revocation of certification for other contracts shall not be considered as a DBE for any proposal submission until the process is finalized.
c. Copies of the DBE Certification Application can be obtained by calling the HRC office at (415) 252-2500. Additional supporting documentation may be required.
C. Contract Performance Reports
1. HRC Form 7: Prime Consultant/Joint Venture Partner(s) and Subconsultant Participation Report
Form 7 shall be completed by the prime consultant or joint venture partner, if applicable, and submitted to the HRC and the contract awarding authority with its monthly progress payment applications after award of the contract.
2. HRC Form 8: Prime Consultant/Exit Report and Affidavit of DBE Participation:
Form 8 shall be completed by the prime consultant, including all joint venture partners, if any, and submitted to the HRC and the contract awarding authority with the final progress payment application.
3. HRC Form 9: Subconsultant Payment Affidavit Form: Form 9 shall be completed by prime consultant and submitted to the contract awarding authority within 10 working days following receipt of each progress payment from the City.
4. HRC Form 10: Contract Amendment, Modification, Supplement or Changer Orders: Form 10 shall be completed by the prime consultant when processing the first contract amendment, modification, supplement or change order that cumulatively increases the original contract amount by more than 20%, and then for all subsequent modifications. This provision applies only to contracts originally valued at $25,000 or more.
5. Failure to submit any contract performance reports may result in sanctions under Chapter 14A, including, but no limited to, withholding of progress payments.
1.03 DEFINITIONS
A. "Gross Receipts Limitations":
1. To qualify as DBE, the firm's average gross receipts in the last three fiscal years immediately preceding its application for certification must not exceed the following:
CONSTRUCTION PRIME CONTRACTORS $14 million
SPECIALTY CONSTRUCTION CONTRACTORS $ 7 million
GOODS, MATERIALS & EQUIPMENT SUPPLIERS $ 7 million
GENERAL SERVICES (includes Security Services) $ 7 million
PROFESSIONAL SERVICES and ARCHITECTURE & ENGINEERING $ 2.5 million
TRUCKING $ 3.5 million
TELECOMMUNICATIONS $ 5 million
Any business under common ownership, in whole or in part, with any other business(s) shall meet the gross receipts limitations only if the aggregate gross annual receipts of all of the businesses under such common ownership do not exceed the limits specified in this section. All businesses owned by married spouses or domestic partners shall be considered under common ownership unless the businesses are in unrelated industries and no community property or other jointly owned assets were used to establish or are used to operate either business.
B. "Good Faith Efforts" when required of a prime consultant shall mean the steps undertaken to comply with the goal and requirements imposed by the City for participation by economically disadvantaged business enterprises as subconsultants, and shall include the following:
1. Attending any pre-proposal meetings scheduled by the City to inform all proposers of the disadvantaged business enterprise program requirements for the project.
2. Identifying and selecting specific items of the project to be performed by disadvantaged business enterprises to provide an opportunity for participation by those enterprises.
3. Advertising, not less than 10 calendar days before the due date of the proposal, in one or more daily or weekly newspapers, trade association publications, trade oriented publications, trade journals, the Office of Contract Administration’s contracting opportunity website, and other media specified by the City for disadvantaged business enterprises that are interested in participating in the project. This paragraph applies only if the City gave public notice of the project not less than 15 calendar days prior to the proposal due date.
4. Obtaining from the HRC a list or source of lists of enterprises which are certified by the HRC as DBEs and utilizing such HRC list as described below not less than 15 calendar days prior to the proposal due date. For each specific item (by commodity) identified pursuant to subparagraph 1.05B.2, providing written notice of interest in proposing on the contract to the following number of certified DBEs for each identified item (by trade) not less than 10 calendar days prior to the proposal due date. The number of firms to be notified, documented, and submitted shall be determined as follows:
a. If the HRC list identifies 1-25 available DBEs for the identified item (by commodity), the proposer shall notify all of them.
b. If the HRC list identifies 26-50 DBEs for the identified item (by commodity), the proposer shall notify 75% of the identified firms.
c. If the HRC list identifies 51-75 DBEs for the identified item (by commodity), the proposer shall notify 50% of the identified firms.
d. If the HRC list identifies 76-100 DBEs for the identified item (by commodity), the proposer shall notify 30% of the identified firms.
e. If the HRC list identifies 101 or more DBEs for the identified item (by commodity), the proposer shall notify 25% of identified firms.
5. Following up initial solicitations of interest by contacting all of the enterprises to determine with certainty whether the enterprises were interested in performing specific tasks on the project.
6. Providing interested disadvantaged business enterprises with information about the scope of work for the selected subconsulting work.
7. Negotiating in good faith with the disadvantaged business enterprises, and not unjustifiably rejecting as unsatisfactory, proposals prepared by DBEs.
8. Where applicable, advising and making efforts to assist interested DBE sin obtaining professional liability insurance required by the City or the prime consultant.
9. Making efforts to obtain DBE participation that the City could reasonably expect would produce a level of participation sufficient to meet the City's goal and requirements.
1.04 NON COMPLIANCE AND SANCTIONS
A. Non-Compliance with Chapter 14A.
1. A complaint of discrimination or non-compliance concerning DBE participation initiated by any party after contract award will be processed in accordance with Chapter 14A of the San Francisco Administrative Code and its implementing rules and regulations.
a. If the HRC Director determines that there is cause to believe that a consultant has failed to comply with any of the requirements of the 14A ordinance, HRC rules and regulations, or contract provisions pertaining to DBE participation, the HRC Director shall notify the contract a warding authority and attempt to resolve the non-compliance through conference and conciliation.
b. If the non-compliance is not resolved through conference and conciliation, the HRC Director shall conduct an investigation and, where the Director so finds, issue a written Finding of Non-Compliance.
c. The Director’s finding shall indicate whether the consultant acted in good faith or whether noncompliance was based on willful or bad faith noncompliance with the requirements of the 14A. ordinance, HRC rules and regulations, or contract provisions pertaining to DBE participation.
2. Where the Director finds that the consultant acted in good faith, after affording the consultant notice and an opportunity to be heard, the Director shall recommend that the contract awarding authority take appropriate action. Where the Director finds willful or bad faith noncompliance, the Director shall impose sanctions for each violation of the ordinance, HRC rules and regulations, or contract provisions pertaining to DBE participation, which may include:
a. If the proposer or consultant is a certified DBE, revoking that business' certification
b. Declaring the proposer or consultant an irresponsible proposer and disqualifying the proposer or consultant from eligibility for providing goods or services to the City and County for a period of up to five years, with a right to review and reconsideration by the HRC after two years upon a showing of corrective action indicating violations are not likely to recur.
c. Determining that the proposer or consultant has willfully failed to comply with the provisions of Chapter 14A and imposing as liquidated damages the greater of:
i) An amount equal to the proposer's or consultant's net profit on the contract.
ii) Ten percent (10%) of the total amount of the contract.
iii) One thousand dollars ($1,000).
3. The proposer, consultant or subconsultant may appeal the HRC Director's determination and/or imposition of sanctions to the Human Rights Commission. The Commission may sustain, reverse or modify the HRC Director's findings and sanctions imposed, or take such other action as will effectuate the purpose of Chapter 14A.
4. An appeal by a consultant or subconsultant to the HRC shall not stay the Director's findings.
5. The Director may require such reports, information and documentation from proposers, consultants, subconsultants, contract awarding authorities, and heads of any departments, divisions, and offices of the City and County as are reasonably necessary to determine compliance with the requirements of Chapter 14A.
B. Procedure for the Collection of Penalties is as follows:
1. The HRC Director shall send a written notice to the Controller, the Mayor and to all contract awarding authorities or City and County department officials overseeing any contract with the proposer or consultant that a determination of bad faith non-compliance has been made and that all payments due the proposer or consultant shall be withheld as agreed to by the proposer, consultant or subconsultant and the City and County.
2. The Director shall transmit a report to the Controller and other applicable City departments to ensure that the liquidated damages are paid to the City.
PART II RATING BONUS
2.01 APPLICATION
A. Businesses that are eligible to apply for the DBE Rating Bonus: Certified businesses in the following industries are eligible to apply for a Rating Bonus for all proposals that have an estimated cost that exceeds $10,000.
B. Businesses that are eligible to apply for the DBE Rating Bonus:
All certified economically disadvantaged local businesses are eligible to apply for the DBE rating bonus, independent of race or gender.
C. Application of the Rating Bonus: The following rating bonus will apply to all proposals and contracts for professional service contracts estimated to cost over $10,000. Where professional service contracts are formally requested through a request for proposals, the bonus applies at each stage, i.e., qualifications, proposals, and interviews. After consultants have been scored at each of the stages, the rating bonus will be applied to the scores as follows: