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RFP NO. 90191  COMPUTER EQUIPMENT AND MAINTENANCE LADWP Copyright 2013    

DEPARTMENT OF WATER AND POWER  OF  THE CITY OF LOS ANGELES           

Proposals (ELECTRONIC AND HARD COPIES)  returnable prior to or at 2:00 P.M. on May 8, 2014    THIS RFP IS AVAILABLE FOR DOWNLOADING AT http://www.ladwp.com/ersp  (ELECTRONIC‐REQUEST‐SOLICIT‐PROCURE (eRSP) WEBPAGE)        Electronic copy submitted to:  https://ersp.ladwp.com/open.dll/welcome    REGISTRATION IS REQUIRED Hard copies submitted to:     LOS ANGELES DEPARTMENT OF WATER AND POWER  ATTN:  VENDOR LIAISON CENTER  111 NORTH HOPE STREET, L‐43  LOS ANGELES, CA  90012  NO HARD COPIES ARE AVAILABLE FOR MAILING OR PICKUP

Revised 03.25.14   

REQUEST FOR PROPOSAL  TABLE OF CONTENTS  RFP NO. 90191   

LETTER OF ANNOUNCEMENT  DEFINITIONS  SECTION ONE – INSTRUCTIONS TO PROPOSERS   

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Introduction  Background  Commitment to Diversity and Small and Disabled Veterans Business Enterprises  Communications and Interpretation of RFP Documents  Anticipated Procurement Schedule  Pre‐Proposal Meeting  Notice of Intent to Propose  Mandatory Compliance Documents  Addenda  Proposal Format  Proposal Organization  Proposal Submittal  Modifications and Alternative Proposals  Evaluation Process and Evaluation Criteria  Errors or Omissions in Proposals  Withdrawal of Proposal  Single Proposal Response  Award Procedures  Protest Procedure  Public Disclosure Requirements  Post Award Debriefing  Post Award Administration 

 

SECTION TWO – SUPPLEMENTAL INSTRUCTIONS TO PROPOSERS   

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Proposal Organization Details  Specific Evaluation Criteria  Performance Bond  Insurance  Business Tax Registration Certificate  Taxpayer Identification Number  Child Support Policy  Non‐Discrimination and Equal Employment Practices  Equal Benefits Ordinance (applies to contracts >$5,000)  Contractor Responsibility Program (applies to contracts >$25,000 and three months in  duration)  Living Wage Ordinance (applies to contracts >$25,000 and three months in duration)  Municipal Lobbying Ordinance (applies to contracts >$25,000)  Small Business Enterprise Business (SBE) and Disabled Veteran Business Enterprise (DVBE)  Opportunity Program (applies to contracts >$100,000)  Affirmative Action Plan (applies to contracts >$100,000 for services and >$5,000 for construction)  i   

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Bidder Campaign Contributions and Fundraising (applies to contracts >$100,000)  Local Business Preference Program (applies to contracts >$150,000)  Iran Contracting Act of 2010 (applies to contracts >$1 Million)  Background Check Certification Requirement   Safety Program 

  SECTION THREE – STATEMENT OF WORK    SECTION FOUR – DRAFT AGREEMENT     SECTION FIVE – ATTACHMENTS  Attachment A  Attachment B  Attachment C  Attachment D  Attachment E  

Notice of Intent to Propose  Business Tax Registration Certificate Application  Resources for Finding Certified SBEs and DVBEs  Good Faith Effort Documentation Guide  Contract Insurance Requirements – Department of Water and Power 

SECTION SIX – APPENDICES     Appendix A  Tax Identification Number  Appendix B  Cost Work Sheet  Appendix C  Certification of Compliance with Child Support Obligations  Appendix D  Non‐Discrimination and Equal Employment Practices  Appendix E  Equal Benefits Ordinance Compliance Affidavit  Appendix F  Pledge of Compliance with Contractor Responsibility and Responsibility  Questionnaire  Appendix G  Living Wage Ordinance  Appendix H  CEC Form 50 – Bidder Certification   Appendix I  Proposer’s Name, Form of Business Organization, and Certification  Appendix J  List of Proposed Subcontractors   Appendix K  Letter of Intent  Appendix L  Good Faith Effort (GFE) Documentation Forms  Appendix M1  Affirmative Action Plan (Contract for Non‐Construction services and estimated at >$100,000)  Appendix N  CEC Form 55 – Prohibited Contributors (Bidders)  Appendix O  Local Business Preference Program  Appendix P  RESERVED  Appendix Q  Iran Contracting Act of 2010  Appendix R  Background Check Certification   Appendix S  RESERVED  Appendix T  Safety Compliance Certificate  Appendix U  Authorized Reseller Status    

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DEPARTMENT OF WATER & POWER  CITY OF LOS ANGELES  REQUEST FOR PROPOSAL (RFP) NO. 90191  COMPUTER EQUIPMENT AND MAINTENANCE  LETTER OF ANNOUNCEMENT    The Los Angeles Department of Water and Power (LADWP) is requesting proposals from qualified and  experienced firms interested in providing computer equipment and related software, services, and  maintenance to meet LADWP’s functional and technical requirements. The duration of this contract is  expected to be three years and will be performed using a Request for Bid Process as described in Section  3.2, Request for Bid Process, of Section Three, Statement of Work.     Minimum Requirements:  The minimum requirements for this proposal are contained in Section Two, Article 1, Subarticle C1.1,  Minimum Requirements (page II‐1). Proposers not meeting the minimum requirements may be deemed  non‐responsive.    Proposals shall be submitted in accordance with the requirements set in this document.  All materials  submitted shall become a part of the proposal, and may be incorporated in a subsequent contract  between LADWP and the selected Proposer. The use of the term "bid" in this RFP shall be considered  synonymous with the term "proposal."    A pre‐proposal meeting will be held on 1:30 p.m. on April 8, 2014, in Room 1157 at the Los Angeles  Department of Water and Power, John Ferraro Building (JFB), 111 N. Hope Street, Los Angeles, CA  90012. Visitors to the JFB must be screened by LADWP Security which includes the presentation of  photo identification and passage through a metal detector. Parking will not be provided at the JFB.     It is strongly recommended that all Proposers attend the pre‐proposal meeting to ensure a complete  understanding of the details of this Request for Proposal. Participants will receive essential information  regarding the Small Business Enterprise (SBE) and Disabled Veterans Business Enterprise (DVBE)  programs and the Good Faith Effort (GFE) process.  Attendance at the pre‐proposal meeting constitutes  eligibility to receive points to be credited toward the successful completion of the GFE requirement  outlined in Section Two of this RFP, entitled Supplemental Instructions.    LADWP employs the electronic‐Request‐Solicit‐Procure (eRSP) online purchasing system for both the  posting of Bids/RFP’s and receiving Bid/Proposal documents.  A hard copy of the proposal is also  required to be submitted. Both the electronic and hardcopy proposal submittals must be received on or  before the “Closing Date/Time” stated under “Bid Returnable By” in eRSP.  Failure to comply with the  submittal requirements will result in the proposal being deemed non‐responsive to this RFP.    Proposers shall log on to the LADWP’s website at http://www.ladwp.com and register at the eRSP online  purchasing system web page http://www.ladwp.com/ersp to access, download, print, complete, sign,  scan, and upload all required proposal documents electronically prior to the proposal due date and  time. Proposals submitted via electronic mail (email) or facsimile will not be accepted.   

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Proposers shall submit all uploaded proposal submittals in a portable document format (PDF) with an  optimal resolution of 300 dpi. An uploaded proposal submittal shall be a true representation or an  identical copy of the paper format original. The content and number of pages of both the electronic  scanned copy and the paper original shall be identical with no alterations.    Your hardcopy written proposal, one (1) original and five (5) copies must be submitted no later than the  “Closing Date/Time” stated under “Bid Returnable By” in eRSP, in a sealed package, clearly marked with  the RFP number and title of work to be done. Proposal submittals shall be clean, legible, complete, and  with no missing page(s).     Address the hardcopy proposal package to:    LADWP Vendor Liaison Center  111 N. Hope Street, Room L43  Los Angeles, CA  90012  Attention: Heather Tarumoto    RFP No./Name :  90191/Computer Equipment and Maintenance  Proposal Due Date/Time:  May 8, 2014 / 2:00 p.m.     All hardcopy proposals will be held, unopened, in a secure place until the eRSP “Bid Returnable By”  closing date and time has elapsed. Hardcopy proposals will not be opened publicly as this is now  achieved through eRSP system functionality that automatically opens all proposals at the due date and  time. When the electronic proposals are opened publicly only the names of the Proposers and a  redacted copy of the eRSP electronic bid response (excluding all attachments) will be revealed to the  other Proposers. Adequate precautions shall be taken to treat each Proposer fairly and to insure that  information gleaned from competing proposals is not disclosed to other Proposers during the evaluation  process. As long as all eRSP system bidding instructions are followed by the Proposers, prices and other  information concerning the proposals will not be disclosed until a recommendation for award is made to  the awarding authority.    All hardcopy proposals must be received by the LADWP at the exact address listed above.  No allowance  will be made for delays in the U.S. Mail, consumer mailing services, the Department internal mail  service, off‐site parking, or clearing Security at the entrance to the JFB. Proposals will be time stamped  prior to the 2:00 p.m. closing time, unless otherwise instructed (by addendum).  Submittals received  after this time and date will be considered late and will not be opened or considered for evaluation and  will be returned unopened in accordance with LADWP purchasing policies.    All questions regarding this RFP must be submitted through eRSP using the Q&A tab. Instructions on  how to use the Q&A functionality can be found on the eRSP splash page under the heading “User  Guides” under bullet number 4 “Electronic Bidding Guide (PDF),” pages 5‐7. Questions must be received  no later than the “Question Cut Off Date/Time” stated under “Bid Returnable By” in eRSP. LADWP’s  responses to the questions will be posted on eRSP within seven calendar days of the “Question Cut Off  Date/Time.” LADWP recommends all Proposers to visit the abovementioned eRSP Q&A tab on a regular  basis as the responses may be posted earlier than the posting date. The LADWP will not be responsible  for any other explanation or interpretation via any other communication medium.     The budget range for this procurement is $35,000,000 ‐ $42,000,000 for the three‐year contract term. 

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ACRONYMS AND DEFINITIONS:  Best and Final Offer (BAFO): 

A BAFO may be held with finalists at LADWP’s sole discretion. This  process will allow Proposers to make any final adjustments or  clarifications to their proposals, and/or submit a revised pricing  proposal. If LADWP elects to conduct a best and final process, a  separate set of instructions will be provided at that time. Proposers  are cautioned that the BAFO is optional, at the sole discretion of  LADWP. Therefore, Proposers should not assume that there would  be an additional opportunity to amend their technical or cost  proposals.  

Bidder: 

The person, firm, corporation, partnership, or joint venture  submitting a proposal in accordance with this RFP. 

Board:  

The Los Angeles Department of Water and Power Board of  Commissioners. 

Contractor: 

Synonymous with consultants/Proposer. 

Contract Administrator (CA): 

Unless specified otherwise in the RFP, the CA shall refer to an LADWP  employee who is assigned to administer contracts and manage  projects derived from this RFP. 

Declared Emergency: 

An emergency declared by the General Manager of the LADWP  communicated by the Contract Administrator or his/her  representative, which may include business disruptions and natural  disasters. 

Director of Supply Chain  Services Division: 

The Director of Supply Chain Services or the appointed designee. 

eRSP: 

electronic Request‐Solicit‐Procure is LADWP’s electronic bidding  system 

JFB: 

John Ferraro Building. 

LADWP: 

Los Angeles Department of Water and Power. Also referred to as the  “Department”. 

Mandatory: 

A requirement that must be satisfied. Failure to comply with a  mandatory requirement will lead to the disqualification of the  Proposer’s proposal. 

Offeror: 

Synonymous with Bidder. 

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Proposer: 

Synonymous with Bidder. 

Respondents: 

Synonymous with Bidder. 

Subcontractor: 

A person, firm, corporation, partnership, or joint venture other than  the Contractor and employees thereof, who supplies labor or  materials on a portion of the work.     

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                SECTION ONE  INSTRUCTIONS TO PROPOSERS 

   

SECTION ONE – INSTRUCTIONS TO PROPOSERS  1.0

Introduction  

The Los Angeles Department of Water and Power (LADWP) is soliciting proposals for Computer  Equipment and Maintenance. The duration of the contract is expected to be three (3) years. This  Request for Proposal (RFP).No. 90191 sets forth the requirements for this effort.  LADWP expressly  reserves the right to reject any or all Proposals, to investigate the qualifications and experience of any  Proposer, to reject any conditions or exceptions in any Proposal, to reissue a revised Request for  Proposals, request a Best and Final Offer (BAFO), negotiate with any, all or none of the proposers, and  waive informalities, minor irregularities and discrepancies, and award a Contract without interviews,  discussions or negotiations. LADWP may award one or more contracts in response to this solicitation.  LADWP may cancel this RFP at any time. LADWP is not responsible for any costs incurred by Proposers in  the preparation and presentation of Proposals submitted in response to this RFP.  The submission of a Proposal shall constitute an acknowledgement that the Proposer has thoroughly  examined and is familiar with the RFP, the attachments, and the addenda (if any), and has reviewed and  inspected all applicable laws, regulations, ordinances, and resolutions dealing with or related to this  procurement. The failure or neglect of a Proposer to examine such documents, laws, regulations,  ordinances, or resolutions shall in no way relieve the Proposer from any obligations with respect to the  contract issued as a result of this RFP.   LADWP fully expects contractors to provide a comprehensive solution that meets or exceeds all  requirements as stated in this RFP.  2.0

Background 

LADWP is the largest municipal water and power utility in the nation. It was established more than 100  years ago to deliver reliable, safe water and electricity to 3.8 million residents and businesses in Los  Angeles.    LADWP provides its 666,000 water customers and 1.4 million electric customers with quality service at  competitive prices. As a revenue‐producing proprietary department, the LADWP transfers a portion of  its annual estimated electric revenues to the City of Los Angeles general fund. LADWP's operations are  financed solely by the sale of water and electric services. Capital funds are raised through the sale of  bonds. No tax support is received.    A five‐member Board of Water and Power Commissioners establishes policy for the LADWP. The Board  members are appointed by the Mayor and confirmed by the City Council for five‐year terms.    This RFP is being issued to procure computer equipment with related software, installation and  configuration services required for the operation of the equipment, and authorized maintenance for  existing equipment.       

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Commitment to Diversity and Small and Disabled Veteran Business Enterprise 

The Small Business Enterprise and Disabled Veteran Business Enterprise Opportunity Program  (SBE/DVBE Opportunity Program) is a race and gender‐neutral program developed to create more  competition and to offer additional opportunities to small, disabled‐veteran, and other businesses to  participate in the Departments’ Board‐awarded material, rental, personal and professional service, and  construction contracts. As part of the program, the Department has established an overall annual  SBE/DVBE participation goal of 20 percent for SBEs and 3 percent for DVBEs. Contract‐specific SBE and  DVBE participation goals for each bidding opportunity may be higher or lower based on the scope of  work.  It is the policy of the Department to solicit participation in the performance of all contracts by  individuals and businesses, including, but not limited to, SBEs, DVBEs, Emerging Business Enterprises  (EBEs), Women‐Owned Business Enterprises (WBEs), Minority‐Owned Business Enterprises (MBEs),  Disadvantaged Business Enterprises (DBEs), and Other Business Enterprises (OBEs).  LADWP promotes and encourages the use of small businesses including firms owned by minorities,  women and disadvantaged business enterprises.  The Department’s Contract‐specific SBE/DVBE  participation goals for this RFP are as follows:   Contract‐specific SBE Participation Goal = 5 percent  Contract‐specific DVBE Participation Goal = no goal  The details and requirements of the SBE Program are delineated in Section Two, Supplemental  Instructions of this RFP.  4.0

Communication and Interpretation of RFP Documents 

Any verbal or written communications between any Proposer (potential or actual), or its representatives  and any LADWP Commissioner, employee, or contracted consultant regarding this procurement are  strictly prohibited from the date of RFP advertisement through the date of execution of the contract,  with the exception of  negotiations or discussions initiated by LADWP during the evaluation process.   Should a bidder find discrepancies or omissions in the RFP or other documents, or should there be doubt  as to their true meaning, the bidder shall submit such requests electronically using the electronic‐ request‐solicit‐procure (eRSP) system for an interpretation or clarification thereof. A request for  addenda, interpretation, or clarification shall be received by the LADWP on or before the question or  request for clarification deadline listed in Paragraph 5.0, Anticipated Procurement Schedule.    Questions must be submitted in the following format. Deviations from this format will not be accepted.   Section Number  Paragraph Number  Page Number  Text of passage being questioned  Question   

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Any interpretation of or change in the documents will be made only by addendum issued electronically  using the eRSP system. The RFP documents will not be included in the final contracts, and only the final  text of such contracts will govern. LADWP may revise the contracts and associated documents before  award as may be necessary or convenient to achieve its objectives in this RFP. The LADWP will not be  responsible for any other explanation or interpretations.  Any violation of the requirements set forth in this Section may constitute grounds for immediate  disqualification of the offending firm from participation in this procurement.   The key contact person for this RFP is: 

5.0

Heather Tarumoto, Utility Buyer  [email protected]/Fax (213) 367‐2371    Anticipated Procurement Schedule   RFP Release 

03/25/14 

Pre‐Proposal Meeting  

04/08/14  1:30 p.m.     04/24/14 

Deadline for Submittal of Questions or Requests for Clarification  Deadline for LADWP’s Responses to Submitted Questions or Requests  for Clarification  

05/01/14 

Submittal of Notice of Intent to Propose  

Proposal Review Completion 

05/01/14    05/08/14  2:00 p.m.    05/19/14 

Oral Interviews and Ranking (if necessary) 

week of 06/02/14 

Recommendation for Award to Board 

08/05/14 

Notice of Award 

08/25/14 

Proposal Due Date/Time 

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Pre‐Proposal Meeting 

When indicated in Paragraph 5.0, Anticipated Procurement Schedule, LADWP will hold a pre‐proposal  meeting. It is strongly recommended that all Proposers attend this conference to ensure a complete  understanding of the details of this Request for Proposal. Participation in the pre‐proposal meeting can  be accomplished in person or via Webinar. The purpose of this meeting is to allow each Proposer to  review the RFP with the LADWP project team. Questions may be submitted prior to the meeting using   

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the eRSP system.  Information presented at the meeting which is not included in the original RFP may  not be relied upon unless incorporated by addenda.  LADWP may provide a demonstration of its eRSP  electronic bid submittal system at the meeting.  Proposers should assure themselves that they are  comfortable with the submittal requirements and procedures for uploading documents in the eRSP  system. Proposers are requested to limit attendance to two people from each company. If additional  representation is required, notification should be made to LADWP so that appropriate accommodations  can be arranged. Proposers will be directed to the meeting location at the Security desk in the LADWP  lobby or A‐Level.   If attendance at the meeting is to be accomplished via Webinar the Proposer must notify the Buyer  indicated herein of their intent to participate in this manner. The notification must be via email within  48 hours in advance of the meeting. Instructions for participation will be provided upon receipt of the  request. Individuals who attend via Webinar must identify themselves as participants in the meeting in  order to receive credit for attendance. Webinar participation is not allowed if a site visit is included as a  part of the pre‐proposal meeting.  7.0

Notice of Intent to Propose 

Proposers are requested to sign and return the Notice of Intent to Propose (Attachment A) as instructed  on the form on the date specified in Paragraph 5.0, Anticipated Procurement Schedule.  If no proposal  will be submitted in response to this RFP, please indicate the reason why in the space allocated on the  form.  The contact person who will be available during the life of the RFP must be identified in the  Notice of Intent.  If this person is no longer available, the Proposer must notify LADWP immediately.  8.0

Mandatory Compliance Documents 

Failure to submit the Mandatory Compliance Documents listed in this paragraph will lead to the  disqualification of a firm’s proposal. The following forms and/or programs are applicable to every  contract regardless of anticipated contract dollar value.    Appendix F  Appendix H   Appendix N 

Pledge of Compliance with Contractor Responsibility and Responsibility  Questionnaire   CEC Form 50 – Bidder Certification  CEC Form 55 – Prohibited Contributors (Bidders) 

  Additional requirements which are specific to contract dollar value are addressed in Section Two –  Supplemental Instructions to Proposers.    9.0 Addenda  Addenda related to this RFP will be issued via eRSP. Proposers must acknowledge receipt of all addenda  issued by LADWP. If an addendum is issued amending this RFP, all provisions that are not modified  remain unchanged.     

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  10.0

Proposal Format 

Responses to this Request for Proposal shall be made in accordance with the format set forth in this  section. Proposals submitted shall be written in the English language.   All pages of the proposal must be consecutively numbered with a Table of Contents.  Proposals shall be  prepared simply and economically, without the inclusion of unnecessary promotional materials.    Proposals shall be submitted on recycled paper that has a minimum of 30‐percent post‐consumer  recycled content and shall be duplex copied (double‐sided pages). Neon or fluorescent paper shall not  be used. Proposals shall be prepared on 8‐1/2 x 11” paper with 1” left, top, bottom, and right margins.  Typing shall be single‐spaced and with a minimum font size of ten. The original shall be bound in a three  ring binder. Copies may be bound in any other fashion. Use of 11” X 17” fold out sheets for large tables,  charts or diagrams is permissible, but should be limited. Elaborate format is not necessary.      The fee schedule must be submitted in a separate sealed envelope.   

Required Proposal Forms shall be included as part of the Appendices. Proposer shall use only the  proposal forms in this RFP and may not modify or change any proposal form.  Failure to submit in the requested format or failure to submit all the required forms may cause a  Proposal to be deemed non‐responsive.  11.0

Proposal Organization 

Proposals shall be organized in the same number and title scheme listed as follows:  Letter of Transmittal  Management/Technical Executive Summary  Volume I – Management Proposal  Chapter 1 

Minimum Requirements  

Chapter 2 

Proposer’s Qualification and Experience  

Chapter 3 

Organizational/Management Approach to the Work  

Chapter 4 

Qualifications of Key Personnel  

Volume II – Technical Proposal  Chapter 1 

 

Technical Approach 

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Chapter 2  

Compliance Matrix to Technical Requirements  

Volume III – Business  Proposal  Chapter 1 

Chapter 2 

12.0

Cost Work Sheet (Appendix B)    Submit in separate sealed envelope.    Compliance with Terms and Conditions  of Agreement   

Chapter 3 

Small Business Enterprise (SBE) or Disabled Veterans Business  Enterprise (DVBE) Certifications and other required compliance  forms included in RFP Section Six entitled Appendices.  

Chapter 4 

Financial Stability 

Proposal Submittal 

All proposals are due at the date and time specified in Paragraph 5.0, Anticipated Procurement  Schedule, both in the eRSP system and in hard copy. Proposals received after the deadline will not be  eligible for consideration.  It is the responsibility of the Proposer to ensure that the proposal is received  by LADWP by the specified deadline.  A hard copy of the Proposal shall be deemed received by LADWP  when it has been physically received by a member of the clerical staff of LADWP’s Vendor Liaison Center  before the deadline date and time listed in Paragraph 5.0, Anticipated Procurement Schedule herein.   Electronic copies submitted in the eRSP system shall be deemed received if completely uploaded in the  system prior to the submittal due date and time specified in Paragraph 5.0, Anticipated Procurement  Schedule. Delays due to mail handling, including, but not limited to, LADWP’s internal mail handling, will  not excuse late delivery of a Proposal.   LADWP requires submittal of proposals both in hard copy format and uploaded by electronic submittal  in eRSP.  One (1) original and five (5) hard copies of the complete proposal must be submitted in a  sealed envelope clearly marked as follows:    

LADWP Vendor Liaison Center  111 N. Hope Street, Room L43  Los Angeles, CA  90012  Attention: Heather Tarumoto  RFP No./Name : 90191/Computer Equipment and Maintenance  Proposal Due Date/Time:  May 8, 2014 / 2:00 p.m.    

In addition, you must submit one electronic version of your proposal via the eRSP system. Both the  electronic and hardcopy proposals must be received on or before the due date and time stated in  Paragraph 5.0, Anticipated Procurement Schedule. The hard copy of the Fee Schedule must be  submitted in a separate sealed envelope and identified with the proposal name and number. 

 

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    13.0

Modifications and Alternative Proposals 

Proposers are cautioned to limit exceptions, conditions, limitations to the provisions of this RFP as they  may be determined to be so fundamental as to cause rejection of the proposal for not responding to the  requirements of the RFP.  Proposers submitting conforming proposals may submit alternate proposals to this RFP as complete  separate offers, if the alternate proposals offer technical improvements or modifications that are to the  overall benefit of LADWP. LADWP reserves the right to accept or reject any alternate proposal. Oral or  telephonic proposals and/or modifications shall not be considered.    14.0 Evaluation Process and Evaluation Criteria    

14.1

Evaluation Process  Proposals will be evaluated to determine if the Proposer has fulfilled the requirements  of the RFP, has a complete understanding of the work to be performed, has exhibited  completeness and competence in addressing the statement of work or scope of services  and has delineated a viable methodology for meeting the requirements of the work.  All  proposals will be solely evaluated on their content.  Materials not included in the  written proposal will not be considered.   

 

The Department will use the following steps in the evaluation of proposals:  Evaluate and score proposals against Evaluation Criteria delineated in      Section Two, Supplemental Instructions to Proposers of this RFP  Competitive Range is established  Oral Presentation and Discussions, if necessary  Site Visits, if required, with Proposers within the Competitive Range  Re‐evaluate and score   Issuance and evaluation of Best and Final Offer, if necessary  Recommend highest scored proposer for award  14.2

Evaluation Criteria  Each element included in the Evaluation Criteria in Section Two, Supplemental  Instructions to Proposers of this RFP shall be evaluated as follows:  Beneficially Exceeds – The proposal is responsive beyond the minimum requirements of  the RFP with no significant weaknesses (and only a few, if any, minor weaknesses)  noted. Fulfilling the definition of Beneficially Exceeds indicated that, in terms of the  specific factor, the proposal demonstrates a level‐of‐effort beyond that required by the 

 

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RFP, and that this effort has, or could produce, results that should prove to be  substantially beneficial to the LADWP.  Acceptable – The proposal is adequately responsive with no major weaknesses noted. A  rating of Acceptable indicates no exceptional features or innovations that could prove to  be beneficial and/or only minor weaknesses to diminish the quality of the offeror’s  performance.  Marginal – The proposal fails to meet the evaluation standards; however, any significant  deficiencies are considered correctable. A rating of Marginal indicates that corrective  actions by the offeror which would improve the rating are attainable.  Unacceptable – The proposal is not adequately responsive or does not address the  specific factor. The offeror’s interpretation of the LADWP’s requirements is so  superficial, incomplete, vague, not comprehensive, or incorrect as to be unsatisfactory.  A rating of Unacceptable indicates that mandatory corrective action would be required  to prevent significant weaknesses from affecting the overall contract effort. In essence a  complete rewrite of that portion of the offeror’s proposal that is unacceptable would be  required.  Award may be made without discussion of proposals received; therefore, proposals should be submitted  on the most favorable terms the Proposer can provide. A recommendation for contract award may be  made solely on the written response, or firms that fall within a competitive range may be invited for oral  presentations.  The oral presentations shall include time for questions, answers, and discussion.  The  presentation should generally follow the format of the written proposal. A specific agenda for oral  discussions may be provided.  15.0

Errors or Omissions in Proposals 

LADWP will not be liable for any errors or omissions in contractor proposals. Contractors will not be  allowed to alter proposals after the proposal due date without permission from LADWP.    16.0

Withdrawal of Proposal 

A Proposer by means of a written request, signed by the Proposer’s Representative, may withdraw a  Proposal. Such written request shall be delivered to the Buyer identified in the Request for Proposal  prior to the award.  17.0

Single Proposal Response 

If only one proposal is received in response to this RFP, a detailed cost/price analysis may be requested  of the Proposer in order to determine if the price is fair and reasonable.  If the Department determines  that a cost analysis is necessary, the Proposer must be prepared to provide, upon request, summaries of  estimated costs and documentation supporting all cost elements. 

 

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18.0

Award Procedures 

The Proposer recommended for award will be notified when the recommendation of award will be  acted upon by the LADWP Board of Commissioners. All recommendations for Award approved by the  LADWP Board of Commissioners in an amount greater than $150,000 or that exceed a 12‐month period  are subject to review by the Los Angeles City Council and an award of contract will not be final until such  review process has been completed.  The successful bidder will be notified, in writing, when such review  process has been completed, and of the award date of the contract.  No payment can be made for  action taken or work started prior to the award date of the contract and execution of bonds and  insurance if applicable, and any other requirements that may be imposed by the terms of the contract.  19.0  

 

 

Protest Procedure  The intent of this procedure is to provide bidders with a process to formally object to the  content of the solicitation documents or a contract award.    In order for a Protest to be considered, the Protestor shall adhere to the Department’s Protest  Procedure by providing a written submission which shall contain, at a minimum, the following  elements:    1. Name and address of the Protestor;  2. Its relationship to the procurement sufficient to establish that the Protest is being filed  by an Interested Party;  3. Written proof that the Protest has been filed in a timely manner;  4. The specific Invitation for Bid/Request for Proposal number and title identified in the  solicitation;  5. The specific staff action or inaction that is being protested;  6. If the Protest is regarding the content of the solicitation documents, identify the  provision(s) of the solicitation that is being protested (Content);  7. All supporting documentation to support the allegations in the Protest; and  8. Statement of specific relief being requested.    All Protests shall be filed in writing to:    Director of Supply Chain Services  Los Angeles Department of Water and Power  111 N. Hope Street, Room 1114  Los Angeles, CA  90012  FAX No. (213) 367‐2268    At the Protestor’s discretion, a Protest may be filed by electronic facsimile (with original hard  copy by express mail or by any other receipt means).  The Department is not responsible for lost  or otherwise delayed deliveries.  No other location or addresses shall be acceptable.  Appeals  addressed to the attention of the LADWP Board of Commissioners shall be delivered to the  above listed address for date and time stamping.   

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The Protestor may withdraw its Protest or Appeal at any time before the Department issues a  final decision.          19.1  Protest Regarding Content of Solicitation Documents    To be considered timely, Protests concerning the contents of an Invitation for  Bid/Request for Proposal for Board Awarded contracts (greater than $150,000),  including all attached documents, shall be filed with the Department within seven (7)  business days after the advertisement of the solicitation by the Department or three (3)  business days from the issuance of any addendum to the Invitation for Bid/Request for  Proposal.  The Protest shall be received not later than 5:00 p.m. local time.  If the due  date falls on a weekend or legal holiday, the Protest period ends at 5:00 p.m. local time  the following business day.  A Protest not filed within the time limits stated herein may  be rejected without consideration or evaluation.      The Department will issue a written decision on the Protest for content prior to the bid  closing or submission of proposals.      19.2 Protests Regarding Award    Any bidder in the course of a competitive solicitation who is determined non‐responsive  or who is not being recommended for award of a contract may Protest the solicitation  award.    Protests concerning a recommendation for award, on any ground not based on the  content of the Invitation for Bid/Request for Proposal, shall be filed with the  Department by an Interested Party within ten (10) calendar days of the date of the  notice of a recommended award or non‐select letter.  The Protest shall be received not  later than 5:00 p.m. local time.  If the calendar day falls on a weekend or legal holiday,  the Protest period ends at 5:00 p.m. local time the following business day. A Protest not  filed within the time limits stated herein may be rejected without consideration or  evaluation.       19.3 Appeal Procedure     An Appeal to the LADWP Board of Commissioners (for contracts greater than $150,000)  related to an award related to the Invitation for Bid/Request for Proposal shall be filed  by the Protestor within five (5) calendar days of the date of the notice of the denial of  the Protest.      19.4 Failure to Comply with Requirements    If the Protest does not comply with any of the preceding requirements, it may not be  considered for evaluation and may be returned to the Protestor who submitted the  written documentation.   

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20.0

Public Disclosure Requirements 

All documents submitted in response to the RFP will become a matter of public record and shall be  thereupon considered public records.  If a bidder believes that any portion of its proposal is exempt  from public disclosure, such portion shall be clearly marked “Trade Secret,” “Confidential,” or  “Proprietary.”  By submitting information with portions marked in this manner, the bidder represents  that it has a good faith belief that such material is exempt from disclosure under the California Public  Records Act, California Government Code §§ 6250, et. seq.  A bidder that indiscriminately marks all or  most of its proposal as exempt from disclosure as a public record, whether by the notations of "Trade  Secret," "Confidential," "Proprietary," or otherwise, may render the proposal nonresponsive and will be  rejected.  Furthermore, a bidder may not mark its prices or price sheet(s) as “Confidential,”  “Proprietary,” “Trade Secret,” or the like; any such markings on the price or price sheet(s) will be  disregarded. The Department will not provide advice as to the nature or content of documents to  protection from disclosure under the California Public Records Act, including interpretations of the Act  or the definitions of “Trade Secret,” “Confidential” or “Proprietary.”  The Department is not liable or responsible for the disclosure of records marked “Trade Secret,”  “Confidential” or “Proprietary,” including those exempt from disclosure if disclosure is deemed required  by law, by an order of Court, or which occurs through inadvertence, mistake or negligence on the part of  the Department or its Board, officers, representatives, assigns, successors, employees or agents.  At  such time as proposals are deemed a matter of public record, pursuant to the above, any bidder or  member of the public shall be afforded access for inspection or copying of such proposals, by request  made to the Department in compliance with the California Public Records Act.  The bidder shall agree to reimburse the Department for, and to indemnify, defend and hold harmless  the Department, its Board, officers, representatives, assigns, successors, fiduciaries, employees and  agents from and against any and all claims, damages, losses, liabilities, suits, judgments, causes of  action, demands, fines, penalties, costs and expenses including without limitation, attorneys’ fees,  expenses and court costs of any nature whatsoever arising from or relating to the Department’s non‐ disclosure of any such designated portions of a proposal if disclosure is deemed required by law or court  order.  Additionally, the Department may request that the bidder directly defend any action for  disclosure of any information marked "Trade Secret," "Confidential," "Proprietary," or otherwise; if the  bidder refuses to do so after requested at the Department’s sole option, the Department may release  those parts of the proposal so marked without any liability whatsoever to the proposer.  21.0

Post‐Award Debriefing 

Within 60 calendar days after execution and delivery of the contract, LADWP will be available for an oral  debriefing session upon written request made to LADWP’s representative by an authorized  representative of an unsuccessful proposer. The debriefing will be limited to the debriefed Proposer’s  overall ranking, the strengths and weaknesses of its Proposal, and answer questions regarding the  selection process. Debriefings shall not include a point‐by‐point comparison of the debriefed Proposer’s  proposal with the other proposals.   

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    22.0

Post‐Award Administration 

The Proposer should know in the proposal process that the successful Proposer will be closely  monitored for contract compliance. No additional cost is anticipated to be incurred by the successful  Proposer by the presence of the contract administration process as long as contract compliance is  maintained. Except for the more formalized feedback of findings, the normal Proposer/user relationship  will exist within compliance, and the contract administration process should be transparent.          END OF SECTION ONE 

 

I‐12   

                SECTION TWO  SUPPLEMENTAL INSTRUCTIONS TO PROPOSERS   

 

SECTION TWO – SUPPLEMENTAL INSTRUCTIONS TO PROPOSERS    1.0 Proposal Organization Details  The following detailed proposal instructions are provided to ensure a consistent and detailed  description of the Proposer’s approach and the associated price.  A. Letter of Transmittal – This letter shall accompany all proposals and must meet the following  requirements:  a. A brief statement of the Contractor’s understanding of the work to be done and  commitment to perform the work as scheduled.  b. A summary of exceptions taken to the RFP requirements, statement of work,  specifications, and/or proposed contractual terms and conditions.  c. A reference to any contractual terms and conditions required by the Contractor.  d. The names of individuals authorized to represent the Contractor, the titles, addresses,  telephone numbers, and e‐mail addresses.  e. Proposers must include a statement certifying receipt of all addenda issued by LADWP  related to this RFP or attach an acknowledgement thereof.    A corporate officer or person who is authorized to represent the company must sign this letter  on behalf of the Proposer and must include the following declaration on the transmittal letter:  “This proposal is genuine, and not sham or collusive, nor made in the interest or in behalf of any  person not herein named; the Proposer has not directly or indirectly induced or solicited any  other Proposer to put in a sham bid, or any other person, firm or corporation to refrain from  submitting a proposal; and the Proposer has not in any manner sought by collusion to secure for  themselves an advantage over any other Proposer”.  B. Executive Summary – A brief summarized overview of the proposal which will provide LADWP  evaluators and project managers with the key elements and unique features of the proposal  and a brief explanation of how the work called for in this RFP will be implemented.  (limit – 5  pages)    C. Volume I – Management Proposal     1. Minimum Requirements – Each proposal shall contain a narrative detailing how the  Proposer meets or exceeds the minimum requirements listed below. Include all supporting  documentation to verify that the Proposer meets the minimum requirements by including  any and all required certifications. Proposers who do not adequately describe how they  meet or exceed the minimum requirements and include supporting documentation with  their proposal will deem non‐responsive.   1.1  Proposer must have been in business for the past five (5) consecutive years.   

II‐1   

1.2 Proposer must have gross computer equipment sales in excess of $1,000,000 over the  past twelve (12) months on in the most recently concluded fiscal year as demonstrated  by the financial statements provide in response to Section Two, Article 1, Subarticle E4,  Financial Stability (page II‐8).  1.3 Proposer must have reseller status with at least one of the following manufacturers:  ITEM  A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S 

MANUFACTURER  RESELLER Y/N  Cisco MDS Authorized Reseller  Dell Authorized Reseller for State and Local Government  Hewlett Packard Platinum Partner One Program and Authorized Reseller  IBM Premier Business Partner and Authorized Reseller  IBM Authorized Z‐Series Reseller in Los Angeles  Lenovo Premier Reseller and Authorized Reseller  Network Appliance National Star Authorized Reseller  Oracle Partner Advantage Reseller  GE Multilin Product Line Reseller  IBM Mainframe Reseller  Ricoh/Infoprint Mainframe Printer Reseller  Lasermax Mainframe Printer Pre and Post Equipment Reseller  Panasonic Toughbook Authorized Reseller  Xerox Authorized Reseller  Juniper Authorized Reseller  NetScout Authorized Reseller  Authorized F5 Reseller  Symantec Netbackup Appliance Authorized Reseller  McAfee Security Alliance Elite Reseller    2. Proposer’s Qualifications and Experience ‐ Provide a description of similar or related services  performed by your firm in the past five (5) years. Include a minimum of three references for  relevant work similar in size and complexity to tasks described in the statement of work.    Reference information shall include client name, reference contract number, brief  description of scope of services provided, key contact name, address, email address, and  telephone number.    The choice of the Reference project/client and designated point‐of‐contact is critical to  accurate evaluation of the Proposer’s Past Performance. Accordingly, Proposers are  encouraged to carefully select an informed and objective point‐of‐contact for each  Reference. Proposers are encouraged to provide the LADWP with the most current data on  each reference. Before including any person as a point‐of‐contact, verify the accuracy,  currency, and completeness of the point‐of‐contact’s mailing address, e‐mail address, and  telephone number, and that the point‐of‐contact is willing to cooperate in this evaluation  effort. The inability to reach any of a Proposer’s reference contacts or their unwillingness to 

 

II‐2   

provide the requested information may adversely affect the LADWP’s evaluation of the  Proposer’s performance. To assess Proposer’s performance risk, .LADWP reserves the right  to obtain information from sources other than those submitted by the Proposer.   If the Proposer, within the last three years, rendered any service to any department of the  City of Los Angeles, either as a contractor or subcontractor, either under the current  Proposer's name or any other name or organization please provide details including City  Department, contract number, and key contact.  2.1  Authorized Resellers – The Proposer must indicate on Appendix U, Authorized Reseller  Status, all manufacturer(s) for which they have authorized reseller status and include  documentation from each manufacturer to verify reseller status.   2.2  Qualifications Questionnaire – Each proposal shall include comprehensive responses to  the following questions.  

 

A. 

List any pending lawsuits or litigation against your organization which could  materially impact your organization’s financial strength or ability to provide the  products being proposed in your response to this RFP? 

B.

What are the factors that you believe are the distinct differentiators that should  most interest the Department in your proposal? 

C.

Have you had any “Failures to Perform” reported against you? 

D.

Can you confirm receipt, within 24 hours, of an electronic order? If so, please  describe how your company has done this for current/prior customer(s), and  how it will be accomplished under this contract.  

E.

Can you deliver built/configured items [e.g. PCs/Servers (including Enterprise  Class hardware)] within 15 working days? If so, please describe how your  company has done this for current/prior customer(s) and how this will be  accomplished under this contract.  

F.

Can you deliver standards items (e.g. printers/scanners) within 10 working  days? If so, please describe how your company has done this for current/prior  customer(s) and how this will be accomplished under this contract.  

G.

Include a quality of service statement, including the ability to resolve any issues  arising as a result of supplying personal computer equipment/workstations/LAN  systems equipment to the LADWP and demonstrate response rate of 95 percent  or greater for product warranty issues? 

H.

Describe your ability to provide weekly/monthly email or web enabled reports  of equipment ordered, shipped, and dollars spent? 

I.

Can you provide the required original equipment manufacturer (OEM) reseller  authorization certificates? If so, please describe how your company has done  this current/prior customer(s) and how this will be accomplished under this  contract. 

II‐3   

J.

Can you register equipment as required to satisfy OEM warranty? If so, please  describe how your company has done this for current/prior customer(s) and  how this will be accomplished under this contract. 

K.

Describe your ability to provide a 72‐hour turnaround time for onsite repairs or  express shipment of replacement item or parts needed.    Describe your ability to deliver Windows 7 Professional software or the current  operating system as required, on all desktop and laptop machines. 

L. M.

Can you provide new replacement equipment or parts, at no cost to the  Department, for any equipment that is defective upon delivery to the  Department within 10 working days of notification to the Contractor? If so,  please describe how your company has done this for current/prior customer(s)  and how this will be accomplished under this contract. 

N.

Can you provide a one‐to‐one relationship of all packing slips to invoices? If so,  please describe how your company has done this for current/prior customer(s)  and how this will be accomplished under this contract.     Can you provide on‐line information on shipment tracking, invoices, reporting  and serial numbers? If so, please describe how your company has done this for  current/prior customer(s) and how this will be accomplished under this  contract. 

O.

P.

Describe your ability to track an order from receipt of an order by your company  to the inside delivery of equipment at LADWP. 

Q.

Can you provide electronic transmission of manufacturer, model, serial numbers  and warranty data for each delivery? If so, please describe how your company  has done this for current/prior customer(s) and how this will be accomplished  under this contract.   Have you ever been in violation of any Service Level Agreements on a contract  within the past five years? 

R. S.

Have you ever been suspended from bidding under an enabling agreement  within the past five years? 

T.

Who will be the local account representative(s) who will manage the contract  and act as an account manager?  Please attach the account manager’s resume in  your response.  The account manager assigned will have managed at least two  accounts similar in size and complexity, preferably for another government  account. 

U.

Provide responses the questions contained in the table below. 

  1.

 

YES  Can you deliver equipment or maintenance ordered by the  department of the following categories: 

II‐4   

 

NO   

A. Enterprise servers, workgroup servers, entry‐level  servers, storage, and Storage Area Network (SAN)  equipment 

 

 

 

 

 

 

B. Workstations and Personal computers with operating  system software  C. IBM Mainframe computer  D. Enterprise and Workgroup Printers/Plotters/Scanners  E. Other computer peripherals, including but not limited  to, printers, plotters, monitors and other specialized  computer equipment  F. Manufacturer authorized maintenance for existing  equipment  2.

Can you deliver products within the following schedule:  A. All stock items (e.g. DVD Drives, Mice, Keyboards, etc.)  in five (5) business days  B. All preconfigured/preloaded systems (e.g.  Workstations, Laptops, Toughbooks, Servers, etc.) in  15 business days  C. All high end equipment (e.g. SAN, Enterprise Server,  etc.) in 30 business days  D. All maintenance for existing equipment shall be placed  into effect within 10 days of receipt of the purchase  order and proof of coverage shall be delivered in 15  days  E. Any items that are backordered or that cannot be  delivered in these time frames must have the actual  delivery date on the bid 

 

3.

Can you deliver and register associated software licenses  for ordered hardware in the name of the Department? 

 

 

4.

Can you deliver associated three (3) year hardware  warranty certificates, where applicable? 

 

 

II‐5   

5.

 

Can you activate and register any equipment/software  warranty upon delivery to LADWP and provide this data in  Microsoft Word 2010 format to the Contract Administrator  or delegate via email within 10 days of order placement? 

 

 

6.

Can you adjust hardware prices to reflect lowest  competitive prices within hardware market for comparable  products, i.e. CMAS, GSA, etc.? 

 

 

7.

Can you provide electronic order acknowledgement to the  requestor and the Contract Administrator? 

 

 

8.

Can you provide a Microsoft Excel 2010 file including  manufacturer name, model, serial number, and warranty  data that can be uploaded without modification into the  Department’s asset management system, within 10 days of  order? 

 

 

9.

Can you provide three (3) monthly reports in Microsoft    Excel 2010 format listing the purchase order information,  invoice information and total dollars spent (data for current  month and cumulative) – refer to Appendix B? 

 

10.

Can you provide ad hoc reporting related to purchased  items for the term of the contract, as needed by Contract  Administrator? 

 

 

11.

Can you provide a local company representative to be  LADWP's single‐point‐of‐contact/account manager? 

 

 

12.

Can you provide an invoice for every packing slip? 

 

 

13.

Can you provide an invoice that contains the following  information: Vendor Name, Address, Phone Number, Fax  Number, Email Address, Business Tax Registration Number  (BTRC#), Invoice Number, Invoice Date, Discount Terms (if  applicable), Department Purchase Order Number, Purchase  Order Date, Payment Terms, Contact Information for  Vendor, Contact Information for LADWP (with an Attention  to the Contract Administrator), Description of Item, Serial  Number(s), Quantity, Unit Price, Total Amount, Taxes, and  any other required vendor information? 

 

 

14.

Can you provide a copy of the invoice to the Contract 

 

 

II‐6   

Administrator, and three copies to Accounts Payable?  15.

Can you deliver equipment at no cost to the Department? 

16.

Can you provide manufacturer authorized installation and  configure services equipment? This may include mounting  hardware in racks, loading initial operating systems or  making initial settings to get an application or appliance  into production. 

3. Organizational/Management Approach to the Work ‐ The Proposer should include the  organizational approach for its proposed team, including the roles of and management of  subcontractors, and an organization chart that identifies overall reporting structures. The  approach to risk management and process for escalating issues within the Proposers  organization and the LADWP should be identified.  Provide information that is detailed  enough to demonstrate that the Proposer has the project management skills to deliver the  required project on time and within budget.  Approach shall detail what reporting (including  frequency) will be made available to the LADWP and how the LADWP will be afforded  visibility into Contractor performance.  Transition and disengagement procedures should be  addressed for work that will be handed off to the LADWP.  4. Qualifications of Key Personnel ‐ Provide a summary of qualifications and experience of key  personnel who will work on the contract, including subcontractors. Please limit resumes to  no longer than two pages each.   State whether Proposer will use subcontractors to perform services pursuant to the  contract. Should the use of subcontractors be offered, provide the resumes of subcontractor  key personnel. Subcontractors shall not be allowed to further subcontract with others for  work on this Statement of Work.   D. Volume II – Technical Proposal    1. Technical Approach – Provide sufficient information to demonstrate the Proposer’s  understanding of the requirements.  Must comprehensively describe the approach for  meeting all of the requirements of the Statement of Work or Scope of Services.  Particular  emphasis should be given to confirm depth and breadth of technical and/or industry  knowledge.  Any efforts required from LADWP should also be addressed herein.  1.1 Invoicing and Reporting Requirements – The Proposer shall include sample invoices and  reports as required in Sections 3.5.2 and 3.5.3, respectively, of Section Three of this RFP.  Additional online reporting and tracking samples may also be included in response to  this RFP. The invoices and reports should demonstrate experience in handling large  corporate accounts.   

II‐7   

  2. Compliance Matrix to Technical Requirements ‐ The Proposer shall provide a compliance  matrix that maps technical requirements to proposal response sections and page numbers.   E. Volume III – Business Proposal     1. Cost Work Sheet (Appendix B) (To be submitted in a separate sealed envelope and as  attachment in eRSP named “confidential”)  The purpose of the Cost Work Sheet is to provide a standard format by which the  Proposer submits to LADWP estimated costs (and attached supporting information)  suitable for detailed review and analysis.  In addition to the specific information required by this form, the Proposer is expected,  in good faith, to incorporate in and submit with this form any additional data,  supporting schedules, or substantiation reasonably required for the conduct of an  appropriate review and analysis in the light of the specific facts of this procurement.  This information is requested in order to insure that you have a clear understanding of  the contract, and a realistic understanding of the work to be performed. Accordingly,  the following information is requested:  

The existing, verifiable data (e.g., cost plus mark‐up),  



The judgmental factors applied in projecting from known data to the estimate,  and 



The contingencies used by the Proposer in his proposed price. 

In short, Proposer’s estimating process itself needs to be disclosed.  When attachment of supporting cost or pricing data to this form is impracticable, the  data will be described (with schedules as appropriate) and made available to the  Contract Administrator or representative upon request.  By submission of this Proposal, the Proposer grants to LADWP, the right to examine, for  the purpose of verifying the cost or pricing data submitted, those books, records,  documents and other supporting data which will permit adequate evaluation of such  cost or pricing data, along with the computations and projections used therein. This  right may be exercised in connection with any negotiations/discussions prior to  contract award.  2. Compliance with Terms and Conditions of Agreement ‐ The Proposer shall note all  exceptions taken including the contract terms and conditions of the contract included  in the Draft Agreement included in Section Four of this Request for Proposal. LADWP  reserves the right to reject any proposal based on noncompliance with the contract  terms and conditions included herein.  3. Small Business Enterprise (SBE) or Disabled Veterans Business Enterprise (DVBE)  Certifications and other required compliance forms included in RFP Section Six,  Appendices  – Proposer must fully complete each of the forms that are required by this  RFP.  Failure to complete required forms may result in the firm being deemed non‐ responsive.   

II‐8   

4.  Financial Stability ‐ Provide the company’s audited financial statements for the most  recent three years, or the period of company’s existence if shorter. If audited financial  statements are not available, financial statements must be signed and attested to by an  authorized officer as a fair representation, in all material aspects, of the company’s  financial condition in accordance with generally accepted accounting principles. If any  single subcontractor will perform 25% of the work or greater, financial stability  information and qualifications of firm and key personnel, as described herein, shall also  be provided.    

2.0

Specific Evaluation Criteria  Proposals submitted for this effort shall be evaluated against the following criteria:  Evaluation Criteria  

Relative Ranking  or Weight 

SBE/DVBE Program Requirements  

Pass/Fail 

Financial Stability 

Pass/Fail 

Compliance with Minimum Requirements 

Pass/Fail 

Compliance with Mandatory Requirements  

Pass/Fail 

Volume I ‐ Management Proposal  

Proposer’s Qualifications and  Experience 

35% 



Organizational/Management  Approach to the Work 

5% 



Qualifications of Key Personnel  

5% 

Volume II ‐ Technical Proposal  

Technical Approach 

10% 



Compliance Matrix to Technical  Requirements 

 5% 

Volume III ‐ Business Proposal     3.0  

40% 

Cost Work Sheet 

RESERVED  II‐9   

  4.0

Insurance 

It is the Department’s policy that upon the award of a contract, the successful Proposer shall provide  evidence of insurance that complies with the insurance requirements of the contract.  Insurance  requirements shall be in accordance with Attachment E “Contract Insurance Requirements ‐  Department of Water and Power” of this RFP and PSC‐18 entitled Insurance in the Standard Provisions  for Department of Water and Power Professional Services Contracts (Exhibit E to Section Four, Draft  Agreement), which specifically outlines the types and amounts of coverage required for this contract.   For the bidder’s information and use, “Special Endorsement Forms”, “Guidance for Submitting Evidence  of Insurance”, and information on the Department’s “Insurance Program for Small Vendors” are  available on the Department’s website.  The successful Proposer shall submit acceptable evidence of the required insurance, from insurers  acceptable to the Department, within 30 calendar days after award.  Insurance shall be maintained  current throughout the term of the contract.  Said evidence of insurance shall be on file with the Risk  Management Section in order to commence work under the contract and in order to receive payment  for services or work rendered under the contract.  5.0

Business Tax Registration Certificate 

Pursuant to the Los Angeles Municipal Code, Chapter 2, Article 1, Section 21.03, persons engaged in any  business or occupation within the City of Los Angeles are required to register and pay the required tax.  Businesses, including vendors, subject to this tax are issued a Business Tax Registration Certificate  (BTRC) or a Vendor Registration Number (VRN). A BTRC Application package is provided in Attachment B  of this RFP. Additional Information regarding this requirement may be obtained at Office of Finance, Tax  & Permit Division, 200 N. Spring St., Room 101, Los Angeles, CA 90012, Phone: (213) 473‐5901, or on the  web at: http://www.lacity.org/finance/.  6.0

Taxpayer Identification Number 

The Internal Revenue Service (IRS) requires that all Consultants and suppliers of materials and supplies  provide a Taxpayer Identification Number (TIN) to the party that pays them. Consultant must submit its  authorized TIN in Appendix A of this RFP. No payments will be made under the Agreement without a  valid TIN.  7.0

Child Support Policy 

In accordance with the City of Los Angeles Ordinance No. 172401, the Department requires all  contractors and subcontractors performing work for the Department to comply with all reporting  requirements and wage earning assignments relative to court ordered child support.  All Proposers are required to complete, sign, and submit the “Certification of Compliance with Child  Support Obligations” affidavit (1 Page) provided in Appendix C of this RFP.            

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8.0

Non‐Discrimination and Equal Employment Practices 

The Proposer shall not discriminate in employment practices against any employee or applicant for  employment because of race, religion, national origin, sex, age, or physical handicap. The Proposer shall  complete, sign, and submit to the Department the “Non‐Discrimination and Equal Employment  Practices” (2 pages) affidavit provided in Appendix D of this RFP.  9.0

Equal Benefits Ordinance (applies to contracts >$5,000) 

The contract resulting from this proposal is subject to applicable provisions of the Equal Benefits  Ordinance (EBO), Division 10, Chapter 1, Article 1, Section 10.8.2.1 of the City of Los Angeles  Administrative Code.   As part of their proposal to the Department, Proposers shall complete and submit the “Equal Benefits  Ordinance Compliance Affidavit” (provided in Appendix E). Failure to comply with these requirements  may result in the Proposer being deemed nonresponsive.   Proposers do not need to submit supporting documentation with their proposals. However, the  Department reserves the right to request supporting documentation to verify that benefits are provided  equally as specified on the Equal Benefits Ordinance Compliance Affidavit. Proposers seeking additional  information regarding the requirements of the Equal Benefits Ordinance may visit the Bureau of  Contract Administration’s website at http://bca.lacity.org.  10.0

Contractor Responsibility Program (applies to contracts >$25,000 and three months in duration) 

The contract resulting from this proposal is subject to applicable provisions of the Contractor  Responsibility Program Ordinance, Division 10, Chapter 1, Article 14 of the City of Los Angeles  Administrative Code.  As part of their proposal to the Department, Proposers shall complete and submit the “Pledge of  Compliance with Contractor Responsibility Ordinance” (1 page) and “Responsibility Questionnaire” (9  pages) affidavits (provided in Appendix F). Failure to comply with these requirements shall result in the  Proposer being deemed nonresponsive.  The Contractor Responsibility Program also requires that during the term of the contract, the successful  proposer shall update responses to the “Responsibility Questionnaire” affidavit within thirty (30)  calendar days after any changes to the responses previously provided, if such change would affect  contractor’s fitness and ability to continue performing the contract.  11.0

Living Wage Ordinance (applies to contracts >$25,000 and three months in duration) 

Submittal of a response to this Request for Proposal stipulates and confirms that the undersigned  (Proposer) agrees to comply with the applicable provisions of the Service Contract Workers Retention  Ordinance (Section 10.36) and Living Wage (Section 10.37) of the Los Angeles Administrative Code. 

 

II‐11   

(SCWRO/LWO).  SCWRO/LWO forms must be completed by the successful Proposer, only.  Refer to  instructions attached in Appendix G.  12.0

Municipal Lobbying Ordinance (applies to contracts >$25,000) 

The City of Los Angeles Municipal Code Section 48.01 et seq. requires certain individuals and entities to  register with the City Ethics Commission and requires public disclosure of certain lobbying activities,  including money received and spent. Therefore all bidders for all construction contracts, public leases, or  licenses of any value and duration and bidders for goods or service contracts with a value of more than  $25,000 and a term of at least three (3) months, shall complete, sign, and attach the City Ethics  Commission’s “Bidder Certification ‐ CEC Form 50” (2 pages) affidavit provided in Appendix H as part of  their proposal. A copy of the City of Los Angeles Municipal Lobbying Ordinance is available for download  on the City Ethics Commission’s website at http://ethics.lacity.org/PDF/laws/law_mlo.pdf. Proposals  submitted without a completed and signed “Bidder Certification ‐ CEC Form 50” affidavit shall be  deemed nonresponsive. Additional information regarding the Municipal Lobbying Ordinance may be  obtained from the City Ethics Commission at (213) 978‐1960 or ethics.lacity.org.   13.0

Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity  Program (applies to contracts >$100,000)    13.1  General    The SBE and DVBE Opportunity Program (SBE/DVBE Opportunity Program) is a race and  gender‐neutral program developed to create more competition and to offer additional  opportunities to small, disabled‐veteran, and other businesses to participate in the  Departments’ Board‐awarded material, rental, personal and professional service, and  construction contracts. As part of the program, the Department has established an  overall annual SBE/DVBE participation goal of 20 percent for SBEs and 3 percent for  DVBEs. Contract‐specific SBE and DVBE participation goals for each bidding opportunity  may be higher or lower based on the scope of work.    It is the policy of the Department to solicit participation in the performance of all  contracts by individuals and businesses, including, but not limited to, SBEs, DVBEs,  Emerging Business Enterprises (EBEs), Women‐Owned Business Enterprises (WBEs),  Minority‐Owned Business Enterprises (MBEs), Disadvantaged Business Enterprises  (DBEs), and Other Business Enterprises (OBEs). 

  13.2 

 

Definitions    For the purpose of the SBE/DVBE Opportunity Program the following definitions are  provided:    A. Affiliate: A person or entity that directly or indirectly controls or is controlled by, or  is under common control with, the person or entity, or an identity of interest  between or among parties exists such that affiliation may be found.  In determining 

II‐12   

Affiliation, the Department shall consider all appropriate factors, including common  ownership, common management, and contractual relationships.    B. Annual SBE/DVBE Goals: Targeted levels established by the Department for  participation of SBEs and DVBEs in contracts.    C. Bidder/Proposer: Any person or entity that submits a bid or proposal to the  Department or has expressed interest in submitting a bid or proposal in response to  a solicitation issued by the Department.     D. Broker: A person or entity that fills orders by purchasing or receiving supplies from a  third party rather than out of its own existing inventory or charges fees or  commissions for providing a bona fide service, such as professional, technical,  consultant, contract negotiation, or managerial services, and assistance in the  procurement of essential personnel, facilities, equipment, materials, or supplies  required for the performance of a contract, provided that the fee or commission is  determined by the Department to be reasonable when compared to fees ranging  from 3% to 18% which are customarily allowed for similar services.    E. Commercially Useful Function: Responsibility for the execution of a distinct element  of work of the contract, which is carried out by actually performing, managing, and  supervising the work involved, or fulfilling responsibilities as a Joint Venture partner,  and has a necessary and useful role and the firm’s role is not superfluously added in  an attempt to meet credit toward achievement of SBE or DVBE goals.     F. Compliance: The condition existing when the Department has determined that a  participant has met the requirements of this program.    G. Contract: Any mutually binding legal obligation of the Department created to  acquire goods and/or services from one or more firms, which is paid or which is to  be paid for, in whole or part, with funds from the Department.  In this context, the  terms “contracting”, “purchasing”, and “procurement” are synonymous and refer to  the process or processes under which the Department undertakes such acquisitions.    H. Contract SBE/DVBE Goals: The goal expressed as a percentage of the total amount  of the contract desired for SBE/DVBE participation on a particular bidding  opportunity.    I.

Disabled Veteran Business Enterprise (DVBE): A business enterprise in which a  “Disabled Veteran” owns at least 51% of the business, and the daily business  operations are managed and controlled by one or more disabled veterans.  The  term “Disabled Veteran” shall mean a veteran of the U.S. military, naval, or air  service; the veteran must have a service connected disability of at least 10% or  more; and the veteran must reside in California. 

J.

Disadvantaged Business Enterprises (DBE): A small business concern where: 

   

 

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(1) At least 51% owned and controlled by one or more socially and economically  disadvantaged individuals or in the case of any publicly‐owned business, at least  51% of the stock of which is owned by one or more socially and economically  disadvantaged individuals; and     (2) The management and daily business operations of which are controlled by one  or more socially and economically disadvantaged individuals who own it as  defined by the Code of Federal Regulation (CFR) 49 Part 26.    K. Emerging Business Enterprise (EBE): A business enterprise whose 3 year average  annual gross revenue does not exceed $3.5 million and that is certified as EBE by the  City of Los Angeles.  The State of California’s Micro‐business certification will be  considered equivalent to the EBE certification.    L. Good Faith Efforts (GFE): Specific affirmative actions required to be taken by  bidders to maximize opportunities for SBEs and DVBEs to compete for and perform  on contracting opportunities.    M. Joint Venture: A contractual arrangement between 2 businesses that is undertaken  to complete a specific task.  In a joint venture, a separate entity is formed that  ceases to exist upon the completion of the tasks agreed.    N. Letter of Intent: A written documentation of the bidder’s commitment to utilize an  SBE/DVBE subcontractor and confirmation from a sub‐listed SBE/DVBE that it is  willing to participate in the contract.  A “Letter of Intent” is required from each  SBE/DVBE subcontractor that is listed for meeting or exceeding the established  contract‐specific SBE/DVBE participation goals. A “Letter of Intent” shall be  submitted to the Department at the time of bid/proposal submittal.    O. Letter of Notification: A post‐award letter sent by the Department to the Prime  Contractor and all listed Subcontractors specifying committed subcontracting  amounts.     P. Manufacturer: An individual or firm that owns, operates, or maintains a factory or  establishment that produces on the premises the components, materials and/or  equipment, or supplies equipment required under the contract.    Q. Minority Business Enterprise (MBE): A business enterprise that meets both of the  following criteria:    (1) A business that is at least 51% owned by one or more minority persons or, in the  case of any business whose stock is publicly held, at least 51% of the stock is  owned by one or more minority persons; and    (2) A business whose management and daily business operations are controlled by  one or more minority persons.   

 

II‐14   

R. Non‐Compliance: The condition that exists when a Bidder/Proposer or Contractor  has failed to meet the requirements of the SBE/DVBE Opportunity Program.    S. Other Business Enterprise (OBE): An OBE is any business enterprise that is not  certified as SBE, DVBE, MBE, or WBE.    T. Prime Contractor: The Contractor who enters into contract with the Department  and who is primarily responsible for performance under such contract.    U. Subcontractor: An individual, firm, or corporation having a direct contract with the  Prime Contractor for the performance of a part of the work which is proposed to be  constructed or performed under the contract or permit, including the furnishing of  all labor, materials, or equipment. A Subcontractor shall perform a commercially  useful function.    V. Small Business Enterprise (SBE):  A business enterprise that meets the certification  requirements set forth in the Article titled “Accepted Certifications to Qualify as an  SBE” of this section.     W. Subcontractor Utilization Plan:  A document provided by the Contractor and  approved by the Department identifying all SBEs/DVBEs and other Subcontractors  that the Contractor intends to use on a project, including corresponding scopes of  work and dollar amounts.    X. Proposer or Supplier:  An individual or firm that owns, operates, or maintains a  store, warehouse, or other establishment in which the materials or supplies  required for the performance of the contract are bought, kept in stock, and  regularly sold to the public in the usual course of business.  The firm shall engage in,  as its principal business, and in its own name, the purchase and sale of the products  in question.  A supplier of such bulk items as steel, cement, gravel, stone and  petroleum products need not keep such products in stock, if it owns and operates  distribution equipment.    Y. Women Business Enterprise (WBE):  A business enterprise that meets both of the  following criteria:    (1) A business that is at least 51% owned by one or more women or, in the case of  any business whose stock is publicly held, at least 51% of the stock is owned by  one or more women; and    (2) A business whose management and daily business operations are controlled by  one or more women.  13.3 

 

  Accepted Certifications to Qualify as an SBE:      The Department will accept the following agency certifications for determining SBEs:   (See following table) 

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SMALL BUSINESS ENTERPRISE   Certifying Agency 

Certification 

Qualification  For All Contracts: 

Small Local Business   (SLB) 

City of   Los Angeles  (Bureau of Contract  Administration)  

Small Business Enterprise   SBE (LA) 

Emerging Business  Enterprise   (EBE) 

State of California  (Office of Small  Business and Disabled  Veterans Business  Enterprise Services) 

L.A. County  Metropolitan  Transportation  Authority (Metro)  (Small Business  Certification Unit –  Diversity and Economic  Opportunity  Department) 

 

Annual receipts of a business,  including its affiliates if any, shall be  less than $3 million, and its  principal office located within the  Los Angeles County.   For Non‐Construction Contracts:  The average annual gross revenue  of a business over the past 3 years  shall not exceed $7 million.    For Construction Contracts:  The average annual gross revenue  of a business over the past 3 years  shall not exceed $14 million.  For All Contracts:  The average annual gross revenue  of a business over the past 3 years  shall not exceed $3.5 million. 

Small Business  SB 

For All Contracts:  A business with 100 or fewer  employees and average annual  gross receipts of $14 million or less,  over the last 3 tax years. 

Micro‐Business  

For All Contracts:  The average annual gross revenue  of a business over the past 3 years  shall not exceed $3.5 million or the  small business is a manufacturer  with 25 or fewer employees. 

SBE (Metro) 

For All Contracts:   The SBE Program at Metro uses  the Small Business  Administration (SBA) Guideline  size standards 13 CFR Part 121.    A business that has average  annual gross receipts of less  than $22.41 million over the last  3 years.   An SBE firm shall be owned and  controlled by one or more  individuals whose Personal Net  Worth (PNW) is less than $1.32 

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SMALL BUSINESS ENTERPRISE   Certifying Agency 

Certification 

Qualification  million. 

Federal SBA  Designation 8a   (Federal –Small  Business  Administration) 

SBA 8(a)   Business Development  Program 

For All Contracts:   Meets the Small Business  Administration (SBA) Guideline  size standards at 13 CFR Part  124.   Owned and controlled by one or  more socially and economically  disadvantaged individuals and  demonstrates potential for  success.    

Disadvantaged  Business Enterprise  (DBE)  California Unified  Certification Program  (CUCP) ‐ CalTrans 

 DBE 



 

 

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For All Contracts:  Eligibility in accordance with 49  CFR Part 26.   At least 51% owned by one or  more socially and economically  disadvantaged individuals.  A business that has average  annual gross receipts of less  than $22.41 million over the last  3 years.  A DBE firm shall be owned and  controlled by one or more  individuals whose Personal‐Net‐ Worth (PNW) is less than $1.32  million. 

13.4 

  Accepted Certification to Qualify as a DVBE      The Department will accept the following agency certification for determining DVBEs:  (See following table)  Certifying Agency 

State of California  (Office of Small  Business and Disabled  Veterans Business  Enterprise Services) 

Certification 

Qualification  For All Contracts:  Business must be at least 51%  owned by one or more disabled  veterans.   Business operations must be  managed and controlled by one  or more disabled veterans. 

DVBE 

Where a "disabled veteran" is  defined as:    A veteran of the U.S. military,  naval, or air service;    Must have a service‐connected  disability of at least 10% or  more; and    Must reside in California.  

 

13.5 

13.6 

 

Contract‐specific SBE/DVBE Participation Goals    The Department’s Contract‐specific SBE/DVBE participation goals for this RFP are listed  in Section One – Instructions to Proposers.    A resource table listing various links to SBE/DVBE subcontractor search databases is  provided in Attachment C of this RFP. Proposers can use the resource table to “search  for” and identify certified SBE/DVBE subcontractors.       Rules for Calculating and Counting SBE and DVBE Participation    SBEs and DVBEs shall perform a commercially useful function and shall be certified by  the time of bid/proposal submission to be counted towards meeting contract‐specific  participation goals. The Department will not offer extra credit to a subcontractor that is  dually‐certified as an SBE and DVBE and listed only in one work area. However, a  subcontractor that is dually‐certified as an SBE and DVBE can be listed as an SBE in one  work area and as a DVBE in another work area to earn respective credits for SBE and  DVBE participation goals.    The Department will utilize the following criteria for calculating and counting SBE/DVBE  participation:    II‐18   

  A. For Bidders that are Certified as SBEs/DVBEs:  Credit will be limited to the portion  of the contract that will be performed by bidder’s own forces.    B. For Brokers that are Certified as SBEs/DVBEs:  Credit will be limited to the entire  amount of fees or commissions charged by an SBE/DVBE broker for providing a bona  fide service, such as professional, technical, consultant, or managerial services  specifically required for the performance of a contract, provided the fee is  reasonable and not excessive as compared with fees customarily charged for similar  services.   

13.7 

 

C. For Subcontractors that are Certified as SBEs/DVBEs:  100% credit will be given to  Subcontractors that are certified as SBEs/DVBEs.     (1) 100% credit will be given to Subcontractors that are certified as SBEs/DVBEs.  (2) 100% of the cost of materials or supplies obtained from an SBE/DVBE  Manufacturer or Proposer and/or Supplier.  (3) 100% of the transportation fees or charges for the delivery of materials or  supplies.    SBE/DVBE Opportunity Program Compliance Criteria    To be deemed responsive, bidders shall make a good faith effort towards meeting or  exceeding the established Contract‐specific SBE and DVBE goals. A bidder can  demonstrate its good faith efforts by complying with “ONE” of the following three  criteria:    A. If the bidder meets or exceeds BOTH SBE and DVBE participation goals, the bidder is  NOT required to submit good faith effort documentation; or    B. If the bidder does NOT meet BOTH SBE and DVBE participation goals, the bidder is  required to submit good faith effort documentation; or    C. If the bidder meets or exceeds EITHER the “SBE” OR the “DVBE” participation goal,  but not both, the bidder is required to submit good faith effort documentation for  the participation goal that is NOT met.    NOTE: The bidder shall conduct and document its good faith effort to secure enough  credit to achieve the SBE and DVBE participation goals. In the event where the bidder  learns just prior to the bid opening date that the anticipated goals will not be realized  due to a Subcontractor’s unwillingness or failure to sign the Letter of Intent, the bidder  is nevertheless required to submit complete good faith effort documentation forms to  be deemed responsive.    II‐19   

13.8 

 

Documentation and Submittals    To demonstrate their good faith efforts, bidders shall complete and submit all required  documents in accordance with “ONE” of the following three categories.    A. Bidder Achieved BOTH SBE and DVBE Participation Goals:    Bidders qualifying under this category ARE NOT REQUIRED to submit any Good  Faith Effort (GFE) documentation. Bidders that meet or exceed both SBE and DVBE  participation goals will be evaluated based on the following FOUR submittals:     (1) Proposer’s Name, Form of Business Organization, and Certification Form:     Bidder shall complete and submit the “Proposer’s Name, Form of Business  Organization, and Certification” form set forth in Appendix I to indicate whether  the bidder itself is certified as an SBE or DVBE. If the bidder is certified as an SBE  or DVBE, credit will be limited to the portion of the contract that will be  performed by the bidder’s own forces. To receive credit as an SBE or DVBE, a  certified bidder shall submit with its bid, a copy or proof of valid certification  issued by a certifying agency recognized by the Department and the bidder shall  be certified by the time of bid submittal;     (2) List of Proposed Subcontractors:     Bidder shall complete and submit the form titled “List of Proposed  Subcontractors” provided in Appendix J listing all certified SBE and DVBE  Subcontractors for the achievement of the SBE and DVBE participation goals;     (3) Letter of Intent:     To receive credit, the bidder shall submit a completed and signed “Letter of  Intent” from “each” SBE and DVBE Subcontractor that is listed for the  achievement of the SBE and DVBE participation goals. A “Letter of Intent” form  is provided in Appendix K of this RFP. No credit will be given to a certified  SBE/DVBE Subcontractor if the bidder fails to submit a “Letter of Intent” signed  by the listed Subcontractor. Completed and signed Letters of Intent shall be  submitted to the Department at the time of bid submittal; and     (4) Copy or Proof of Valid Certification:     To receive credit, the bidder shall submit a “copy or proof of valid certification”  issued by a certifying agency recognized by the Department for “each” certified  II‐20   

SBE and DVBE Subcontractor that is listed for the achievement of the SBE and  DVBE participation goals. A listed SBE or DVBE subcontractor shall be certified  by the time of bid/proposal submittal.    B. Bidder Is UNABLE To Achieve BOTH “SBE and DVBE” Participation Goals:      Bidders that are unable to meet both “SBE and DVBE” participation goals identified  in these Specifications ARE REQUIRED to submit complete Good Faith Effort (GFE)  documentation.  Bidders qualifying under this category will be evaluated based on  the following TWO submittals:    (1) Good Faith Effort (GFE) Documentation Forms:    Complete and submit all required GFE documentation in accordance with the  forms titled “Good Faith Effort (GFE) Documentation Forms” set forth in  Appendix L (with applicable attachments) to demonstrate outreach efforts  made to available Subcontractors including SBEs and DVBEs; and       (2) List of Proposed Subcontractors:    Complete and submit the form titled “List of Proposed Subcontractors”  provided in Appendix J listing all Subcontractors that are “selected” after the  conclusion of outreach efforts.    C. Bidder Achieved EITHER the “SBE” OR the “DVBE” Participation Goal, but not both:      Bidders qualifying under this category will be evaluated based on the following TWO  submittals:      (1)  For the “SBE” or the “DVBE” Goal that is Achieved: Bidder shall submit the  following FOUR documents.     a. Proposer’s Name, Form of Business Organization, and Certification Form:   Bidder shall complete and submit the “Proposer’s Name, Form of Business  Organization, and Certification” form set forth in Appendix I to indicate  whether the bidder itself is certified as an SBE or DVBE. “IF” the bidder is  certified as an SBE or DVBE, credit will be limited to the portion of the  contract that will be performed by the bidder’s own forces.  To receive credit  as an SBE or DVBE, a certified bidder shall submit with its bid, a copy or proof  of valid certification issued by a certifying agency recognized by the  Department and the bidder shall be certified by the time of bid submittal;         

II‐21   

13.9 

 

b. List of Proposed Subcontractors:   Bidder shall complete and submit the form titled “List of Proposed  Subcontractors” provided in Appendix J listing all certified SBE and DVBE  Subcontractors for the achievement of the SBE and DVBE participation goals;     c. Letter of Intent:   To receive credit, the bidder shall submit a completed and signed “Letter of  Intent” from “each” SBE and DVBE Subcontractor that is listed for the  achievement of the SBE and DVBE participation goals. A “Letter of Intent”  form is provided in Appendix K of this RFP. No credit will be given to a  certified SBE/DVBE Subcontractor if the bidder fails to submit a “Letter of  Intent” signed by the listed Subcontractor. Completed and signed Letters of  Intent shall be submitted to the Department at the time of bid submittal; and      d. Copy or Proof of Valid Certification:   To receive credit, the bidder shall submit a “copy or proof of valid  certification” issued by a certifying agency recognized by the Department for  “each” certified SBE and DVBE Subcontractor that is listed for the  achievement of the SBE and DVBE participation goals. A listed SBE or DVBE  subcontractor shall be certified by the time of bid/proposal submittal.     (2) For the “SBE” or the “DVBE” Goal that is NOT Met: Bidder shall submit the  following TWO documents.  a. Good Faith Effort (GFE) Documentation Forms:  To demonstrate their outreach efforts, bidders shall complete and submit  all required GFE documentation in accordance with the forms titled “Good  Faith Effort (GFE) Documentation Forms” set forth in Appendix L (with  applicable attachments) for the SBE or the DVBE participation goal that is  NOT met and     b. List of Proposed Subcontractors:  In the form titled, “List of Proposed Subcontractors” provided in Appendix J,  bidders shall list all subcontractors that are “selected” after the conclusion  of outreach efforts.    Evaluation of Good Faith Effort (GFE) Documentation    All bidders shall make a good faith effort toward the achievement of the contract‐ specific SBE/DVBE goals.      GFE Documentation is required ONLY from bidders that ARE NOT able to meet the SBE  and/or DVBE participation goals identified in these Specifications.  To be responsive  under this provision, bidders shall complete and submit all required GFE documents and  forms in accordance with the forms titled “Good Faith Effort (GFE) Documentation  II‐22   

Forms” set forth in Appendix L including all forms for Factors 1 through 8 with  applicable attachments to demonstrate outreach efforts made to available  Subcontractors.    The Department will evaluate each bidder’s good faith efforts by considering all of the  factors set forth and the weights for evaluation. The maximum possible score for the  GFE evaluation is 100 points.  Each factor will be evaluated on a pass/fail basis. Either  full or zero points may be achieved for compliance with each factor. Bidders shall earn a  minimum of 75 points to pass the evaluation.      Bidders Good Faith Efforts will be determined based on the following factors and  criteria:    FACTOR 

WEIGHT 

1 

Attendance at the Pre‐Proposal Meeting.  

5.0 

2 

Identify selected portions of the project to be performed by  Subcontractors to provide opportunities to available SBEs, DVBEs,  MBEs, WBEs, and OBEs. Bidders shall, when economically feasible,  divide total contract requirements into small portions or quantities  to permit maximum participation of SBEs, DVBEs, MBEs, WBEs,  and OBEs.  

10.0 

3 

Providing interested enterprises with information about the plans,  specifications, and requirements for the selected work.  

5.0 

4 

5 

6 

 

ACTIONS 

Documenting efforts to advise/assist interested SBEs, DVBEs,  MBEs, WBEs, and OBEs in obtaining bonds, lines of credit, or  required insurance.   Advertise for bids from interested business enterprises not less  than 7 calendar days prior to the submission of bids or proposals in  newspapers, trade association publications,  trade oriented  publications, trade journals, or other appropriate media.   Sending notices such as “Letters” or “e‐mails” to available business  enterprises including SBEs, DVBEs, MBEs, WBEs, and OBEs, having  an interest in participating in such contract. Such notices shall be  sent to prospective subcontractors not less than 5 calendar days  prior to the bid submittal date. Bidders shall document that  invitations for subcontracting bids were sent to available SBEs,  DVBEs, MBEs, WBEs, and OBEs for each portion of the work AND  documenting efforts to follow up initial solicitations of interest by  contacting the business enterprises to determine whether the  enterprises are interested in participating in the project work.  

II‐23   

5.0 

15.0 

20.0 

FACTOR 

7 

8 

ACTIONS  Provide proof of participation in a Vendor Fair, SBE Advocate  Group,  or Local Agency outreach/networking/match‐making event  within the last 365 days prior to the bid/proposal due date. Proof  of participation shall meet the following requirement:  (a) Minimum of 1 event if estimated contract amount is less than  $500,000; and  (b) Minimum of 2 events if estimated contract amount is greater  than $500,000.  Negotiating in good faith with interested SBEs, DVBEs, MBEs,  WBEs, and OBEs and not unjustifiably rejecting bids or proposals  prepared by any enterprise. As documentation, bidders shall  submit a list of all subcontract‐ bidders for each portion of work  solicited, including dollar amounts of potential work for SBEs,  DVBEs, MBEs, WBEs, and OBEs.  Bidders shall also submit  documentation of correspondence regarding subcontract bids  from interested SBEs, DVBEs, MBEs, WBEs, and OBEs including, but  not limited to:  (a)  Requests by bidder to obtain subcontract bids from enterprises  expressing interest.  (b)  Responding subcontract bids or declinations to offer a bid.  (c)  Acceptance by bidder of subcontract bids.  (d)  Rejections of subcontract bids including explanations for non‐ selection. 

 

TOTAL POINTS POSSIBLE 

WEIGHT 

10.0 

30.0 

100.0 

 

13.10   Post‐Award Documentation    On a monthly basis, the successful bidder shall complete and submit to the Department,  a form titled “Monthly Subcontractor Utilization Report” with its invoice listing all  Subcontractors utilized during the reporting period including SBEs/DVBEs. The form  titled “Monthly Subcontractor Utilization Report” will be provided by the Contract  Administrator.    The successful bidder shall cooperate with Department personnel in providing such  information as requested in order to ensure compliance.  The Department will not  process or pay the successful bidder's subsequent invoices if Subcontractor Utilization  Reports are not submitted in a timely manner or if the successful bidder fails to  cooperate with Department personnel by promptly providing any and all information  related to Subcontractor participation as requested by the Department.    As part of its “final invoice” the successful bidder shall submit an overall project  subcontractor utilization report indicating that committed subcontracting levels are  achieved.  Final payment will not be processed without the overall project  Subcontractor Utilization Report.     

II‐24   

13.11   Subcontractor Substitution, Reduction, or Addition      Subcontractor substitution shall be in accordance with Division 10, Chapter 1, Article 1,  Subsection 10.14.3 of the Los Angeles Administrative Code.    In addition, the successful bidder shall adhere to the following procedures for the  purpose of this program.     A. The successful bidder shall request approval from the Department for any  reduction, addition, or substitution of bid‐listed Subcontractors including any  reduction in compensation or scope of work.    B. The request shall be in writing and submitted to the Contract Administrator.  The  request shall include the reason for the reduction, addition, or substitution and the  name of the listed Subcontractor, reason for the change, work type, and dollar  amount.    C. The Department requires that whenever the successful bidder seeks to “add” a new  Subcontractor or “substitute” a bid‐listed Subcontractor, the successful bidder shall  conduct a good faith outreach to find new Subcontractors.  The good faith outreach  effort shall allow for a full and equitable participation of all available  Subcontractors. Documentation is required to demonstrate that a good faith  outreach was conducted.  At minimum, the documentation shall include the  following:     (1) Names of potential Subcontractors contacted; contact person and telephone  number; and date and time of contact.    (2) Response for each item of work which was solicited, including dollar amounts.    (3) Reason for selection or rejection of sub‐bid prospects.    D. The Department requires that whenever the successful bidder seeks to “reduce” a  bid‐listed Subcontractor, the contractor shall request approval for reducing the  subcontract by submitting the following documents:    (1) The name of the company for which the subcontract reduction is requested and  the dollar amount of the reduction.    (2) The reason for the subcontract reduction and an explanation on who will  perform the reduced work.    (3) The contractor shall submit all documentation to the Contract Administrator.   

 

II‐25   

E. The Department requires that whenever the successful bidder seeks to “substitute”  a bid‐listed SBE/DVBE Subcontractor, the successful bidder shall make a good faith  effort to replace the Subcontractor with a new Subcontractor of the same  certification status.    F. All requests for substitution or changes shall be approved by the Contract  Administrator and Supply Chain Services.   

G. The successful bidder shall not substitute a bid‐listed SBE/DVBE Subcontractor or  perform work with its own forces in lieu of an SBE/DVBE Subcontractor until an  approval is made by the Contract Administrator and Supply Chain Services.   

13.12   Falsification of Subcontractor Agreement   

Falsification or misrepresentation as to company name, contract amount, or actual work  to be done by the Subcontractor will result in sanctions as set forth in applicable local,  state, and federal laws.   

13.13   Penalties   

A successful bidder violating any provision(s) of this program shall, subject to prior  notice of the alleged violation(s), and an opportunity to be heard and to present  evidence in its own defense, be deemed in violation of the Contract, and the  Department may:   

A. Terminate the contract; or   

B. Assess the successful bidder a penalty of not more than 10% of the amount of the  unpaid or underpaid amount of the Subcontract(s) involved.  14.0

Affirmative Action Plan (applies to contracts >$100,000 for services and >$5,000 for  construction) 

The Proposer shall have an Affirmative Action Plan on file with the Director of Supply Chain Services. The  Proposer shall comply with the requirements of the City of Los Angeles and shall complete, sign, and  submit to the Department the applicable “Affidavit” set forth in either Appendix M1 or Appendix M2 of  this RFP as a part of its written proposal responding to the RFP.  An Affirmative Action Plan shall be in effect and on file with the Department for the duration of the  contract period.  15.0

Bidder Campaign Contributions and Fundraising (applies to contracts >$100,000) 

In accordance with the City of Los Angeles Charter Section 470(c)(12) and related ordinances, bidders  may not make campaign contributions to and or engage in fundraising for certain elected City officials or  candidates for elected City office from the time they submit a bid to the Department until either the   

II‐26   

contract is awarded or, for successful bidders, 12 months after the contract is executed.  The bidder's  principals and subcontractors performing $100,000 or more in work on the contract, as well as the  principals of those subcontractors, are also subject to the same limitations on campaign contributions  and fundraising.  As part of their proposal to the Department, bidders shall complete, sign, and attach the City Ethics  Commission’s “Prohibited Contributors (Bidders) ‐ CEC Form 55” (3 pages) affidavit provided in  Appendix N. The affidavit requires bidders to identify their principals, their subcontractors performing  $100,000 or more in work on the contract, and the principals of those subcontractors.  Bidders shall also  notify their principals and subcontractors in writing of the restrictions and include the notice in  contracts with subcontractors.  Proposals submitted without a completed and signed “Prohibited  Contributors (Bidders) ‐ CEC Form 55” affidavit shall be deemed nonresponsive.  Bidders who fail to  comply with City law may be subject to penalties, termination of contract, and debarment.  Additional  information regarding these restrictions and requirements may be obtained from the City Ethics  Commission at (213) 978‐1960 or ethics.lacity.org.  16.0      

Local Business Preference Program (applies to contracts >$150,000)  16.1 General   A.

This contract is subject to the applicable provisions of the Local Business Preference  Program (LBPP) Ordinance No. 181910, Division 10, Chapter 1, Article 21 of the  Los Angeles Administrative Code.   

  The Department is committed to maximizing opportunities for Local Businesses, as well as  encouraging Local Businesses to locate and operate in the Los Angeles area.  It is the policy of  the City and the Department to reduce local unemployment, stimulate the expansion and  retention of local jobs, and create sustainable local economic development.     The Department will implement the LBPP in all competitively advertised bids involving  expenditures in excess of $150,000 except for:    A. Contracts that are State or Federal funded, including contracts in which funding  regulations prohibit the Department from implementing the LBPP.    B. Contracts where full and open competition is limited because of a sole source or  single source proposer, provider, or supplier.    C. Contracts where the Department determines at any time before the award of the  contract that it is not in its best interest to grant a Proposal preference.     The City of Los Angeles, Department of Public Works, Bureau of Contract Administration, Office  of Contract Compliance (BCA/OCC) is the Designated Administrative Agency (DAA) for the LBPP.   The DAA will determine whether a business qualifies as a Local Business, a Provisionally  Qualified Local Business, or a Local Subcontractor.  The DAA may also audit or monitor 

 

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contractors and subcontractors for compliance with the provisions of the Ordinance and  conduct investigations of claimed violations.      16.2  Participation Criteria for the Local Business Preference Program    To be eligible for participation in the LBPP, the BCA/OCC requires a prospective Proposer to  register and apply for certification as a Local Business prior to the proposal deadline by  submitting an affidavit attesting as such on the Los Angeles Business Assistance Virtual Network  (LABAVN) website. An affidavit form is available for download on the LABAVN website. The  “Local Business Certification ‐ Affidavit of Eligibility” form is available for download on the  LABAVN website at http://www.labavn.org.  For more information, the Proposer shall e‐mail the  LABAVN office at [email protected] or call the City of Los Angeles, Bureau of Contract  Administration, Office of Contract Compliance at (213) 847‐2641 or (213)847‐2648.    Determination of qualification as a Local Business by any other entities, other than the  BCA/OCC, or by any other means other than submission of an affidavit on the LABAVN shall not  be accepted for purposes of participation in the LBPP. Affidavit forms are prioritized according  to the date they are received.      16.3  Definitions    For the application of the LBPP, the following terms shall have the following meanings:     A. Contract:  A written agreement involving consideration in excess of $150,000.00 for the  purchase of goods, equipment or services, including construction services.  B. Designated Administrative Agency (DAA):  The City of Los Angeles, Department of  Public Works, Bureau of Contract Administration, Office of Contract Compliance  (BCA/OCC).  C. Local Business:  A business entity that is in compliance with all applicable licensing and  tax laws of the City of Los Angeles and the County of Los Angeles.  To qualify as a Local  Business, a business entity shall also satisfy one of the following criteria:  

  1. At least 50 of its full‐time employees perform work within the boundaries of  the County of Los Angeles at least 60 percent of their total regular hours  worked on an annual basis; or    2. At least half of its full‐time employees work within the boundaries of the  County of Los Angeles at a minimum of 60 percent of their total regular  hours worked on an annual basis; or    3. It is headquartered in the County of Los Angeles. Headquartered means that  the business physically conducts and manages all of its operations from a  location within the County of Los Angeles.    D. Local Subcontractor:  A subcontractor that meets the same qualifications as a Local  Business.  E. Provisionally Qualified Local Business:  A business entity that is yet to establish  operations within the County of Los Angeles and is undertaking imminent steps to   

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qualify as a Local Business.  For a business entity to be considered as a Provisionally  Qualified Local Business, the following criteria have to be satisfied:   

   

1. The proposed contract between the business entity and the Department  involves an agreement valued at no less than $1,000,000 and has a term of no  less than 3 years.    2. The business entity can demonstrate that it is party to an enforceable,  contractual right to occupy commercial space within the County of Los Angeles  and its occupancy will commence no later than 60 calendar days after the date  on which the contract with the Department is executed.    3. The business entity can demonstrate proof of ability to qualify as a Local  Business by submitting a business plan or other evidence deemed sufficient by  the DAA.    4. The business entity can demonstrate that it will meet the same qualifications as  a Local Business before the commencement of the contract.    16.4  Application of the Local Business Preference  A Proposer that participates in the LBPP by qualifying as a Local Business shall receive an  8 percent proposal preference. The preference is applied in the form of additional points  such that the Final Score of the Proposal submitted by a Local Business is increased by 8  percent and the result will be deemed as the Evaluated Score of the Proposal.      Evaluated  Final Score of  Score of  =  +  (0.08 X Final Score of Proposal)  Proposal  Proposal 

     

   

16.5 

Application of the Local Subcontractor Preference  

16.6 

When a Proposer is not qualified as a Local Business and it identifies a qualifying Local  Subcontractor to perform work under the contract, the Proposer shall receive a  preference of up to 5 percent on its Proposal based on the following criterion:     The Final Score of the Proposal will be increased by 1 percent, up to a maximum of 5  percent, for every 10 percent of the total cost of the proposed work under the contract  to be performed by a Local Subcontractor or Local Subcontractors, provided that each  Local Subcontractor, the work of the Local Subcontractor, and the cost of the work of  the Local Subcontractor are specified clearly in the Proposal.     Additional Requirements  A. A Provisionally Qualified Local Business that participates in the LBPP by qualifying as  a Local Business will receive an 8 percent preference. To participate as a  Provisionally Qualified Local Business, the Proposer shall download, complete, and  submit a “Provisionally Qualified Local Business – Affidavit of Eligibility” form as part 

 

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of its proposal submittal. The form is available for download at the City of Los  Angeles, Bureau of Contract Administration’s website located at:  http://bca.lacity.org/site/pdf/general/PQLBP_Affidavit.pdf.     Once a Provisionally Qualified Business is notified by the Department of its intent to  award the contract, the Provisionally Qualified Local Business shall submit the  following supporting documents to the Department within 30 calendar days.     (1) Proof of occupancy or an enforceable right to occupy commercial space within  the County of Los Angeles commencing no later than 60 calendar days after the  date on which the contract with the Department is executed.     (2) A business plan or other evidence to demonstrate proof of ability to qualify as a  Local Business.    If the foregoing documents are not received by the Department within 30 calendar  days of notification, the intent to award the contract to the Provisionally Qualified  Business will be rescinded.    In addition, a Provisionally Qualified Local Business shall lose its status if it fails to  fully qualify as a Local Business. Loss of status as a Provisionally Qualified Local  Business is permanent; such closure forbids a business entity from qualifying as a  Provisionally Qualified Local Business in the future for purposes of bidding on City  and Department Contracts.    B. Preferences will be awarded to service contracts only if the services are provided  directly by a Local Business or the Local Subcontractor is using employees whose  exclusive and primary working location is in the County of Los Angeles.     C. Preferences will be awarded for equipment, goods or materials contracts only if the  Local Business or the Local Subcontractor:    (1)  Acts as a Supplier or Dealer where a minimum of two‐thirds of the work under  the contract is performed at a business location within the County of Los  Angeles; or    (2) Designs, manufactures, or assembles the equipment, goods or materials where  a minimum of two‐thirds of the work under the contract is performed at a  business location within the County of Los Angeles.    D. As a result of an audit or upon receipt of information believed by the Department or  the DAA to be reliable that the Local Business no longer qualifies as a Local Business  for more than 60 calendar days during the entire term of the Contract, the  Department will withhold or recover funds from the Contractor in an amount that  represents the total value of the proposal preference.     E. As a result of an audit or upon receipt of information believed by the Department or  the DAA to be reliable that the Local Subcontractor(s) no longer qualifies as a Local   

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Business, providing the basis for a Local Subcontractor Preference and the Prime  Contractor fails to replace the Subcontractor(s) with another Local Subcontractor(s)  within 60 calendar days of notification, the Department will withhold or recover  funds from the Contractor in an amount that represents the total value of the  proposal preference.     F. The maximum proposal preference for all qualifying Local Businesses, Local  Subcontractor(s), and Provisionally Qualified Local Businesses shall not exceed  $1,000,000 for any Proposal.    G. A proposal preference does not aim to reduce or alter the contract amount.  It shall  be utilized solely for the purpose of evaluation and selection.    H. In the event where a Proposer is registered on the LABAVN system to be certified as  a Local Business prior to the proposal closing date and time and a determination is  made by the DAA after the proposal deadline that the Proposer is not qualified as a  Local Business, the Proposer will be eligible for a Local Subcontractor Preference of  up to 5 percent, if it has identified a qualifying Local Subcontractor(s) to perform  work under the contract.       

   

16.7 

Reporting Violations and Protests  

16.8 

Proposers interested in reporting any violation of the LBPP provisions or submit protests  in relation to the LBPP shall contact the:     CITY OF LOS ANGELES  BUREAU OF CONTRACT ADMINISTRATION  OFFICE OF CONTRACT COMPLIANCE  1149 S. BROADWAY STREET, SUITE 300  LOS ANGELES, CA  90015  E‐Mail: [email protected]    Registration  

A. If eligible, the Proposer shall register on the LABAVN system to certify as a Local  Business to qualify for an 8 percent Local Business preference.   

B. If the Proposer is not eligible to register as a Local Business, the Proposer is  encouraged to maximize its Local Subcontractor participation to qualify for a Local  Subcontractor preference of up to 5 percent. Each Local Subcontractor shall register  on the LABAVN system to certify as a Local Business.         

16.9 

Documentation   Proposers that are eligible for a proposal preference in accordance with the LBPP  Ordinance shall provide all required information in Appendix O ‐ Local Business  Preference Program Documentation of this RFP.    

 

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17.0

If no information is provided in Appendix O ‐ Local Business Preference Program  Documentation of this RFP, it will be assumed that the Proposer or any of its  subcontractors are not registered as a Local Business on the LABAVN system and the  Proposer is not a Provisionally Qualified Local Business.      Iran Contracting Act of 2010(applies to contracts >$1 Million) 

In accordance with California Public Contract Code Sections 2200‐2208, all bidders submitting proposals  for, entering into, or renewing contracts with the Department for goods and services estimated at  $1 Million or more are required to complete, sign, and submit the “Iran Contracting Act of 2010  Compliance Affidavit” (1 Page) provided in Appendix Q of this RFP.   18.0

Background Check Certification Requirement  

The Contractor shall (1) perform the required background checks of all designated principals, employees  and/or subcontractors of the Contractor; and (2) not assign principals, employees and/or subcontractors  of the Contractor convicted of any felony or offense of moral turpitude, or for whom other derogatory  information has been found pursuant to criteria set forth in this Agreement or any attachment hereto  (including, without limitation, Appendix R, Background Check Certification) shall result in irreparable  harm to LADWP and, at LADWP's option, the immediate termination for breach of contract without  opportunity to cure, without liability on the part of LADWP.    Contractor agrees to submit a statement along with any invoices or billing associated with this  Agreement which certifies that all work performed under this Agreement at critical facilities as  designated by LADWP to Contractor was conducted by persons for whom background checks have been  conducted and who do not have disqualifying background information in their histories pursuant to this  section.  Contractor is advised that submission of a false claim for payment to LADWP may subject Contractor to  liability under the California False Claims Act (Cal. Gov't Code Sec. 12650 et seq.). In addition, any failure  to comply with the background procedures as required by this section may be considered in connection  with future contracting opportunities with LADWP. The following specific language in the invoices/bills is  acceptable: "Contractor certifies that all work performed for which this invoice/bill is submitted which  required access to critical facilities as designated by LADWP was performed by persons for whom  background checks have been conducted, and for whom no disqualifying information (including felonies,  offenses of moral turpitude, and other disqualifying criteria, if any, as specified in the Agreement  between Contractor and LADWP) has been found."  None of the remedies available to LADWP under this section shall preclude LADWP from any other  remedies available in law or equity to compensate it for damages caused by the contractor's failure to  comply with this section.       

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  19.0

Safety Program 

The successful Proposer(s) will be required to execute and submit the form titled, “Safety Compliance  Certificate” contained as Appendix T to this RFP. Submittal of this completed form will certify that the  Proposer has:  A. An effective Injury and Illness Prevention Program, which meets the requirements of all  applicable laws and regulations, including but not limited to, California Labor Code Section  6401.7;  B. Proposer agrees that it is fully responsible for the acts and omissions of its subcontractors  and all persons either directly or indirectly employed by the Proposer.  Such certification shall be made by the person with the authority and responsibility for implementing  and administering Proposer’s Injury and Illness Prevention Program.        END OF SECTION TWO 

 

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                      SECTION THREE  STATEMENT OF WORK 

 

SECTION THREE – STATEMENT OF WORK  1.0 Background – LADWP requires that computer equipment to be working in an efficient and  effective manner in order to maintain an ongoing and reliable business operation. As such,  LADWP maintains a vigorous personal computer (PC) refresh program to replace the  obsolete computer hardware equipment as scheduled, and deploy new equipment as  required.    2.0 Project Objectives – The selected Contractor(s) shall provide enterprise servers, storage,  Storage Area Network (SAN) equipment, workstation, desktop, and laptop computers, and  various accessories, as well as the necessary initial installation, configuration, and  maintenance for this equipment. The procurement of this equipment will allow LADWP to  maintain its PC refresh schedule to minimize interruptions of business operations due to  computer failure and 6provide necessary computer equipment and accessories for its new  employees to conduct business.    3.0 Scope of Work – Contractors shall provide LADWP computer equipment and maintenance  as described in this Section of the RFP for the term of the Agreement while providing the  most competitive pricing and meeting the expected delivery deadlines as described in  Section 3.3.2.    3.1 Description of Work – LADWP intends to enter into an Agreement with multiple  Contractors to provide the following equipment and maintenance:  (1) Computer equipment with related software. No services are required for the low‐ end and mid‐range computer equipment.  (2) The purchase, initial installation and configuration of high‐end enterprise class  servers, storage, and data network connectivity equipment, including the software  required for the operation of the equipment.  (3) The purchase, initial installation and configuration, and maintenance of mainframe  equipment, including the software required for the operation of the equipment.  (4) Hardware Maintenance. After the expiration of the Manufacturer Warranty, LADWP  may purchase maintenance for hardware from the original manufacturer or non‐ manufacturer vendors. Any non‐manufacturer vendor must show at least five years  of experience maintaining and servicing manufacturer equipment. Only OEM  replacement parts will be accepted. In the event that OEM parts are no longer  available, the Contractor may use non OEM parts only after getting written  permission from LADWP.    There is no guaranteed dollar amount that will be expended against this Agreement. No  Contractor is guaranteed that it will obtain any business, and LADWP may choose to  purchase equipment outside this Agreement at any time. Additionally, Contractors  awarded an Agreement are not be required to bid on all or any of the subsequent  Requests for Bids (RFBs). Being awarded an Agreement allows each Contractor an  opportunity to participate in responding to a RFB for computer equipment and  maintenance.  The Contractors are encouraged to negotiate with manufacturers who  normally sell their products to resellers, to become authorized resellers for any  computer equipment required by the Department. After negotiation with the  manufacturer, the successful Contractor is required to show proof of authorization.  III‐1   

  3.2 Request for Bid Process ‐ Contractors receiving an Agreement as a result of this RFP will  be invited to participate in the bidding process for computer equipment and  maintenance for the term of the Agreement.  LADWP will solicit Requests for Bids (RFBs)  from the successful Contractors (henceforth, “bidder(s)”) on this Agreement via email  notifications. Bidders have five (5) working days to respond to the bids, and they should  respond through LADWP’s Electronic Request‐Solicit‐Procure (eRSP) System. All bidders  are required to be registered in the LADWP’s eRSP System. LADWP’s purchasing agent  receives the bids and performs bid evaluations and comparisons based on price. RFBs  will be awarded to the Contractor with the lowest overall cost. Once a RFB is awarded,  the LADWP will mail a hard copy and email a softcopy of the sub‐purchase order to the  successful Contractor. By using this bid process, LADWP expects to purchase computer  equipment and maintenance at the best possible prices.  Bidders are expected to adjust  hardware prices to reflect lowest competitive prices within hardware market for  comparable products, i.e. California Multiple Awards Schedules (CMAS), General  Services Administration (GSA), etc. Resellers are prohibited from working directly with a  LADWP end user in the creation of specifications for computer equipment.  End users  are to obtain specifications directly from the manufacturer.    3.3 Deliverables – The Contractor shall:  3.3.1 Deliver equipment or maintenance for these products ordered by LADWP within  the following categories:  3.3.1.1 Enterprise servers, workgroup servers, entry‐level servers, storage,  Storage Area Network (SAN), and mainframe equipment.  3.3.1.2 Workstations, personal computers, laptops, tablets and toughbooks  with operating system software.  3.3.1.3 Enterprise and workgroup printers/plotters/scanners.  3.3.1.4 Other computer peripherals, including but not limited to printers,  plotters, monitors, and other specialized computer equipment.  3.3.1.5 Data network connectivity equipment.  3.3.1.6 Maintenance for existing equipment.    A comprehensive list of potential equipment and maintenance to be acquired  via this RFP is included as Appendix B, Cost Work Sheet.    3.3.2 Deliver products within the following schedule:  3.3.2.1 All stock items (e.g. DVD drives, mice, keyboards, etc.) in five (5)  business days.  3.3.2.2 All preconfigured/preloaded systems (e.g. workstations, laptops,  tablets, toughbooks, servers, etc.) in fifteen (15) business days.  3.3.2.3 Data network connectivity equipment in fifteen (15) business days.  3.3.2.4 All high‐end equipment (e.g. SAN, enterprise server, mainframe  equipment, etc.) in thirty (30) business days.  Installation and  configuration of high end equipment may extend past 30 days.  Delivery  will not be considered complete until services have been completed. An  invoice cannot be submitted before services are complete. 

III‐2   

3.3.3 3.3.4

3.3.5 3.3.6

3.3.7

3.3.8 3.3.9

3.3.10

3.3.11

3.3.12

3.3.13 3.3.14

3.3.15

3.3.2.5 All maintenance for existing equipment shall be placed into effect  within three (3) days of receipt of the sub‐purchase order and proof of  coverage shall be delivered in fifteen (15) days.  3.3.2.6 Any items that are backordered or that cannot be delivered in these  timeframes must have the actual delivery date on the bid response.  Register and deliver associated licenses for ordered hardware and maintenance  in the name of LADWP.  All equipment must come with at least a one‐year warranty for next business  day, on‐site service and maintenance of the system unit. All included warranty  service must be provided by a manufacturer’s authorized service representative.   LADWP may choose a longer initial warranty period or faster time to repair at  the time of purchase.  Register and deliver warranty certificates for ordered hardware and  maintenance in the name of LADWP.  Activate and register any equipment/software warranty upon delivery to  LADWP and provide this data in Microsoft Excel 2010 format to the Contract  Administrator via email within ten (10) days of equipment delivery.  May work with the Contractor to preload a system image on PCs, workstations,  laptops, and/or toughbooks. LADWP is responsible for generating and providing  the image.   Adjust hardware prices to reflect lowest competitive prices within hardware  market for comparable products, i.e. CMAS, GSA, etc.  Provide a Microsoft Excel 2010 file including manufacturer name, model, serial  number, and warranty data that can be uploaded without modification into the  LADWP’s asset management system, within ten (10) days of order. Refer to  Exhibit M, Report Data Elements and Monthly Subcontractor Utilization Form,  to the Draft Agreement contained in Section Four for detail formats.  Provide ad hoc reporting related to purchased items for the term of the  Agreement, as needed by Contract Administrator. LADWP may end up requiring  these ad hoc reports to be provided on a regular basis (weekly, bi‐weekly,  monthly, bi‐monthly, semi‐annually, or annually) based on operational needs.  Provide a local company representative to be LADWP's single‐point‐of‐contact.  LADWP will require the local representative to attend meetings to discuss  corrective action needed for any Service Level Agreement (SLA) violation.  Provide new replacement equipment or parts, at no cost to LADWP, for any  equipment that is defective upon delivery to LADWP within ten (10) business  days of notification.  Provide an invoice for every packing slip.  Provide an invoice that contains the following information: Vendor Name,  Address, Phone Number, Fax Number, Email Address, Business Tax Registration  (BTRC) Number, Invoice Number, Invoice Date, Discount Terms (if applicable),  Department Purchase Order Number, Purchase Order Date, Contact Information  for the Department (with an Attention to the Contract Administrator),  Description of Item, Serial Number(s), Quantity, Unit Price, Total Amount, Taxes,  and any other required Contractor information (see Exhibit G, Invoice Data  Elements, of the Draft Agreement (Section Four)).  Provide a copy of the invoice to the Contract Administrator and Accounts  Payable.  III‐3   

3.3.16 Deliver equipment at no cost to LADWP.  3.3.17 Provide manufacturer authorized installation and configuration for high‐end  enterprise class servers and storage and mainframe equipment as requested in  the RFB.    3.4 Contractor Meetings ‐ Each Contractor is required to send a representative to attend  meetings at 111 North Hope St., Los Angeles, California 90012 during normal business  hours, to discuss issues, potential problems and ways to improve the process of the  Agreement. Meetings will be held every two (2) months and scheduled at least two (2)  weeks in advance. Any Contractor not in attendance  or represented at a meeting will be  contacted by the Contract Administrator. All subsequent absences will result in the  Contractor being excluded from all RFBs until attending a meeting.  Any Contractor who  misses four (4) Contractor meetings may be terminated from the Agreement. A  Contractor may request to attend the meeting via  conference call as long as the  Contractor provides Contract Administrator five (5) days advanced notice of the request.    3.5 Service Level Agreement (SLA) ‐ The Contractor shall meet the following minimum  service levels. If these service levels are not maintained, consequences ranging from  corrective documentation to possible termination from the Agreement may result.   Contractors are expected to meet SLA requirements every month in the following three  areas: equipment delivery, invoicing, and reports. Each area will be counted separately  when the SLA requirements are not met. A Contractor can therefore accumulate three  (3) violations in a single month – one in each of the areas.    3.5.1 Equipment Delivery  3.5.1.1 Requirement ‐ All equipment will be delivered on or before the delivery  date reflected on the bid. Replacement equipment for defective  deliveries will be received within ten (10) working days of notification.  No partial deliveries will be accepted unless approved by the Contract  Administrator. All equipment deliveries must be accompanied by a  packing slip.  3.5.1.2 Violations ‐ Any combination of equipment received three (3) or more  days late and worth $5,000 or more will count as a violation of the SLA.   Any equipment received more than ten (10) business days late will  count as a violation of the SLA.  Any vendor who has the manufacturer  provide proof to the Contract Administrator via fax or email that late  equipment order was placed within 48‐hours of receiving the purchase  order will have the equipment excluded from the violation calculation.  This notification must be received within five (5) business days of the  original expected delivery date.    3.5.2 Invoicing  3.5.2.1 Requirement ‐ Invoices will be delivered for every packing slip. All  invoices will include all the information contained in Exhibit G, Invoice  Data Elements, of the Draft Agreement (Section Four). Invoice  corrections will be received within five (5) business days of notification.  Invoices must exactly match all line items on the sub‐purchase order.    III‐4   

3.5.3

3.5.4

  3.5.5

No invoices should be submitted until all items on the invoice have been  delivered and received. If invoice date is prior to delivery date, the  delivery date will be used as the Invoice Received Date.    If invoices are received for partial shipment, the last delivery date will  be used as the Invoice Received Date.    3.5.2.2 Violation ‐ Any Contractor who has three (3) or more invoices in a  month that do not meet the requirements will count as one violation of  the SLA.     Reports  3.5.3.1 Requirement – All Contractors shall submit electronically Purchase  Order Report, Invoice Report, and Asset Inventory Information Report  to the Contract Administrator on a twice per month basis as described  in Section 5.0, Reporting.  These reports shall be due on the 5th and 20th  of each month. Should the due dates fall on a Saturday, Sunday, or a  Holiday, the Contractor shall submit the reports by the following  business day.    3.5.3.2 Violation ‐ Any report that is incomplete or received after the due dates  will be counted as a violation of the SLA.    Violation Correction  All SLA violations are expected to be corrected as soon as possible. Uncorrected  violations will be counted as a violation in subsequent months until corrected.  Contractors will have a grace period of 10‐business day before uncorrected  violations are accumulated in a new month (e.g., an uncorrected violation  reported on September 15, 2014 would be counted as a violation for October on  October 1, 2014. An uncorrected violation that is reported on September 30,  2014 would not be counted as a SLA violation until October 15, 2014).  Probation Consequences  Contractors will be notified via email by the Contract Administrator whenever  they are in violation of the SLA. 

  Contractor with three (3) violations in any three‐month period will be  considered on probation.     Contractors placed on probation will be required to attend a meeting with the  Contract Administrator to discuss how they are addressing the problem(s) and  to produce documentation indicating how they will remedy their SLA  violation(s).    The first probation status will be cleared after three (3) consecutive months  with no SLA violations.  Any contractor who is placed on probation a second  time will remain on probation for the duration of the Agreement.    III‐5   

Contractors on probation who receive another violation will be suspended from  the bidding process and required to attend a meeting with the Contract  Administrator to discuss how they are addressing the problem(s) and to  produce documentation indicating how they will remedy their SLA violation(s).  The suspension will be for two (2) months for the first offense, four (4) months  for the second offense and may be made permanent for the third offense.  Contractors will be sent via registered mail by the Contract Administrator  indicating the length of time they are suspended from bidding and when they  may resume bidding.    Suspension Duration    Offense              1st               2nd                3rd   Possibly  Suspension  2 Months  4 Months  Permanent    The consequences of violations described above are summarized in the  following table.     Status  Qualifier  Consequence  Less than 3 total violations in  email reminder from Contract  Good  previous 3 months  Administrator explaining  violation  Contractor placed on Probation  3 or more violations in  for 3 months. Onsite meeting  previous 3 months but never  with Contract Administrator to  on probation previously  Fair  document how the violation will  be fixed and how to avoid future  violations  Contractor placed on Probation  3 or more violations in  for duration of agreement.  previous 3 months but has  been on probation previously  Onsite meeting with Contract  Poor  Administrator to document how  the violation will be fixed and  how to avoid future violations  1st month in violation while on  2 months suspension from  probation  bidding process. Onsite meeting  Probation 1  with Contract Administrator to  document corrective action  2nd month in violation while on  4 months suspension from  probation  bidding process. Onsite meeting  Probation 2  with Contract Administrator to  document corrective action  rd 3  month in violation while on  Possibly permanently removed  Probation 3  probation  from agreement   

III‐6   

4.0 Dynamic Hardware List – LADWP maintains a Hardware Standards List which specifies the  equipment listed allowable for purchase under the contract established through this RFP. A  Standards Committee meets regularly to update the Standards List as technology changes.  The equipment that may be purchased via this contract will change over time. Contractors  selected to participate in the bid process under this contract will be provided the current  Standards List via email. The contractor(s) shall not restrict LADWP to a single manufacturer  or type of equipment. LADWP expects to have access to any equipment the contractor is  authorized to resell.     5.0 Reporting ‐ The Contractor(s) are required to provide the Department with Purchase Order  Report, Invoice Report, and Asset Inventory Information Report on a twice per month basis  in Excel 2010 format. The reports are due on the 5th and 20th of each month. Should the due  dates fall on a Saturday, Sunday, or a Holiday, the Contractor shall submit the reports by the  following business day. The Contractor shall include in these reports the report data  elements as specified in Exhibit M, Report Data Elements and Monthly Subcontractor  Utilization Form, to the Draft Agreement contained in Section Four and shall demonstrate  the progress and compliance with the requirements, and present any problems they may  have encountered.     The Contractor(s) shall submit to the Contract Administrator on a monthly basis, by the 5th  of each month, the Los Angeles Department of Water and Power – Monthly Subcontracting  Utilization Report. A blank Monthly Subcontractor Utilization for is contained in Exhibit M,  Report Data Elements and Monthly Subcontractor Utilization Form, to the Draft Agreement  contained in Section Four.    Additionally, the Contractor(s) must submit electronically the final Purchase Order Report,  Invoice Report, and Asset Inventory Information Report reports to the Contract  Administrator within 15 calendar days from the contract expiration date. The elements to  be included in these final reports shall be the same as the reports, which are specified in  Exhibit M, Report Data Elements and Monthly Subcontractor Utilization Form, to the Draft  Agreement contained in Section Four of this RFP.           END OF SECTION THREE

III‐7   

                    SECTION FOUR  DRAFT AGREEMENT                           

 

   

AGREEMENT FOR COMPUTER EQUIPMENT AND MAINTENANCE

Dated _____________ Agreement No.: XXXXX-X

Rev. 03/14/14

TABLE OF CONTENTS 1. 

DEFINITIONS ....................................................................................................................... 1  a)  “Authorized Subcontractor”............................................................................................... 1  b)  “Background Technology” ................................................................................................. 1  c)  “Board” .............................................................................................................................. 1  d)  “Change Order” ................................................................................................................. 1  e)  “Confidential Information” ................................................................................................ 1  f)  “Contract Administrator” .................................................................................................. 1  g)  “Contractor’s Quality Assurance Program” ..................................................................... 1  h)  “Deliverables”.................................................................................................................... 1  i)  “LADWP Work Product” ................................................................................................... 1  j)  “Developed Software” ........................................................................................................ 1  k)  “Disclosing Party” ............................................................................................................. 1  l)  “Documentation” ............................................................................................................... 1  m)  “Effective Date” ................................................................................................................. 2  n)  “Error” ............................................................................................................................... 2  o)  “Escrow Agent” .................................................................................................................. 2  p)  “Escrow Agreement” .......................................................................................................... 2  q)  “Escrow Materials”............................................................................................................ 2  r)  “Existing Software” ............................................................................................................ 2  s)  “Fees”................................................................................................................................. 2  t)  “Force Majeure” ................................................................................................................ 2  u)  “Hardware”........................................................................................................................ 2  v)  “Hardware Maintenance” .................................................................................................. 2  w)  “Indemnified Parties” ........................................................................................................ 2  x)  “Invention” ......................................................................................................................... 2  y)  “Invoice” ............................................................................................................................ 2  z)  “Job Cost Report” .............................................................................................................. 2  aa)  “Maintenance” ................................................................................................................... 3  bb)  “Object Code” .................................................................................................................... 3  cc)  “Prior Work Product” ........................................................................................................ 3  dd)  “Project Plan” .................................................................................................................... 3  ee)  “Proprietary Rights” .......................................................................................................... 3  ff)  “Receiving Party” .............................................................................................................. 3  gg)  “Response” ......................................................................................................................... 3  hh)  “RFP” ................................................................................................................................. 3  ii)  “Schedule”.......................................................................................................................... 3  jj)  “Services” ........................................................................................................................... 3  kk)  “Shrink-Wrap Agreement” ................................................................................................. 3  ll)  “Software” .......................................................................................................................... 3  mm) “Software Maintenance” .................................................................................................... 3  nn)  “Source Code”.................................................................................................................... 3  oo)  “Specifications”.................................................................................................................. 3  pp)  “Statement of Work”........................................................................................................... 3  qq)  “Task Assignment” ............................................................................................................. 3  i

rr)  ss)  tt)  uu) 

“Tasks” ............................................................................................................................... 3  “Update” ............................................................................................................................ 3  “Viruses” ............................................................................................................................ 4  “Work Product”.................................................................................................................. 4 

a)  b)  c)  d)  e)  f)  g) 

DELIVERABLES. .................................................................................................................. 4  Services ............................................................................................................................... 4  Hardware ............................................................................................................................. 4  Software. ............................................................................................................................. 4  Documentation .................................................................................................................... 4  Authorized Subcontractors.................................................................................................. 4  Site Visits by Contractor ..................................................................................................... 4  Permits ................................................................................................................................ 4 

2. 

3. 

CHANGE ORDER PROCESS. ................................................................................................ 4  a)  Process ................................................................................................................................ 4  b)  No Obligation...................................................................................................................... 5 

4. 

PACKING AND SHIPMENT. .................................................................................................. 5  a)  Packing................................................................................................................................ 5  b)  Packing Sheets .................................................................................................................... 5 

5. 

DELIVERY ........................................................................................................................... 5 

6. 

SUBSTITUTIONS AND QUALITY. .......................................................................................... 5  a)  Substitutions........................................................................................................................ 5  b)  Quality................................................................................................................................. 5  c)  Drawing Quality.................................................................................................................. 6  d)  Professional Licensure and Certification ............................................................................ 6 

7.  a)  b)  c)  d)  e) 

DELIVERY, INSPECTION, ACCEPTANCE AND REJECTION. ................................................ 6  Delivery............................................................................................................................... 6  Inspection ............................................................................................................................ 6  Acceptance and Rejection ................................................................................................... 6  Quality Program .................................................................................................................. 6  Facilities .............................................................................................................................. 7 

SAMPLES ......................................................................................................................................... 7  SAFETY AND ACCIDENT PREVENTION ........................................................................................... 7  10.  a)  b)  c)  d)  e) 

PERSONNEL. ........................................................................................................................ 7  Information ......................................................................................................................... 7  Capacity .............................................................................................................................. 7  Identification ....................................................................................................................... 7  Approval ............................................................................................................................. 7  Control ................................................................................................................................ 8 

11. 

FORCE MAJEURE ................................................................................................................ 8 

FEES, INVOICES AND PAYMENT. .................................................................................................... 8  a)  Fees ..................................................................................................................................... 8  b)  Travel and Costs ................................................................................................................. 8  ii

c)  d)  e)  f)  g)  h) 

Invoices ............................................................................................................................... 8  Payment............................................................................................................................... 8  Tax Registration Certificate ................................................................................................ 9  Taxpayer Identification Number (“TIN”) ........................................................................... 9  Third Party Claims .............................................................................................................. 9  Most Favored Customer ...................................................................................................... 9 

13.  a)  b)  c)  d)  e)  f)  g)  h) 

TERM AND TERMINATION. ................................................................................................. 9  Term .................................................................................................................................... 9  Termination without Cause ................................................................................................. 9  Termination for Material Breach ........................................................................................ 9  Disqualification ................................................................................................................. 10  Remedies Not Exclusive ................................................................................................... 10  Right of Offset .................................................................................................................. 10  Suspension of Work .......................................................................................................... 10  Errors and Omissions ........................................................................................................ 10 

14. 

TAXES ............................................................................................................................... 11 

15. 

NEWLY MANUFACTURED DELIVERABLES ....................................................................... 11 

16.  a)  b)  c) 

RECORDS AND AUDIT. ...................................................................................................... 11  Records and Audits ........................................................................................................... 11  Progress Reports ............................................................................................................... 11  Right to Review ................................................................................................................ 11 

17.  a)  b)  c)  d)  e)  f)  g)  h) 

RIGHTS IN WORK PRODUCT AND LICENSES. ................................................................... 11  Disclosure of Work Product.............................................................................................. 11  Background Technology and Inventions .......................................................................... 12  Assignment and License ................................................................................................... 12  Waiver or Assignment of Rights....................................................................................... 12  Continuing Assurances and Enforcement ......................................................................... 12  Future Development.......................................................................................................... 13  Existing Software License ................................................................................................ 13  Documentation License .................................................................................................... 13 

18.  a)  b)  d)  e)  f) 

CONFIDENTIAL INFORMATION AND SOURCE CODE ESCROW......................................... 13  Protection .......................................................................................................................... 13  Protection of Confidential Information ............................................................................. 13  Exceptions ......................................................................................................................... 14  Return of Confidential Information .................................................................................. 15  Escrow............................................................................................................................... 15 

19.  a)  b)  c)  d)  e) 

INTELLECTUAL PROPERTY AND DELIVERABLES INDEMNITY......................................... 15  Statement of Indemnity ..................................................................................................... 15  Control .............................................................................................................................. 15  Bonds ................................................................................................................................ 15  Claims and Remediation ................................................................................................... 16  Use of Funds ..................................................................................................................... 16 

20. 

MAINTENANCE AND SUPPORT. ......................................................................................... 16  iii

a)  b)  c)  d) 

Hardware Maintenance ..................................................................................................... 16  Software Maintenance ...................................................................................................... 16  Failure to Provide Maintenance ........................................................................................ 16  Availability ....................................................................................................................... 16 

21.  a)  b)  c)  d)  e) 

WARRANTIES. ................................................................................................................... 16  Deliverables ...................................................................................................................... 16  Services ............................................................................................................................. 17  General. Contractor represents and warrants that ............................................................ 17  Viruses .............................................................................................................................. 17  Disclaimer ......................................................................................................................... 17 

22. 

LIMITATION OF LIABILITY ............................................................................................... 17 

23. 

SURVIVAL AND ORDER OF PRECEDENCE ......................................................................... 18 

24.  a)  b)  c)  d)  e)  f)  g)  h)  i)  j)  k)  l)  m) 

GENERAL. ......................................................................................................................... 18  Governing Law ................................................................................................................. 18  Attorneys’ Fees ................................................................................................................. 18  Forum ................................................................................................................................ 18  Injunctive Relief................................................................................................................ 18  Notices .............................................................................................................................. 18  Agency .............................................................................................................................. 19  Waiver ............................................................................................................................... 19  Severability ....................................................................................................................... 19  Headings ........................................................................................................................... 19  Assignment ....................................................................................................................... 19  Counterparts ...................................................................................................................... 19  Relationship of the Parties ................................................................................................ 19  Entire Agreement .............................................................................................................. 19 

EXHIBIT A - STATEMENT OF WORK EXHIBIT B – STANDARD PROVISIONS EXHIBIT C – ESCROW AGREEMENT EXHIBIT D – CONTRACTOR’S QUALITY ASSURANCE PROGRAM EXHIBIT E – BACKGROUND TECHNOLOGY EXHIBIT F – CONTRACT INSRUANCE REQUIREMENTS EXHIBIT G - INVOICE CRITERIA EXHIBIT H – PRIOR WORK PRODUCT EXHIBIT I - HARDWARE MAINTENANCE EXHIBIT J - SOFTWARE MAINTENANCE EXHIBIT K - RIGHT TO AUDIT CLAUSE EXHIBIT L – BI-MONTHLY REPORT DATA iv

AGREEMENT FOR INFORMATION TECHNOLOGY PRODUCTS & SERVICES THIS AGREEMENT FOR INFORMATION TECHNOLOGY PRODUCTS & SERVICES (“Agreement”), is entered into this __ day of _________, 20__ by and between the LOS ANGELES DEPARTMENT OF WATER AND POWER (the “LADWP”), acting by and through the BOARD OF WATER AND POWER COMMISSIONERS (Board), and [Correct Name], a [State] [corporation/limited liability company/partnership/sole proprietorship/other] with a principal place of business at ______________________________ (“Contractor”). For good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereby agree as follows: 1. DEFINITIONS. Capitalized terms used in this Agreement shall have the following meanings: a) “Authorized Subcontractor” shall mean a subcontractor or service provider of Contractor who has been approved by the LADWP beforehand and in writing to carry out any part of Contractor’s obligations under this Agreement. b) “Background Technology” shall have the meaning assigned to it in Subsection 17(b) (“Background Technology and Inventions”). c) “Board” shall mean Board of Water and Power Commissioners. d) “Change Order” shall have the meaning assigned to it in SECTION 3 (“CHANGE ORDER PROCESS”). e) “Confidential Information” shall have the meaning assigned to it in Subsection 18(a) (“Protection”). f) “Contract Administrator” shall mean the LADWP’s representative who has been identified as such from time to time by the LADWP, and who shall have authority to act for the LADWP under this Agreement.

g) “Contractor’s Quality Assurance Program” shall mean that program, if any, described as such in EXHIBIT D (“CONTRACTOR’S QUALITY ASSURANCE PROGRAM”). h) “Deliverables” shall mean collectively all items provided or to be provided by Contractor hereunder, including without limitation all Hardware, Software and Services. i) “LADWP Work Product” shall have the meaning assigned to it in Subsection 17(a) (“Disclosure of Work Product”). j) “Developed Software” shall mean Software, in both Object Code and Source Code formats, which is not Existing Software, and which is identified as such in a Statement of Work. k) “Disclosing Party” shall have the meaning assigned to it in Subsection 18(a) (“Protection”). l) “Documentation” shall mean all information reasonably necessary or desirable, or as described in a Statement of Work, to be provided to Contractor by the LADWP which describes the form, features or operation of the Deliverables and which is contained in a tangible medium, such as written format, tape, 1

magnetic or other media, and including without limitation all Updates of Documentation and Documentation which the LADWP may require at any time. m) “Effective Date” shall mean the first date upon which all of the following shall have occurred: (a) this Agreement has been signed on behalf of the Contractor by the person(s) authorized to bind the Contractor hereto; (b) this Agreement has been approved by the City’s Council or by the Board, inclusive of City Council review period, officer or employee authorized to give such approval; (c) the Office of the City Attorney has indicated in writing its approval of this Agreement as to form and legality; and (d) this Agreement has been signed by the on behalf of the Department by the person designated by the Board, officer or employee authorized to enter into this Agreement. n) “Error” shall mean any material failure of any Deliverable to conform with its Specifications. o) “Escrow Agent” shall have the meaning assigned to it in Subsection 18(e) (“Escrow”). p) “Escrow Agreement” shall mean a written agreement in substantially the form and format as described in EXHIBIT C (“ESCROW AGREEMENT”).

q)

“Escrow Materials” shall have the meaning assigned to it in Subsection 18(e) (“Escrow”). r) “Existing Software” shall mean that Software, in Object Code format (but subject to Subsection 18(e) (“Escrow”)), which exists as of the Effective Date, and which is identified as such in a Statement of Work, and including Documentation and Updates.

s) “Fees” shall mean those amounts to be paid to Contractor hereunder, and which are described as such in the Statement of Work. t) “Force Majeure” shall have the meaning assigned to it in SECTION 11 (“FORCE MAJEURE”). u) “Hardware” shall mean any and all hardware, machines, devices, computers, or similar equipment described as such in a Statement of Work, including without limitation all associated supplies, materials and spare parts. v) “Hardware Maintenance” shall have the meaning assigned to it in Subsection 20(a) (“Hardware Maintenance”). w) “Indemnified Parties” shall have the meaning assigned to it in SECTION 19 (“INTELLECTUAL PROPERTY AND DELIVERABLES INDEMNITY”). x) “Invention” shall mean any and all trade secrets, inventions, mask works, ideas, processes, formulae, Source Codes, Object Codes, data, programs, other works of authorship, know-how, improvements, discoveries, developments, designs and techniques existing as of the Effective Date or coming into existence thereafter. y) “Invoice” shall have the meaning assigned to it in Subsection 12 (c) (“Invoices”). z) “Job Cost Report” shall mean detailed, written or electronic records of the Contractor which describe fully Contractor’s costs in its performance under this Agreement, and including all periodic and cumulative amounts to date of revenue, costs, gross profit and billing information against bid projected costs, and sub-accounts for the different types of all cost categories.

2

aa) “Maintenance” shall mean: (i) Hardware Maintenance; and (ii) Software Maintenance. bb) “Object Code” shall mean computer software programs, not readily perceivable by humans, and which are suitable for machine execution without the intervening steps of interpretation or compilation. cc) “Prior Work Product” shall have the meaning assigned to it in Subsection 17(a) (“Disclosure of Work Product”). dd) “Project Plan” shall mean that portion of the SOW specifying the Deliverables and the Schedule (including without limitation all start and end dates for all Tasks). ee) “Proprietary Rights” shall have the meaning assigned to it in Subsection 17(c) (“Assignment and License”). ff) “Receiving Party” shall have the meaning assigned to it in Subsection 18(a) (“Protection”). gg) “Response” shall mean Contractor’s written response to the RFP. hh) “RFP” shall mean the LADWP’s “Request for Proposal”, number __________. ii) “Schedule” shall mean the schedule of Deliverables, dates and Fees described as such in a Statement of Work. jj) “Services” shall mean collectively, the Tasks described in each Statement of Work. kk) “Shrink-Wrap Agreement” shall mean any form of license or other agreement included with any Deliverables hereunder, and including without limitation any embedded “click-wrap” license agreement, or any license agreement which is presented under shrinkwrap or other plastic coverings the removal of

which may be deemed to effect agreement with the terms of such license agreement. ll) “Software” shall mean collectively: (i) Existing Software; and (ii) Developed Software, and in all cases including all Documentation. mm) “Software Maintenance” shall have the meaning assigned to it in Subsection 20(b) (“Software Maintenance”). nn) “Source Code” shall mean computer software programs not in machine readable format and which is not suitable for machine execution without the intervening steps of interpretation or compilation. oo) “Specifications” shall mean collectively all operational, functional or other specifications with respect to any Deliverables, including without limitation all Documentation and those specifications described as such in the Statement of Work and the Response. pp) “Statement of Work” shall mean the description of the work to be carried out by Contractor, the Deliverables to be provided by Contractor, the Schedule to be met by Contractor, and the Fees to be paid, and contained in the format described in EXHIBIT A (“STATEMENT OF WORK”). qq) “Task Assignment” shall mean a written description of work activity provided by the LADWP describing work to be carried out by Contractor, and consisting of at least one (1) Task and an associated Fee. rr) “Tasks” shall mean the smallest units of work activity described under each Statement of Work. ss) “Update” shall mean any modification of or addition to the Software or Documentation, including without limitation all new releases, versions, sub-versions, 3

corrections, “patches” and maintenance releases, which Contractor may prepare, obtain, or have prepared at any time. tt) “Viruses” shall have the meaning assigned to it in Subsection 21(d) (“Viruses”). uu) “Work Product” shall have the meaning assigned to it in SECTION 17 (“RIGHTS IN WORK PRODUCT AND LICENSES”). 2.

DELIVERABLES.

a) Services. Contractor shall perform Services, strictly in accordance with each Statement of Work. b) Hardware. Contractor shall prepare and deliver to the LADWP all Hardware, strictly in accordance with each Statement of Work, all Hardware. c)

Software.

(i) Existing Software. Contractor shall provide Existing Software according to the Statement of Work, but in no event later than the delivery of any Developed Software with which such Existing Software is to be integrated pursuant to such Statement of Work. (ii) Developed Software. Contractor shall prepare and deliver to the LADWP all Developed Software, strictly in accordance with each Schedule. d) Documentation. Contractor shall prepare and deliver to the LADWP all Documentation, strictly in accordance with each Schedule. e) Authorized Subcontractors. With prior approval of the LADWP, the Contractor may enter into contracts and agreements with Authorized Subcontractors for the

performance of portions of this Agreement. The Contractor shall at all times be responsible for the acts, errors or omissions of its Authorized Subcontractors and persons directly or indirectly employed by them. Nothing in this Agreement shall constitute any contractual relationship between any others and the LADWP or any obligation on the part of the LADWP to pay, or to be responsible for the payment of, any sums to any Authorized Subcontractors or any other third party. No such Authorized Subcontractor shall be a third party beneficiary of this Agreement. Upon written request from the Contract Administrator, the Contractor shall promptly supply the LADWP with all subcontractor agreements. f) Site Visits by Contractor. All visits by Contractor to the LADWP’s facilities must have prior approval by the Contract Administrator. Visiting Contractor representatives must carry LADWP-issued identification badges, and conform to such security, safety and other requirements as the LADWP may from time to time impose. g) Permits. The Contractor and its Authorized Subcontractors, officers, agents and employees shall obtain and maintain all permits and licenses necessary for the Contractor’s performance hereunder and shall pay any third-party fees required therefor. 3.

CHANGE ORDER PROCESS.

a) Process. Unless expressly agreed to otherwise in a Statement of Work, the Specifications, the Schedule and the Fees are as described in such Statement of Work, and shall not be changed without the prior, written consent of the LADWP. Provided, however, that in the event that the LADWP wishes to change the Specifications or the Schedule, then the LADWP shall so notify the Contractor in writing, describing the changes to be made. The Contractor shall respond to 4

such notification promptly in writing (and in no event later than ten (10) days thereafter) describing any increase in Fees which the Contractor seeks with respect to such changes. If thereafter agreed to by the parties, the parties shall record their agreement with respect to such changes, and increase in Fees (if any) in a written change order (“Change Order”), to be signed by the parties, and which will amend this Agreement. Invoices for Fees pursuant to Change Orders will be identified and issued separately from other Invoices. b) No Obligation. EXCEPT AS PROVIDED IN THIS SECTION 3 (“CHANGE ORDER PROCESS”), THE LADWP SHALL HAVE NO OBLIGATION TO PAY, AND SHALL NOT PAY, ANY INCREASE IN FEES REGARDLESS OF ANY ADDITIONAL WORK CARRIED OUT UNDER THIS AGREEMENT BEYOND THAT WHICH IS EXPRESSLY DESCRIBED IN EACH STATEMENT OF WORK. 4.

PACKING AND SHIPMENT.

a) Packing. Contractor agrees to pack all Deliverables to be shipped hereunder in suitable containers for protection in shipment and storage, and in accordance with applicable Specifications. Each container of a multiple container shipment shall be identified so as to: (i) conspicuously show the number of the container and the total number of containers in the shipment; and (ii) conspicuously show the number of the container in which the packing sheet has been enclosed; and (iii) conspicuously show such other information as the LADWP may from time to time require.

b) Packing Sheets. All shipments of Deliverables by Contractor or its Authorized Subcontractors must include written packing sheets identifying: the Agreement number, the purchase order, item number; quantity and unit of measure; part number and description of the Deliverables shipped; and appropriate evidence of inspection, if required by the LADWP. Only Deliverables under this Agreement shall be listed on any particular packing sheet, and items under any other contracts between the LADWP and Contractor shall not be included thereon. 5. DELIVERY. Contractor shall strictly adhere to the Schedule specified in this Agreement. Time shall be of the essence of Contractor’s performance under this Agreement. Time, if stated as a number of days, shall mean calendar days unless otherwise specified. The quantities of Deliverables specified herein are the only quantities required. If Contractor delivers in excess of the quantities of Deliverables specified herein, the LADWP shall not be required to make any payment for the excess Deliverables, and may at the LADWP’s discretion dispose of such excess Deliverables, return such excess Deliverables to Contractor at Contractor’s expense and risk, or make such excess Deliverables available for pick-up by Contractor. 6.

SUBSTITUTIONS AND QUALITY.

a) Substitutions. Substitution of any other goods or services for Deliverables called for in any Statement of Work may not be tendered without the prior, written consent of the Contract Administrator. Contractor shall not use any specification in lieu of the Specifications contained in each Statement of Work without the prior, written consent of the LADWP. b) Quality. The Contractor’s work shall reflect competent professional knowledge, 5

judgment, and accepted industry practice. Subject to SECTION 13 (“TERM AND TERMINATION”), the Contractor shall promptly correct, or remedy any work, errors, or omissions, at its sole expense, which do not conform to the provisions of this Agreement. c) Drawing Quality. Drawings provided for in any Statement of Work shall belong solely to the LADWP, and shall conform to the best standards of the drafting profession. Information in all such drawings shall be organized in a logical, systematic manner, shall be legible and clear, and shall fully conform with such Statement of Work.

inspection and delivery at no cost to the LADWP. In the event of any failure of such Deliverables to so fully comply with any of the foregoing (each such condition to be considered an “Error”), the LADWP may, at its discretion and upon notice, reject any or all such Deliverables. In such case, Contractor shall within forty-eight (48) hours of such notice remove all such Deliverables from the LADWP’s premises (at Contractor’s sole expense), and replace such Deliverables with conforming Deliverables promptly (and in no event later than five (5) business days thereafter).

a) Delivery. Contractor shall deliver all Deliverables according to the Schedule to such addresses as may be from time to time specified by the LADWP.

c) Acceptance and Rejection. Upon the completion of the inspection and testing described in Subsection 7(b) (“Inspection”), the LADWP shall inform Contractor of whether the corresponding Deliverables are accepted by the LADWP. Any failure of the LADWP to provide such notice within sixty (60) days of delivery shall be deemed a rejection thereof. The Contractor shall remove all rejected Deliverables promptly, and in no event later than five (5) days after such rejection. The LADWP shall be free to dispose of any Deliverables which are not so removed. Acceptance of Deliverables shall not be construed to waive any warranty rights that the LADWP might have at law or by this Agreement.

b) Inspection. The LADWP shall have a reasonable period, in no event less than thirty (30) days, commencing with the date of delivery of each shipment of Deliverables to inspect and test such Deliverables to ensure that such Deliverables fully conform to this Agreement, fully conform to their Specifications, fully conform to their Documentation, and fully comply with all representations and statements made by Contractor with respect thereto (including, without limitation, any corresponding Response). Contractor shall fully cooperate and assist the LADWP in the course of such

d) Quality Program. If so provided in EXHIBIT D (“CONTRACTOR’S QUALITY ASSURANCE PROGRAM”), Contractor and its Authorized Subcontractors will provide and maintain such Contractor’s Quality Assurance Program throughout the Term of this Agreement. Contractor will keep records evidencing related quality inspections and their result, and will make such records available to the LADWP upon request throughout the Term and for three (3) years thereafter. Contractor shall permit the LADWP to review procedures, practices, processes, and related documents to determine

d) Professional Licensure and Certification. If so provided in the RFP, drawings shall be signed and sealed by professional engineers and architects with appropriate legal registration. To the extent that professional certification is required given the scope of work, said certification shall be provided with Response. 7.

DELIVERY, INSPECTION, ACCEPTANCE AND REJECTION.

6

the acceptability of Contractor’s Quality Assurance Program or other similar business practices related to performance of this Agreement.

with respect thereto. Any violation of such requirements, laws or regulations shall be considered a material breach of this Agreement.

e) Facilities. Contractor and its Authorized Subcontractors shall provide all reasonable facilities for the safety and convenience of the LADWP’s inspectors at no additional cost to the LADWP. Contractor shall furnish to the LADWP and its agents all information and data as may be reasonably required to perform their inspection.

10.

8. SAMPLES. Contractor shall promptly provide to the LADWP upon reasonable request from time to time, and without cost, samples of Deliverables for inspection and testing. Such samples must be identical in all respects to the Deliverables specified in each corresponding Statement of Work. Such samples, if not destroyed by tests, may, upon request made at the time the sample is furnished, be returned to Contractor at Contractor’s risk and expense. 9. SAFETY AND ACCIDENT PREVENTION. The LADWP agrees to provide a suitable and safe environment at its facilities with respect to Services to be provided under this Agreement. The parties understand and agree that Contractor has not included in its charges any expense for dealing with or removing potentially hazardous substances, such as asbestos, unless otherwise expressly provided by a Statement of Work. If not so provided in such Statement of Work, the LADWP shall be responsible for handling such substances at its own cost. In performing work under this Agreement, Contractor shall conform to all specific safety requirements contained in the Agreement and as required by law or regulation. Contractor shall take any additional precautions as the LADWP may reasonably require for safety and accident prevention purposes, and shall at all times exercise reasonable and prudent judgment

PERSONNEL.

a) Information. The LADWP shall provide reasonably necessary representatives with authority to act on the LADWP’s behalf with respect to approvals, requests, and meeting scheduling. b) Capacity. Contractor warrants that the size of the staff employed by the Contractor in its performance hereunder shall be reasonably adequate in number and quality at all times to perform the work required by this Agreement and to add such addition personnel as are necessary to accomplish any work required by any Change Order. c) Identification. The Contractor shall furnish the LADWP from time to time upon request the names, titles, and qualifications of its key project personnel and subcontractors, including without limitation individual resumes, and the tasks to be performed by such individuals. Upon receipt of such request, the Contractor shall respond within two (2) business days. d) Approval. The Contract Administrator shall have the right to interview and approve all personnel of Contractor and Authorized Subcontractors. Resumes of individual personnel will be reviewed and approved by the LADWP’s Contract Administrator before the individual shall be assigned work. The Contractor shall minimize changes to any Contractor personnel with respect to any Statement of Work. Any unreasonable assignment or discharge of such personnel may, at the LADWP’s option, be deemed a material breach of this Agreement by Contractor. The LADWP shall have the right to request key personnel changes and to 7

review and approve key personnel changes proposed by the Contractor. No change can be made without LADWP approval. The LADWP shall have the right to require removal of any personnel with or without cause, which removal shall be effected no later than seventy-two (72) hours, or in the case of any removal requested for security or work rule reasons, immediately. e) Control. The Contractor’s and the Authorized Subcontractors’ personnel shall at all times remain under the control of the Contractor. 11. FORCE MAJEURE. If either party is unable to perform its obligations because of strikes, lockouts, labor disputes, embargos, acts of God, governmental regulations, judicial orders, enemy or hostile governmental action beyond the reasonable control of the Contractor or its Authorized Subcontractors (“Force Majeure”), then such party shall immediately notify the other party in writing, and such party’s performance shall be suspended for the period equal to the period time of such cause for suspension of performance. 12.

FEES, INVOICES AND PAYMENT.

a) Fees. The LADWP shall pay the Fees described in each Statement of Work for Services and Deliverables which have been accepted by the LADWP. Any Fees called for in any Statement of Work shall not increase for at least one (1) year after the date of such Statement of Work, unless expressly agreed to otherwise by the LADWP. Unless expressly stated in a Statement of Work, all salaries, wages, or other payments (including without limitation any overtime) to any third parties, Authorized Subcontractors or employees, shall be the sole responsibility of the Contractor, and the Contractor hereby agrees to fully indemnify, defend and hold harmless the LADWP with respect thereto.

b) Travel and Costs. Travel time of the Contractor’s personnel shall not be charged to, or paid by, the LADWP unless specifically provided for in the Response and the Statement of Work. Any allowed travel time shall be at the LADWP’s own normal rates, without allowance for premium or overtime. c) Invoices. Upon the LADWP’s acceptance of each shipment of Deliverables (including without limitation acceptance of completed Services), the LADWP shall so notify Contractor, and Contractor shall issue a written invoice (“Invoice”) to the LADWP with respect thereto. Each such Invoice shall meet all the invoice criteria described in EXHIBIT G (“INVOICE CRITERIA”), and shall contain the contract/purchase order number, the vendor code number, the City of Los Angeles Business Tax Registration Certificate Number, and the identification of material, equipment and/or services covered by the Invoices. In all cases the amount of applicable sales tax or use tax shall be separately stated on the Invoice. All Invoices shall be accompanied by such written documentation as the LADWP may reasonably require in order to support the amount and calculation of all corresponding Fees. Invoices for Services shall be issued monthly for all Services provided during the immediately preceding month. d) Payment. Such Invoices, if correct, will be certified, and paid within thirty (30) days after receipt of Invoice. Invoice payments will not be made if the Invoice is received more than six (6) months after acceptance of corresponding Deliverables. No such Invoice shall be certified for payment, or paid, unless and until it shall first conform with Subsection 12(c) (“Invoices”) above. In the event of any dispute of any Fees under any Invoices, the LADWP agrees to make payment of all undisputed amounts as hereinabove provided. 8

e) Tax Registration Certificate. Contractor shall obtain and keep in full force and effect during the Term of this Agreement all “Business Tax Registration Certificates” required by the City of Los Angeles Business Tax Ordinance, Article 1, Chapter II, Section 21.00 and following, of the Los Angeles Municipal Code. Contractor’s current Business Tax Registration Certificate Number or, for those firms that are exempt, a Vendor Registration Number, must be shown on all Invoices submitted for payment.

records of Contractor to confirm that Contractor has complied with the requirements of this Subsection 12(h) (“Most Favored Customer”).

f) Taxpayer Identification Number (“TIN”). Contractor hereby represents and warrants that its TIN __________________. No Fees shall be payable or paid to Contractor unless and until such TIN is verified by the LADWP as valid. g) Third Party Claims. The Contractor shall promptly pay, when due, all amounts payable for labor and materials furnished in the performance of this Agreement so as to prevent any lien or other claim under any provision of law from arising against any LADWP property (including reports, documents, and other tangible matter or Deliverables produced hereunder), against the Contractor’s rights to payments hereunder, or against the City, and shall pay all amounts due under the Unemployment Insurance Act with respect to such labor.

b) Termination without Cause. This Agreement may be terminated by the LADWP, without cause, upon written notice. Upon receipt of such notice, the Contractor shall immediately stop all work under this Agreement. The Contractor shall be entitled to payment of Fees for all Deliverables completed, including without limitation Services provided (in both cases where accepted by the LADWP), until the date of such notice, and also to reimbursement for reasonable and documented re-stocking charges imposed on Contractor by third party suppliers due to such termination, where such charges have been called to the LADWP’s attention beforehand and in writing. The Contractor shall then deliver to the LADWP, in an organized and usable form, all Deliverables “work in process” as of such date.

h) Most Favored Customer. Contractor hereby covenants and warrants that throughout the Term of this Agreement, the Fees payable hereunder shall be no higher than the prices charged by Contractor to its other customers for like goods and services. Contractor shall notify the LADWP immediately of any offer to any other customer of more favorable prices as hereinabove described, and the Fees payable by the LADWP hereunder shall thereupon be deemed reduced to an equivalent level. The LADWP shall have the right, upon reasonable notice, to review the books and

c) Termination for Material Breach. Either party may terminate this Agreement upon notice, in whole or in part, for the material breach of this Agreement by the other party (including without limitation, in the case of Contractor, any such breach by Contractor’s Authorized Subcontractors) which has remained uncured for a period of ten (10) days from the date of notice thereof to the breaching party. Without limiting the generality of the foregoing: (i) any late payment of Fees by the LADWP shall not, in an of itself, be deemed a material breach of

13.

TERM AND TERMINATION.

a) Term. The term of this Agreement (“Term”) shall commence upon the Effective Date and shall expire three (3) years thereafter, unless earlier terminated as hereinafter provided.

9

this Agreement; and (ii) any failure of Contractor to timely perform Services or deliver other Deliverables according to any Schedule and this Agreement, shall be deemed a material breach hereof, and in such case the LADWP shall also have the right to reject all such Deliverables. In the case of such late performance or delivery by Contractor, the LADWP may, in addition to any rights and remedies the LADWP may also have, require Contractor, at Contractor’s expense, to ship any Deliverables via air freight or by other expedited routing means (at no cost to the LADWP) to avoid or minimize actual or potential delay. Also, in the event the Agreement is terminated in accordance with this Subsection 13(c) (“Termination for Material Breach”), the LADWP may also take possession of all Deliverables in process and of all materials, tools, equipment, and property of the Contractor, which have been provided in connection with the work, and may complete the work by whatever method or means the LADWP may select. The cost of completing the work shall be deducted from the balance which would have been due the Contractor had the Agreement not been terminated and the work completed in accordance with the Agreement. d) Disqualification. In the event Contractor receives one (1) or more notices of material breach as described in Subsection 13(c) (“Termination for Material Breach”), whether such material breaches are cured or not, the LADWP may consider such material breaches in making any subsequent determination of responsibility with respect to future awards. e) Remedies Not Exclusive. Any election by the LADWP to seek any remedy under this SECTION 13 (“TERM AND TERMINATION”), including without limitation any right to reject Deliverables or to require expedited shipping, shall not limit any other rights or remedies which the LADWP may

have with respect to any breach of this Agreement. f) Right of Offset. The LADWP reserves the right to offset any and all costs and damages suffered by the LADWP under this Agreement against any outstanding invoices or amounts otherwise owed to the Contractor or to make a claim against the Contractor therefor. g) Suspension of Work. The Contract Administrator may orally direct the Contractor to suspend, and to subsequently resume performance of all or any part of the work. Such direction shall be confirmed in writing. An equitable adjustment in the work completion schedule and corresponding Fees (if fixed price) shall be negotiated and confirmed by a Change Order or a revision to a task assignment if such suspension impacts the cost of the work and/or work completion schedule. The LADWP shall pay the Fees due for the suspended work up to the effective date of suspension notice and shall resume Fee payments effective as of the work resumption date. h) Errors and Omissions. The Contractor will be responsible for correcting or remedying any errors or omissions which occur in performance of the services under this Agreement and which are the result of the Contractor’s negligence, action or omission, regardless of whether the foregoing are a material breach hereof or not. The cost of correcting or remedying any such error or omission shall be borne by the Contractor. Revising Contractor-prepared documents at the request of the LADWP to incorporate comments by the public or by agencies having jurisdiction in matters of the particular task assignment is not considered to be a remedy of errors or omissions, but is considered an integral part of document preparation which may be called for by a Task Assignment.

10

14. TAXES. Unless otherwise required by law, the LADWP is exempt from Federal excise taxes. The LADWP will only pay for any State or local sales or use taxes on the Services rendered or other Deliverables supplied to the LADWP pursuant to this Agreement. MANUFACTURED 15. NEWLY DELIVERABLES. All Deliverables furnished under this Agreement shall contain only newly manufactured items. Used or reconditioned Deliverables are prohibited, unless otherwise expressly agreed to by the LADWP in a corresponding Statement of Work. 16.

RECORDS AND AUDIT.

a)

Records and Audits.

Incorporated by Reference. See Exhibit K b) Progress Reports. The Contractor shall, as required by the Contract Administrator from time to time, submit reports summarizing all the Tasks under this Agreement, the work accomplished, work left to be done, work to be done in the coming months, and the estimated completion dates. including without limitation any deviations or reasonably likely deviations from the Schedule. Each such report shall be organized by Task and shall include the Task number, Task coordinator, Task title, the authorized Fee, the start date and completion date, and the total of Fees received to date by the Contractor. Such report shall also show the total Fees received by the Contractor under this Agreement. c) Right to Review. The LADWP reserves the right to review any portion of the Services performed by the Contractor under this Agreement, and the Contractor agrees to cooperate to the fullest extent. Contractor shall furnish to the LADWP such reports,

statistical data, and other information pertaining to the Contractor’s Services as shall be reasonably required by the LADWP. The right of the LADWP to conduct such review shall not relieve the Contractor of any obligation set forth herein. 17. RIGHTS LICENSES.

IN

WORK PRODUCT

AND

a) Disclosure of Work Product. For purposes of this Agreement, “Work Product” shall mean any Invention whether or not patentable, and all related know-how, designs, mask works, trademarks, formulae, processes, manufacturing techniques, trade secrets, ideas, artwork, Developed Software (including without limitation any website or other works). Contractor shall disclose promptly in writing to the LADWP, or any person designated by the LADWP, all Work Product which is solely or jointly conceived, made, reduced to practice, or learned by Contractor in the course of any work performed hereunder (“LADWP Work Product”). Contractor hereby represents and warrants that any Work Product relating to the LADWP’s business or any Project which Contractor has made, conceived, learned or reduced to practice prior to the Effective Date of this Agreement (“Prior Work Product”) has been disclosed in writing to the LADWP and attached to this Agreement as EXHIBIT H (“PRIOR WORK PRODUCT”). If disclosure of any such Prior Work Product would cause Contractor to violate any prior confidentiality agreement, Contractor shall not list such Prior Work Product, but shall instead disclose a cursory, non-confidential name for each such item, a listing of the party(ies) to whom it belongs, and the fact that full disclosure as to such Prior Work Product has not been made for that reason. Contractor agrees that any and all Inventions made, learned, derived, conceived, written, created or first reduced to practice in the performance of work under this 11

Agreement shall be the sole and exclusive property of the LADWP. b) Background Technology and Inventions. Contractor shall specifically describe and identify in EXHIBIT E (“BACKGROUND TECHNOLOGY”) all existing technology which Contractor intends to use in the course of its performance hereunder (“Background Technology”). c) Assignment and License. Except for Contractor’s rights in Background Technology, Contractor hereby irrevocably assigns to the LADWP all right, title and interest worldwide in and to LADWP Work Product and all applicable intellectual property rights related to LADWP Work Product including without limitation all copyrights, mask work rights, trademarks, service marks, trade secrets, patents (including applications, continuations, continuations in part, and utility models), moral rights, and contract and licensing rights, however and wherever arising (collectively, the “Proprietary Rights”). Except as set forth below, Contractor retains no right to use the LADWP Work Product and agrees not to challenge the validity of the LADWP’s ownership of the LADWP Work Product. Contractor hereby grants to the LADWP a nonexclusive, fully transferable, perpetual, paid up, royalty-free, irrevocable, worldwide license, with rights to sublicense through multiple tiers of sublicensees, to reproduce, make derivative works of, publicly perform, and publicly display in any form or medium, whether now known or later developed, digitally perform, distribute, make, have made, use, lease, offer for sale, import and sell Background Technology and any Prior Work Product incorporated or used in the LADWP Work Product for the purpose of developing and marketing LADWP products, and carrying on the LADWP’s business. d) Waiver or Assignment of Rights. If Contractor has any rights to the LADWP

Work Product which cannot be assigned to the LADWP, Contractor unconditionally and irrevocably waives the enforcement of such rights, and all claims and causes of action of any kind against the LADWP with respect to such rights, and agrees, at the LADWP’s request and expense, to consent to and join in any action to enforce such rights. If Contractor has any right to the LADWP Work Product which cannot be assigned to the LADWP or waived by Contractor, Contractor unconditionally and irrevocably grants to the LADWP during the term of such rights, an exclusive (both as to Contractor and all third parties), fully-transferable, irrevocable, perpetual, worldwide, fully paid and royaltyfree license, with rights to sublicense through multiple tiers of sublicensees, to reproduce, make derivative works of, publicly perform, and publicly display in any form or medium, whether now known or later developed, digitally perform, distribute, make, have made, use, lease, offer for sale, import and sell goods and services under such rights. Contractor hereby waives and quitclaims to the LADWP any and all claims, of any nature whatsoever, which Contractor now has or may hereafter have for infringement of any Proprietary Rights assigned hereunder to the LADWP. e) Continuing Assurances and Enforcement. Contractor agrees to cooperate with the LADWP or its designee(s), both during and after the Term of this Agreement, in the procurement and maintenance of the LADWP’s rights in the LADWP Work Product and to execute, when requested, any other documents deemed necessary by the LADWP to carry out the purpose of this Agreement. Without limiting the generality of the foregoing, Contractor agrees to execute upon the LADWP’s request a signed assignment of copyright to the LADWP in a format reasonably required by the LADWP. To the extent the LADWP is unable to procure Contractor’s cooperation in the foregoing, 12

Contractor hereby irrevocably appoints the LADWP as its attorney in fact to take all such actions and to execute such documents. Contractor shall assist the LADWP in every proper way to obtain, and from time to time enforce, United States and foreign Proprietary Rights relating to the LADWP Work Product in any and all countries. To that end Contractor shall execute, verify and deliver such documents and perform such other acts (including appearances as a witness) as the LADWP may reasonably request for use in applying for, obtaining, perfecting, evidencing, sustaining and enforcing such Proprietary Rights and the assignment thereof. In addition, Contractor shall execute, verify and deliver assignments of such Proprietary Rights to the LADWP or its designee. Contractor’s obligation to assist the LADWP with respect to Proprietary Rights relating to such the LADWP Work Product in any and all countries shall continue beyond the expiration or termination of this Agreement, but the LADWP shall compensate Contractor at a reasonable rate after such expiration or termination for the time actually spent by Contractor at the LADWP’s request on such assistance. f) Future Development. This Agreement shall not preclude the Contractor from developing materials outside this Agreement that are competitive with, irrespective of their similarity to, Deliverables which are delivered to the LADWP pursuant to this Agreement. g) Existing Software License. Contractor hereby grants to the LADWP a worldwide, perpetual, irrevocable, nonexclusive, royalty-free, paid up, transferable license, including the right to grant sublicenses through multiple tiers, with respect to the Existing Software in order to use, copy, execute, publicly perform, publicly display, digitally perform and create derivative works of the Existing Software.

h) Documentation License. Contractor hereby grants to the LADWP a worldwide, perpetual, irrevocable, non-exclusive, royaltyfree, paid up, transferable license, including the right to grant sublicenses through multiple tiers, with respect to the Documentation in order to use, copy, execute, publicly perform, publicly display, digitally perform and create derivative works of the Documentation solely in connection with the Deparment’s exercise of its rights under this Agreement. 18. CONFIDENTIAL INFORMATION SOURCE CODE ESCROW.

AND

a) Protection. Each party (the Disclosing Party”) may from time to time during the term of this Agreement disclose to the other party (the “Receiving Party”) certain non-public information regarding the Disclosing Party’s business, including technical, marketing, financial, personnel, planning and other information (“Confidential Information”). The Disclosing Party shall mark all such Confidential Information in tangible form with the legend ‘confidential’, ‘proprietary’, or with similar legend. With respect to Confidential Information disclosed orally, the Disclosing Party shall describe such Confidential Information as such in writing within thirty (30) days after the date of oral disclosure. Regardless of whether so marked, however, any non-public information regarding the Developed Software (in Source Code and Object Code formats), shall be deemed to be the Confidential Information of the LADWP. b) Protection of Confidential Information. Except as expressly permitted by this Agreement, the Receiving Party shall not disclose the Confidential Information of the Disclosing Party (using the same degree of care which the Receiving Party ordinarily uses with respect to its own proprietary information, but in no event with less than reasonable care). The Receiving Party shall 13

also not use the Confidential Information of the Disclosing Party for any purpose not expressly permitted by this Agreement, and shall limit the disclosure of the Confidential Information of the Disclosing Party to the employees or agents of the Receiving Party who have a need to know such Confidential Information of the Disclosing Party to the employees or agents of the Receiving Party who have a need to know such Confidential Information for purposes of this Agreement, and who are, with respect to the Confidential Information of the Disclosing Party, bound in writing by confidentiality terms no less restrictive than those contained herein. The Receiving Party shall provide copies of such agreements to the Disclosing Party upon request; provided, however, that such agreement copies shall themselves be deemed the Confidential Information of the Receiving Party. Notwithstanding the foregoing, after the expiration or termination of this Agreement and the return by the Receiving Party of the Confidential Information of the Disclosing Party as provided in subsection 18(d) (“Return of Confidential Information”), the Receiving Party shall be free to use internally (but not disclose) any ideas, concepts and know-how contained in such Confidential Information: (i) which relate to the business of the Receiving Party; and (ii) which have been retained mentally by employees of the Receiving Party through the course of their performance under this Agreement. c) State Law Requirements Protection For Personal Information State law (See S.B. 1386 and A.B. 1950) requires a person or entity that owns or licenses computerized data that includes personal information, of a California resident, to disclose any breach of the data base security system and to implement and maintain procedures and practices to protect personal information from unauthorized access, destruction, use, modification, or disclosure

and, shall require by contract, that nonaffiliated third party recipients of such personal information, implement and maintain security procedures and practices to protect the personal information. Accordingly, vendor agrees to implement and maintain such security procedures and practices, in conformance with S.B. 1386 and A.B. 1950, with respect to any personal identification information received under this agreement, as well as notify the City of any breach in security. In addition, vendor shall not share, disclose, or in anyway transfer the personal identification information without the written approval of the LADWP. Vendor shall be responsible for any and all liabilities, including but not limited to those stated below in this paragraph, that result from any violation of S.B. 1386 or A.B. 1950 that Vendor, its employees, agents, or subcontractors may cause pursuant to the activities performed under this contract. Accordingly, Vendor agrees to indemnify and hold harmless the City of Los Angeles, its respective agencies, LADWPs, boards, all of their commissioners, officers, employees, and authorized agents, and, at the option of the City of Los Angeles, to provide a defense, reasonably acceptable to the LADWP, against any and all suits and causes of action, claims, charges, damages, demands, judgments, civil fines and penalties, or losses of any kind or nature whatsoever caused or brought by any person, including any aggrieved party, as defined in S.B. 1386, arising out of Vendor’s breach of any of its duties and obligations under S.B. 1386 or A.B. 1950. The indemnification herein includes all awards, damages, interest, costs and attorneys’ fees, if any. Such defense will be consistent with City Charter, Sections 271, 272 and 273. d) Exceptions. Notwithstanding anything herein to the contrary, Confidential Information shall not be deemed to include 14

any information which: (i) was already lawfully known to the Receiving Party at the time of disclosure by the Disclosing Party as reflected in the written records of the Receiving Party; (ii) was or has been disclosed by the Disclosing Party to a third party without obligation of confidence; (iii) was or becomes lawfully known to the general public without breach of this Agreement; (iv) is independently developed by the Receiving Party without access to, or use of, the Confidential Information; (v) is approved in writing by the Disclosing Party for disclosure by the Receiving Party; (vi) is required to be disclosed in order for the Receiving Party to enforce its rights under this Agreement; or (vii) is required to be disclosed by law or by the order of a court or similar judicial or administrative body; provided, however, that the Receiving Party shall notify the Disclosing Party of such requirement immediately and in writing, and shall cooperate reasonably with the Disclosing Party, at the Disclosing Party’s expense, in the obtaining of a protective or similar order with respect thereto. e) Return of Confidential Information. The Receiving Party shall return to the Disclosing Party, destroy or erase all Confidential Information of the Disclosing Party in tangible form upon the written request of the Disclosing Party (except for Deliverables and any other items which the LADWP is otherwise entitled to retain under this Agreement) and the Receiving Party shall certify promptly and in writing that it has done so. f)

Escrow.

No escrow services are required under this Agreement. 19. INTELLECTUAL PROPERTY DELIVERABLES INDEMNITY.

AND

a) Statement of Indemnity. Contractor agrees that from and after the Effective Date it shall fully indemnify, defend and hold harmless the LADWP, the Board, and its and their affiliates, officers, directors, agents, employees, customers and assigns (the “Indemnified Parties”) from and against any and all claims, losses, liabilities, damages and costs (including attorneys' fees and court costs) arising from or relating to any Deliverables or arising from or relating to any claim, demand, threat, suit or proceeding by any third party regarding the Deliverables, including without limitation any claims of injury to persons or property, or of intellectual property infringement or misappropriation, by any third party. The LADWP shall notify Contractor promptly of any third party claim in connection with the foregoing, shall cooperate reasonably with Contractor in connection therewith (at Contractor's expense), in the defense or settlement of the foregoing. The LADWP shall have the right at its own expense to be represented in any action related to the foregoing by counsel of its own choice, and shall cooperate reasonably with Contractor with respect to such litigation. b) Control. In Contractor’s defense of the LADWP, negotiation, compromise, and settlement of any foregoing infringement or misappropriation action, the LADWP shall retain discretion in and control of the litigation, negotiation, compromise, settlement, and appeals therefrom, as required by the Los Angeles City Charter, particularly Article II, Sections 271, 272 and 273 thereof. c) Bonds. Contractor understands and agrees that it shall, upon the LADWP’s request, furnish a bond to the LADWP, in an amount as may be reasonable in the LADWP’s judgment, against any and al loss, damage, costs, expenses, claims and liability for any possible infringement or misappropriation. 15

d) Claims and Remediation. If Contractor receives notice of a claim, demand, threat, suit or proceeding regarding alleged intellectual property infringement or misappropriation by the Deliverables, or if in Contractor’s judgment such a claim is likely, Contractor may, at its sole expense, procure for LADWP ownership of, or the right to continue using, the Deliverables, modify the Deliverables so that they are no longer infringing, or replace the Deliverables with other items of the same technical specifications and the same or better functionality and performance, which shall, upon acceptance by the LADWP, be considered Deliverables. e) Use of Funds. Contractor certifies that it has appropriate systems and controls in place to ensure that LADWP funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws. 20.

MAINTENANCE AND SUPPORT.

a) Hardware Maintenance. Commencing with the first day after the expiration of the Hardware warranty described in SECTION 21 (“WARRANTIES”), Contractor shall immediately commence providing Hardware Maintenance which shall consist of those activities and services described as such in EXHIBIT I (“HARDWARE MAINTENANCE”). b) Software Maintenance. Commencing with the first day after the expiration of the Software warranty described in SECTION 21 (“WARRANTIES”), Contractor shall immediately commence providing Software Maintenance which shall consist of those activities and services described as such in EXHIBIT J (“SOFTWARE MAINTENANCE”). c) Failure to Provide Maintenance. Any failure of Contractor to timely provide

Maintenance hereunder shall thereupon immediately suspend any obligation of the LADWP to pay any Fees, and may, in addition and at the LADWP’s option, be considered a material breach of this Agreement for purposes of SECTION 13 (“TERM AND TERMINATION”). d) Availability. Commencing with the Effective Date, and for five (5) years after the expiration or termination of this Agreement, whichever comes first, Contractor agrees that it shall continue to offer for sale to the LADWP, at commercially reasonable prices (and subject to Subsection 12(h) (“Most Favored Customer”)), all Hardware supplies, materials and spare parts. To the extent that Contractor is not willing or able to comply with the foregoing obligation (and without waiving any rights or remedies the LADWP may have with respect thereto), Contractor shall provide to the LADWP its full cooperation and all documents, diagrams or designs necessary or useful to make, have made, use, lease, offer for sale, import and sell such Hardware supplies, materials and spare parts, and hereby grants to the LADWP a royalty-free, fully paid, worldwide, nonexclusive, non-transferable immunity under all intellectual property rights owned or licensable by Contractor in order to enable the LADWP to make, have made, use, lease, offer for sale, import and sell such Hardware supplies, materials and spare parts. 21.

WARRANTIES.

a) Deliverables. Contractor hereby represents and warrants that the Deliverables (including without limitation all Hardware and Software, but not including Services) shall materially conform to their corresponding Specifications (including without limitation all Documentation) in normal use for a period of three (3) years from the date of their acceptance by the LADWP. In the event of any breach of the foregoing warranty, the 16

LADWP shall promptly notify Contractor, and Contractor shall immediately either replace or, if commercially reasonable, repair such nonconforming Deliverables, and provide the same immediately to the LADWP. Any failure of Contractor to carry out the foregoing in a manner reasonably satisfactory to the LADWP, may, at the LADWP’s option, be considered a material breach of this Agreement for purposes of SECTION 13 (“TERM AND TERMINATION”). Any such repaired or replaced Deliverables shall continue to have the balance of their warranty period as hereinabove stated; provided, however, that such warranty period shall in no event be less than ninety (90) days.

limitation the provision of Services) nor any element thereof, infringes or shall infringe or misappropriate the intellectual property rights of any third party, including without limitation any patent, copyright, trademark or trade secret rights; (iv) the Deliverables shall not be subject to any restrictions, including without limitation any liens, mortgages, pledges, security interests, encumbrances, or encroachments; (v) Contractor is not under, and shall not enter into any, obligation or obligations inconsistent with the provisions of this Agreement; and (vi) Contractor shall not violate any law, statute, ordinance, or regulation in the course of its performance under this Agreement.

b) Services. Contractor represents and warrants that Contractor shall perform the Services in a professional and workmanlike manner, in accordance with the best practices of Contractor’s industry, and in material conformity with corresponding Specifications (including without limitation all Documentation). In the event of any breach of the foregoing warranty, the LADWP shall promptly notify Contractor, and Contractor shall immediately re-perform the nonconforming Services. Any failure of Contractor to carry out the foregoing in a manner reasonably satisfactory to the LADWP, may, at the LADWP’s option, be considered a material breach of this Agreement for purposes of SECTION 13 (“TERM AND TERMINATION”).

d) Viruses. Contractor represents and warrants that it has exercised and shall exercise its most diligent efforts to ensure that no viruses, “Trojan Horses”, “Worms” or other damaging, dangerous or objectionable code (collectively, “Viruses”) are included with the Deliverables. If at any time a Virus may be found to exist in or have emanated from the Deliverables, or any electronic data, information or report generated thereby, Contractor agrees, at its sole expense, to exercise its most diligent efforts (including but not limited to providing appropriate replacement products, software, installation, and diagnostic testing) to remove such Virus within five (5) days of LADWP’s notice.

c) General. Contractor represents and warrants that: (i) Contractor has full power and authority to enter into this Agreement and the person signing the Agreement on Contractor’s behalf has been duly authorized and empowered to enter into this Agreement; (ii) the Deliverables shall not contain any materials which are unlawful, defamatory, libelous, threatening, abusive, racist, vulgar, harassing, pornographic or obscene; (iii) Neither the Deliverables (including without

e) Disclaimer. EXCEPT AS EXPRESSLY STATED IN THIS AGREEMENT, CONTRACTOR HEREBY DISCLAIMS ALL OTHER WARRANTIES, EXPRESS AND IMPLIED, INCLUDING BUT NOT LIMITED TO THE WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. 22. LIMITATION OF LIABILITY. IN NO EVENT SHALL THE TOTAL LIABILITY OF EITHER PARTY UNDER THIS 17

AGREEMENT EXCEED THE HIGHER OF ONE MILLION DOLLARS ($1,000,000) OR THE TOTAL AGREEMENT PRICE, REGARDLESS OF THE CAUSE OF ACTION, IN TORT, CONTRACT OR OTHERWISE. 23. SURVIVAL AND ORDER OF PRECEDENCE. In the event of any expiration or termination of this Agreement, the provisions of Section 1 (“Definitions”), Subsection 3(b) (“No Obligation”), Section 13 (“Term and Termination”), Section 16 (“Records and Audit”), Section 17 (“Rights in Work Product and Licenses”), Section 18 (“Confidential Information and Source Code Escrow”), Section 19 (“Intellectual Property and Deliverables Indemnity”), Section 21 (“Warranties”), Section 22 (“Limitation of Liability”), Section 23 (“Survival and Order of Precedence”), and Section 24 (“General”) shall survive and shall continue to bind the parties. In the event of any conflict between the terms of this Agreement and the terms of any exhibit, the terms of the exhibit shall control. In the event of any conflict between the following documents, all of which are hereby incorporated by reference into this Agreement, the order of precedence shall be as follows: a. Latest Change Order b. Task Assignment c. Agreement d. Other referenced documents e. Responses dated _____________________________ 24.

GENERAL.

a) Governing Law. This Agreement shall be governed in all respects by the laws of the United States of America and the State of California without regard to conflicts of law principles. The parties agree that the United Nations Convention on Contracts for the

International Sale of Goods is specifically excluded from application to this Agreement. b) Attorneys’ Fees. In the event any proceeding or lawsuit is brought by the LADWP or Contractor in connection with this Agreement, each party shall bear its own attorneys’ fees and costs. c) Forum. Each party’s performance hereunder shall comply with all applicable laws of the United States of America, the State of California, and the City of Los Angeles. The State and Federal Courts located in the City of Los Angeles shall have exclusive jurisdiction over any disputes under this Agreement, and the parties hereby submit to the personal jurisdiction of such courts. d) Injunctive Relief. It is understood and agreed that, notwithstanding any other provisions of this Agreement, breach of the provisions of this Agreement by Contractor will cause the LADWP irreparable damage for which recovery of money damages would be inadequate, and that the LADWP shall therefore be entitled to obtain timely injunctive relief to protect the LADWP’s rights under this Agreement in addition to any and all remedies available at law. e) Notices. All notices or reports permitted or required under this Agreement shall be in writing and shall be delivered by personal delivery or by certified or registered mail, return receipt requested, and shall be deemed given upon personal delivery or five (5) days after deposit in the mail. Any such notice or report directed to the LADWP shall be delivered to: LOS ANGELES DEPARTMENT OF WATER AND POWER Mr. Guillermo Farias Contract Administrator 111 North Hope Street, Room A18 18

Los Angeles, California 90012-2694 With a Copy To: Chief Assistant City Attorney 111 North Hope Street Los Angeles, California 90012-2694 Any such notice or report directed to the Contractor shall be delivered to: [Name of Contractor] [Address] [Address] Either party, by written notice, may designate different or additional person(s) or different addresses. f) Agency. Nothing contained herein shall be construed as creating any agency, partnership, or other form of joint enterprise between the parties. g) Waiver. The failure of either party to require performance by the other party of any provision hereof shall not affect the full right to require such performance at any time thereafter; nor shall the waiver by either party of a breach of any provision hereof be taken or held to be a waiver of the provision itself. h) Severability. In the event that any provision of this Agreement shall be unenforceable or invalid under any applicable law or be so held by applicable court decision, such unenforceability or invalidity shall not render this Agreement unenforceable or invalid as a whole, and, in such event, such provision shall be changed and interpreted so as to best accomplish the objectives of such unenforceable or invalid provision within the limits of applicable law or applicable court decisions. i) Headings. The section headings appearing in this Agreement are inserted only

as a matter of convenience and in no way define, limit, construe, or describe the scope or extent of such section or in any way affect this Agreement. j) Assignment. Neither this Agreement nor any rights or obligations of Contractor hereunder may be assigned by Contractor in whole or in part without the prior written approval of the LADWP. Such approval may be withheld for any reason or no reason as this Agreement is a personal services contract and was awarded to Contractor based on the qualities of Contractor. For the purposes of this Subsection 24(j) (“Assignment”), a change in the persons or entities who control fifty percent (50%) or more of the equity securities or voting interest of Contractor shall be considered an assignment of Contractor’s rights and obligations. The LADWP’s rights and obligations, in whole or in part, under this Agreement may be assigned by the LADWP. The LADWP may exercise full transfer and assignment rights in any manner at the LADWP’s discretion. k) Counterparts. This Agreement may be executed simultaneously in two (2) or more counterparts, each of which will be considered an original, but all of which together will constitute one and the same instrument. l) Relationship of the Parties. The Contractor is acting hereunder as an independent Contractor and not as an agent or employee of the LADWP. The Contractor shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the LADWP. m) Entire Agreement. This Agreement together with the Exhibits hereto completely and exclusively states the agreement of the parties regarding its subject matter. This Agreement supersedes, and its terms govern, all prior proposals, agreements, or other 19

communications between the parties, oral or written, regarding such subject matter. The terms of any Shrink-Wrap Agreement accompanying any Software delivered to the LADWP hereunder shall, to the extent inconsistent with the terms of this Agreement, have no effect whatsoever. This Agreement shall not be modified except by a subsequently dated written amendment or exhibit signed on behalf of the LADWP and Contractor by their duly authorized representatives. Any purported oral amendment to this Agreement shall have no effect. AGREED TO: For: DEPARTMENT OF WATER AND POWER OF THE CITY OF LOS ANGELES BY BOARD OF WATER AND POWER COMMISSIONERS OF THE CITY OF LOS ANGELES

[Contractor Name] (Must be signed by two executives or officers of the firm)

By: By: Marcie L. Edwards General Manager

Title: Date:

Date:

And:

By: Barbara E. Moschos Board Secretary Title:

Date: Date:

20

EXHIBIT A STATEMENT OF WORK

The Statement of Work from the RFP will be incorporated here.

21

EXHIBIT B STANDARD PROVISIONS PSC-1

Construction of Provisions and Titles Herein

All titles or subtitles appearing herein have been inserted for convenience and shall not be deemed to affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement shall be construed according to its fair meaning and not strictly against the Department or the Consultant. The word “Consultant” herein and in any amendment hereto includes the Party or Parties identified in this Agreement wherein this Exhibit is incorporated by reference; the singular shall include the plural; if there shall be more than one Consultant herein, unless expressly stated otherwise, their obligations and liabilities hereunder shall be joint and several; use of feminine, masculine, or neuter gender shall be deemed to include the genders not used. PSC-2

Number of Originals

The number of original texts of this Agreement shall be equal to the number of the Parties hereto, one text being retained by each Party. PSC-3

Applicable Law, Interpretation, Enforcement and Severability

Each Party's performance hereunder shall comply with all applicable laws of the United States of America, the State of California, and the City of Los Angeles, including but not limited to laws regarding health and safety, labor employment, wage and hours, workers compensation, and licensing laws which affect employees. Consultant shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. This Agreement was made and entered into in the City of Los Angeles and shall be governed by, interpreted and enforced in accordance with the laws of the State of California and the City of Los Angeles, without regard to conflicts of laws principles. All litigation arising out of, or relating to, this Agreement shall be brought in a State or Federal court in the County of Los Angeles in the State of California. The Parties irrevocably agree to submit to the exclusive jurisdiction of such courts in the State of California and waive any defense of forum non conveniens. If any part, term or provision of this Agreement shall be held invalid, void, illegal, unenforceable, or in conflict with any law of a federal, state or local government having jurisdiction over this Agreement, the validity of the remaining parts, terms or provisions shall not be affected or impaired thereby. The provisions of this section shall survive the expiration or termination of this Agreement. PSC-4

Time of Effectiveness

Unless otherwise provided, this Agreement shall take effect when all of the following events have occurred: (a) (b) (c) (d)

This Agreement has been signed on behalf of the Consultant by the person(s) authorized to bind the Consultant hereto. This Agreement has been approved by the City Council or by the Board, inclusive of City Council review period, officer, or employee authorized to give such approval. The Office of the City Attorney has indicated in writing its approval of this Agreement as to form and legality. This Agreement has been signed on behalf of the Department by the person designated by

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the Board, officer or employee authorized to enter into this Agreement. PSC-5

Integrated Agreement

This Agreement sets forth all of the rights and duties of the Parties with respect to the subject matter hereof, and replaces any and all previous agreements and understandings, whether written or oral, relating hereto. This Agreement may be amended only as provided for in paragraph PSC-6. PSC-6

Amendment

All amendments hereto shall be in writing and signed on behalf of both Parties by the persons authorized to bind the Parties hereto. PSC-7

Excusable Delays

In the event that performance on the part of any Party hereto shall be delayed or suspended as a result of circumstances beyond the reasonable control and without the fault or negligence of said Party, none of the Parties shall incur any liability to the other Parties as a result of such delay or suspension. Circumstances deemed to be beyond the control of the Parties hereunder shall include, but are not limited to, acts of God or of the public enemy; insurrection; fires; floods; epidemics; quarantine restrictions; strikes; freight embargoes; to the extent that they are not caused by the Party's willful or negligent acts or omissions, and to the extent that they are beyond the Party's reasonable control. PSC-8 Breach Except for excusable delays as defined in PSC-7, if any Party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation, warranty, certification or other statement made by it be untrue, any aggrieved Party may avail itself of all rights and remedies, at law or equity, in the courts of law. PSC-9

Waiver

A waiver of a default of any part, term, or provision of this Agreement shall not be construed as a waiver of any succeeding default or as a waiver of the part, term or provision itself. A Party’s performance after the other Party’s default shall not be construed as a waiver of that default. PSC-10

Independent Consultant

The Consultant is acting hereunder as an independent contractor and not as an agent or employee of the Department or the City of Los Angeles, and all of the terms and conditions of this Agreement shall be interpreted in light of that relationship. The Consultant, including Consultant’s subconsultants, suppliers, employees, and agents, shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the Department for any purpose whatsoever. The Consultant shall not be entitled to any Department or City of Los Angeles benefits, including but not limited to, vacation, sick leave, Workers’ Compensation, or pension. PSC-11

Prohibition Against Assignment or Delegation

The Consultant may not, unless it has first obtained the written permission of the Department:

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(a) Assign or otherwise alienate any of its rights hereunder, including the right to payment; or (b) Delegate, subcontract, or otherwise transfer any of its duties hereunder. Such permission may be withheld at the Department’s sole discretion for any reason or no reason at all since the award of this Agreement was based upon the personal services to be provided by the Consultant. PSC-12

Licenses and Certifications

The Consultant and its officers, agents, and employees shall obtain and maintain all licenses, permits, certifications and other documents necessary for the Consultant’s performance hereunder and shall pay any fees required therefor. Such licenses, permits, certifications shall be specific to the State of California or regional regulatory agencies, as applicable to Consultant’s services, work, task, and deliverables pursuant to this Agreement. Consultant agrees to immediately notify the Department of any suspension, termination, lapse, non-renewal, or restriction of such licenses, permits, certifications, or other documents. PSC-13

Non Discrimination/Equal Employment Practices/Affirmative Action

Non Discrimination and Equal Employment Practices The Consultant shall not discriminate in employment practices against any employee or applicant for employment because of race, religion, national origin, sex, age, or physical handicap. The Consultant shall comply with the terms of the “Non-Discrimination and Equal Employment Practices” (2 pages) affidavit. Affirmative Action Plan [if the contract is for Non-Construction services and is estimated at $100,000, use the following clause] The Consultant shall have an Affirmative Action Plan on file with the Director of Supply Chain Services. The Consultant shall comply with the requirements of the City of Los Angeles and shall comply with the terms of the “Affirmative Action Plan” (3 pages) affidavit. An Affirmative Action Plan shall be in effect and on file with the Department for the duration of the contract period. Affirmative Action Plan [if the contract is for Construction services and is estimated at $5,000, use the following clause] The Consultant shall have an Affirmative Action Plan on file with the Director of Supply Chain Services. The Consultant shall comply with the requirements of the City of Los Angeles and shall comply with the terms of the “Affirmative Action Plan” (5 pages) affidavit. An Affirmative Action Plan shall be in effect and on file with the Department for the duration of the contract period. PSC-14

Claims for Labor and Materials

The Consultant shall promptly pay, when due, all amounts payable for labor and materials furnished in the performance of this Agreement so as to prevent any lien or other claim under any provision of law from arising against the Department or City of Los Angeles or any of their respective property (including reports, documents, and other tangible matter produced by the Consultant hereunder), against the Consultant's rights to payments hereunder, and shall pay all amounts due under the Unemployment Insurance Act with respect to such labor.

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PSC-15

Los Angeles City Business Tax Registration Certificate Required

The Consultant represents that it has obtained and presently holds a Business Tax Registration Certificate(s) required by the City of Los Angeles Business Tax Ordinance (Article 1, Chapter II, Section 21.00 and following, of the Los Angeles Municipal Code). For the term covered by this Agreement, the Consultant shall maintain, or obtain as necessary, all such Certificates required under said ordinance and shall not allow any such Certificate to be revoked or suspended. PSC-16

Bonds

Duplicate copies of all bonds which may be required hereunder shall conform to the Department requirements established by Los Angeles City Charter, ordinance or policy and shall be filed with the Office of the City Attorney for its review in accordance with Los Angeles Administrative Code Sections 11.47 through 11.56. PSC-17

Indemnification Provisions

Indemnification for Design Professionals Relating to Construction Contracts Relative to California Civil Code Section 2782 Except for the sole negligence or willful misconduct of the Department, the Consultant undertakes and agrees to defend, indemnify and hold harmless the Department, the City of Los Angeles, including but not limited to any of its boards, commissioners, officers, agents, employees, assigns and successors in interest (hereinafter, collectively, “Indemnitees”) from and against any and all suits and causes of action, claims, losses, demands, penalties, judgments, costs, expenses and disbursements of any kind or nature whatsoever, including but not limited to attorney’s fees (including allocated costs of internal counsel) and costs of litigation, damage, obligation or liability of any kind or nature whatsoever, in any manner arising by reason of, incident to, or connected in any manner to negligence, recklessness or willful misconduct of the Consultant, or negligent non-performance, or negligent breach of this Agreement, including but not limited to any such negligent act, error or omission or recklessness, or willful misconduct by or of the Consultant or Consultant’s officers, employees, agents or subconsultants of any tier, that results in death or injury to any person, or damage or destruction to property of any kind, or loss of use (hereinafter, collectively, “Indemnified Liabilities”). The provisions of this paragraph shall survive expiration or termination of this Agreement, and shall be in addition to, and not exclusive of, any other rights or remedies which Indemnitees have at law, in equity, under this Agreement or otherwise. To the extent that the undertakings to defend, indemnify, pay and hold harmless set forth in this subsection may be unenforceable in whole or in part, Consultant shall contribute the maximum portion that it is permitted to pay and satisfy under applicable law to the payment and satisfaction of all Indemnified Liabilities incurred by Indemnitees or any of them. Indemnification for Non-Design Professionals Except for the gross negligence or willful misconduct of the Department, the Consultant undertakes and agrees to defend, indemnify and hold harmless the Department, the City of Los Angeles, including but not limited to any of its boards, commissioners, officers, agents, employees, assigns and successors in interest (hereinafter, collectively, “Indemnitees”) from and against any and all suits and causes of action, claims, losses, demands, penalties, judgments, costs, expenses and disbursements of any kind or nature whatsoever, including but not limited to attorney’s fees (including allocated costs of internal counsel) and costs of litigation, damage, obligation or liability of any kind or nature whatsoever, in any manner arising by reason of, incident to, or connected in any manner to performance, non-performance or breach of this Agreement, or willful misconduct or any other act, error or omission by or of the Consultant or

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Consultant’s officers, employees, agents or subconsultants of any tier, including but not limited to any such act, error or omission or willful misconduct that results in death or injury to any person, including but not limited to Consultant, Consultant’s officers, employees, agents, and subconsultants of any tier, or damage or destruction to property of any kind, of either Party hereto, or of third Parties, or loss of use(hereinafter, collectively, “Indemnified Liabilities”). The provisions of this paragraph shall survive expiration or termination of this Agreement, and shall be in addition to, and not exclusive of, any other rights or remedies which Indemnitees have at law, in equity, under this Agreement or otherwise. To the extent that the undertakings to defend, indemnify, pay and hold harmless set forth in this subsection may be unenforceable in whole or in part because they are violative of any law or public policy, Consultant shall contribute the maximum portion that it is permitted to pay and satisfy under applicable law to the payment and satisfaction of all Indemnified Liabilities incurred by Indemnitees or any of them. The provisions of this paragraph shall survive the expiration or termination of this Agreement. PSC-18

Insurance A. General Statement Acceptable evidence of required insurance, from insurers acceptable to the Department, is required to be submitted by the Consultant and must be maintained current by the Consultant throughout the term of this Agreement. Said evidence of insurance must be on file with the Risk Management Section in order to receive payment under any agreement for services rendered, and in order to commence work under this Agreement. B. Applicable Terms and Conditions 1.

Additional Insured Status Required Consultant shall procure at its own expense, and keep in effect at all times during the term of this Agreement, the types and amounts of insurance specified on the attached Contract Insurance Requirements page. The specified insurance shall also, either by provisions in the policies, by City's own endorsement form or by other endorsement attached to such policies, include and insure City, the Department, the Board, and all of their respective officers, employees and agents, their successors and assigns, as additional insureds (except for Professional Liability and Workers’ Compensation), against the area of risk described herein as respects Consultant's acts or omissions in its performance of this Agreement, hereunder or other related functions performed by or on behalf of Consultant. Such insurance shall not limit or qualify the liabilities and obligations of the Consultant assumed under this Agreement. 2. Severability of Interests and Cross Liability Required Each specified insurance policy (other than Workers' Compensation and Employers' Liability and Property coverage) shall contain a Severability of Interest and Cross Liability clause which states, "It is agreed that the insurance afforded by this policy shall apply separately to each insured against whom claim is made or suit is brought except with respect to the limits of the company's liability," and a Contractual Liability Endorsement which shall state, "Such insurance as is afforded by this policy shall also apply to liability assumed by the insured under this Agreement with the City of Los Angeles." 3. Primary and Non-Contributory Insurance Required All such insurance shall be Primary and Noncontributing with any other insurance held by the Department where liability arises out of or results from the acts or

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omissions of Consultant, its agents, employees, officers, assigns, or any person or entity acting for or on behalf of Consultant. Any insurance carried by the Department which may be applicable shall be deemed to be excess insurance and the Consultant’s insurance is primary for all purposes despite any conflicting provision in the Consultant’s policies to the contrary. 4. Deductibles Subject to Department’s Discretion Deductibles and/or self-insured retentions shall be at the sole discretion of the Risk Manager of the Department (hereinafter referred to as "Risk Manager"). The Department shall have no liability for any premiums charged for such coverage(s). The inclusion of the Department, its board, and all of its officers, employees and agents, and their agents and assigns, as additional insureds, is not intended to, and shall not, make them, or any of them a partner or joint venturer with Consultant in its operations. 5. Proof of Insurance for Renewal or Extension Required At least ten (10) days prior to the expiration date of any of the policies required on the attached Contract Requirement page, documentation showing that the insurance coverage has been renewed or extended shall be filed with the Department. If such coverage is canceled or reduced in coverage, Consultant shall, within fifteen (15) days of such cancellation or reduction of coverage, file with the Department evidence that the required insurance has been reinstated or provided through another insurance company or companies. 6. Submission of Acceptable Proof of Insurance and Notice of Cancellation Consultant shall provide proof to the Risk Manager of all specified insurance and related requirements either by production of the actual insurance policy(ies), by use of Department's own endorsement form(s), by other written evidence of insurance acceptable to the Risk Manager, but always in a form acceptable to the Risk Manager and the Office of the City Attorney. The documents evidencing all specified coverage shall be filed with the Department prior to Consultant beginning operations hereunder. Said proof shall contain at a minimum, the applicable policy number, the inclusive dates of policy coverage, the date the protection begins for the Department, and the insurance carrier's name. It shall bear an original signature of an authorized representative of said carrier, and shall provide that such insurance shall not be subject to cancellation, material reduction in coverage or non-renewal except after written notice by certified mail, return receipt requested, to the City Attorney of the City of Los Angeles at least thirty (30) calendar days prior to the effective date thereof. The notification shall be sent by registered mail to: The Office of the City Attorney, Water and Power Division, Post Office Box 51111, JFB Room 340, Los Angeles, California 90051-0100. 7. Claims-Made Insurance Conditions Should any portion of the required insurance be on a "Claims Made" policy, the Consultant shall, at the policy expiration date following completion of work, provide evidence that the "Claims Made" policy has been renewed or replaced with the same limits, terms and conditions of the expiring policy, or that an extended three (3) years discovery period has been purchased on the expiring policy at least for the agreement under which the work was performed.

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8. Failure to Maintain and Provide as Cause for Termination Failure to maintain and provide acceptable evidence of the required insurance for the required period of coverage shall constitute a breach of contract, upon which the Department may immediately terminate or suspend this Agreement. 9. Periodic Right to Review/Update Insurance Requirements The Department and Consultant agree that the insurance policy limits specified on the attached Contract Insurance Requirements page may be reviewed for adequacy annually throughout the term of this Agreement by the Risk Manager/City Attorney, who may thereafter require Consultant to adjust the amounts and types of insurance coverage however the Risk Manager/City Attorney deems to be adequate and necessary. The Department reserves the right to have submitted to it, upon request, all pertinent information about the agent and carrier providing such insurance, including applicable license and ratings. 10. Specific Insurance Requirements See Exhibit F, “Contract Insurance Requirements – Department of Water and Power.” C.

Worker’s Compensation By signing this Agreement, Consultant hereby certifies that it is aware of the provisions of Section 3700 et. seq., of the Labor Code which requires every employer to be insured against liability for Worker’s Compensation or to undertake self-insurance in accordance with the provisions of that Code, and that it will comply with such provisions at all such times as they may apply during performance of the work pursuant to this Agreement.

PSC-19

Child Support Policy

The Consultant and any subconsultant(s) must fully comply with all applicable State and Federal employment reporting requirements for the Consultant’s and any subconsultant(s)’ employees. The Consultant and any subconsultant(s) must fully comply with all lawfully served Wage and Earnings Assignment Orders and Notices of Assignment in accordance with the California Family Code. The Consultant and any subconsultant(s) must certify that the principal owner(s) thereof (any person who owns an interest of 10 percent or more) are in compliance with any Wage and Earnings Assignment Orders or Notices of Assignment applicable to them personally. The Consultant and any subconsultant(s) must certify that such compliance will be maintained throughout the term of this Agreement. Failure of the Consultant and/or any subconsultant(s) to fully comply with all applicable reporting requirements or to implement lawfully served Wage and Earnings Assignments or Notices of Assignment or failure of the principal owner(s) to comply with any Wage and Earnings Assignments or Notices of Assignment applicable to them personally shall constitute a default under this Agreement. Failure of the Consultant and/or any subconsultant(s) or principal owner(s) thereof to cure the default within ninety (90) calendar days of notice of such default by the Department shall subject this Agreement to termination. The Consultant will contractually require all subconsultants performing services under this Agreement to comply with the provisions of this section. PSC-20

Service Contract Worker Retention Ordinance and Living Wage Policy

Unless otherwise exempt in accordance with the provisions of this Ordinance, this contract is subject to the applicable provisions of the Living Wage Ordinance (LWO), Section 10.37 et seq. of the Los Angeles

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Administrative Code, as amended from time to time, and the Service Contractor Worker Retention Ordinance (SCWRO), Section 10.36 et seq., of the Los Angeles Administrative Code, as amended from time to time. 1.

CONSULTANT assures payment of a minimum initial wage rate to employees as defined in the LWO and as may be adjusted each July 1 and provision of benefits as defined in the LWO.

2.

CONSULTANT further pledges that it will comply with federal law proscribing retaliation for union organizing and will not retaliate for activities related to the LWO. CONSULTANT shall require each of its Subcontractors within the meaning of the LWO to pledge to comply with the terms of federal law proscribing retaliation for union organizing. CONSULTANT shall receive and retain on file the executed pledges from each such Subcontractor within ninety (90) days of the execution of the Subcontract. CONSULTANT’S evidence of executed pledges from each such Subcontractor shall fully discharge the obligation of the CONSULTANT to comply with the provision in the LWO contained in Section 10.37.6(c) concerning compliance with such federal law. The CONSULTANT, whether an employer, as defined in the LWO, or any other person employing individuals, shall not discharge, reduce in compensation, or otherwise discriminate against any employee for complaining to the City with regard to the employer’s compliance or anticipated compliance with the LWO, for opposing any practice proscribed by the LWO, for participating in proceedings related to the LWO, for seeking to enforce his or her rights under the LWO by any lawful means, or otherwise asserting rights under the LWO. CONSULTANT shall post the Notice of Prohibition Against Retaliation provided by the City. Any Subcontract entered into by the CONSULTANT relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of LWO and the SCWRO, and shall incorporate the LWO and SCWRO. CONSULTANT shall comply with all rules, regulations and policies promulgated by the designated administrative agency, which may be amended from time to time.

3.

4.

5.

Under the provisions of Section 10.36.3(c) and Section 10.37.5(c) of the Los Angeles Administrative Code, the City shall have the authority, under appropriate circumstances, to terminate this contract and otherwise pursue legal remedies that may be available if the City determines that the subject CONSULTANT has violated provisions of the LWO and the SCWRO or both. Where under the LWO Section 10.37.6(d), the designated administrative agency has determined (a) that the CONSULTANT is in violation of the LWO in having failed to pay some or all of the living wage, and (b) that such violation has gone uncured, the awarding authority in such circumstances may impound monies otherwise due the CONSULTANT in accordance with the following procedures. Impoundment shall mean that from monies due the CONSULTANT, the awarding authority may deduct the amount determined to be due and owing by the CONSULTANT to its employees. Such monies shall be placed in the holding account referred to in LWO Section 10.37.6(d)(3) and disposed of under procedures there described through final and binding arbitration. Whether the CONSULTANT is to continue work following an impoundment shall remain in the unfettered discretion of the awarding authority. The CONSULTANT may not elect to discontinue work either because there has been an impoundment or because of the ultimate disposition of the impoundment by the arbitrator. Earned Income Tax Credit This contract is subject to the provisions of Section 10.37.4 of the Los Angeles Administrative Dollars ($12.00) per hour of their possible right to the federal Earned Income Tax Credit (EITC). Employers must

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further make available to employees the forms required to secure advance EITC payments from employers. PSC-21

Americans with Disabilities Act

The Consultant hereby certifies that it will comply with the Americans with Disabilities Act 42, U.S.C. Section 12101 et seq., and its implementing regulations. The Consultant will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act. The Consultant will not discriminate against persons with disabilities nor against persons due to their relationship or association with a person with a disability. Any subcontract entered into by the Consultant, relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. PSC-22

Standard Provisions for Department of Water and Power Professional Service Contracts – Retention of Records, Audit, and Reports (revised October 16, 2007

Consultant shall maintain, and shall cause Consultant’s subconsultants and suppliers as applicable to maintain all records pertaining to the management of this Agreement and, related subcontracts, and performance of services pursuant to this Agreement, in their original form, including but not limited to, reports, documents, deliverables, employee time sheets, accounting procedures and practices, records of financial transactions, and other evidence, regardless of form (e.g., machine readable media such as disk, tape, etc.) or type (e.g., databases, applications software, database management software, utilities, etc.), sufficient to properly reflect all costs claimed to have been incurred and services performed pursuant to this Agreement. If the Consultant, the Consultant’s subconsultants and/or suppliers are required to submit cost or pricing data in connection with this Agreement, the Consultant must maintain all records and documents necessary to permit adequate evaluation of the cost or pricing data submitted, along with the computations and projections used. All records shall be retained, and shall be subject to examination and audit by Department personnel or by the Department’s agents (herein after “Authorized Auditors”), for a period of not less than four (4) years following final payment made by the Department hereunder or the expiration date of this Agreement, whichever is later. The Consultant shall make said records or to the extent accepted by the Authorized Auditors, photographs, micro-photographs, etc. or other authentic reproductions thereof, available to the Authorized Auditors at the Consultant’s offices at all reasonable times and without charge. The Authorized Auditors will have the right to reproduce, photocopy, download, transcribe, and the like any such records. Any information provided by the Consultant on machine-readable media shall be provided in a format accessible and readable by the Authorized Auditors. The Consultant shall not, however, be required to furnish the Authorized Auditors with commonly available software. Consultant, and the Consultant’s subconsultants and suppliers, as applicable to the services provided under this Agreement, shall be subject at any time with fourteen (14) calendar days prior written notice to audits or examinations by Authorized Auditors, relating to all billings and to verify compliance with all Agreement requirements relative to practices, methods, procedures, performance, compensation, and documentation. Examinations and audits will be performed using generally accepted auditing practices and principles and applicable City, State and Federal government audit standards. For Consultants that utilize or are subject to FAR, Part 30 and 31, et seq. accounting procedures, or a portion thereof, examinations and audits will utilize such information.

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To the extent that the Authorized Auditor’s examination or audit reveals inaccurate, incomplete or noncurrent records, or records are unavailable, the records shall be considered defective. Consistent with standard auditing procedures, the Consultant will be provided fifteen (15) calendar days to review the Authorized Auditor’s examination results or audit and respond to the Department prior to the examination’s or audit’s finalization and public release. If the Authorized Auditor’s examination or audit indicates the Consultant has been overpaid under a previous payment application, the identified overpayment amount shall be paid by the Consultant to the Department within fifteen (15) calendar days of notice to the Consultant of the identified overpayment. The Consultant shall contractually require all subconsultants performing services under this Agreement to comply with the provisions of this section by inserting this provision PSC- 22 in each subconsultant contract and by contractually requiring each subconsultant to insert this provision PSC-22 in any of its subconsultant contracts related to services under this Agreement. In addition, Consultant and subconsultants shall also include the following language in each subconsultant contract: “The Department of Water and Power is a third party beneficiary of the foregoing audit provision. The benefits of the audit provision shall inure solely for the benefit of the Department of Water and Power. The designation of the Department of Water and Power as a third party beneficiary of the audit provision shall not confer any rights or privileges on the Consultant, subconsultant or any other person/entity.” The provisions of this section shall survive expiration or termination of this Agreement. PSC-23

Discount Terms

Consultant agrees to offer the Department any discount terms that are offered to its best customers for the goods and services at the same level and volume to be provided hereunder and apply such discount to payments made under this Agreement which meet the discount terms. Discount terms are limited to no more than ten percent (10%) payable in 25 days or 10%, net 25. PSC-24

Consultant Responsibility

By signing this Agreement the Consultant pledges, under penalty of perjury, to comply with all applicable federal, state, and local laws in the performance of this Agreement, including but not limited to, laws regarding health and safety, labor and employment, wages and hours, and licensing laws which effect employees. The Consultant further agrees to provide written notice to the Department within thirty (30) calendar days after being notified or acquiring knowledge of the following: 1) that any government agency has initiated an investigation which may result in a finding that the Consultant, or any of its subconsultants of any tier, is not in compliance with any applicable federal, state, and local laws in the performance of this Agreement; 2) all findings by a government agency or court of competent jurisdiction that the Consultant, or any of its subconsultants of any tier, has violated any applicable federal, state, and local laws. Further, by signing this Agreement the Consultant pledges, under penalty of perjury, that the Consultant has not been found by a court of competent jurisdiction to have violated the California or Federal False Claims Act with an act of moral turpitude or committed a crime involving moral turpitude. The Consultant further agrees to notify the Department within thirty (30) calendar days of any adverse finding by a court of competent jurisdiction related to the Consultant’s violation of the California or Federal False Claims Act with an act of moral turpitude or committed a crime involving moral turpitude. The Consultant shall contractually obligate all Consultant subconsultants to comply with all applicable federal, state, and local laws in the performance of this Agreement and report any governmental agency

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investigations or violations of such applicable federal, state, and local laws or violations of the California or Federal False Claims Act to the Department, consistent with the provisions of this Section. PSC-25

Warranty and Responsibility of Consultant

Consultant warrants that the work performed hereunder shall be completed in a manner consistent with professional standards practiced among those firms within the Consultants profession, doing the same or similar work under the same or similar circumstances. PSC-26

Small, Disabled Veteran, Minority, Women, and Other Business Enterprise Outreach

Consultant agrees and obligates itself to utilize the services of Small, Disabled Veteran, Minority, Women, and Other Business Enterprise firms on a level so designated in this Agreement, if any. Consultant shall not change any of these designated subconsultants, nor shall Consultant reduce their level of effort, without prior written approval of the Department, provided such approval shall not be unreasonably withheld. PSC-27

Ownership

Unless otherwise provided for herein, all documents, material, data, and reports originated and prepared by Consultant or Consultant’s subconsultants under this Agreement shall be and remain the property of the Department for its use in any manner it deems appropriate. The provisions of this paragraph shall survive expiration or termination of this Agreement. PSC-28

Department of Water and Power’s Recycling Policy

The Consultant shall submit all written documents on paper with a minimum of thirty (30) percent postconsumer recycled content. Existing company/corporate letterhead/stationery that accompanies these documents is exempt from this requirement. Documents of two or more pages in length shall be duplexcopied (double-sided pages). Neon or fluorescent paper shall not be used in any written documents submitted to the Department. PSC-29

Taxpayer Identification Number (TIN)

The Consultant represents that it has obtained and presently has a Tax Identification Number (TIN). For the term covered by this Agreement, the Consultant shall maintain, or obtain as necessary, a TIN. No payment will be made under this Agreement without a valid TIN number. PSC-30

Beneficiaries

This Agreement is intended only for the benefit of the Parties hereto and does not, nor shall be interpreted to, create any rights in any nonsignatory to this Agreement. PSC-31

Consultant’s Successors and Assigns

All indemnifications and warranties provided by the Consultant pursuant to this Agreement will be assumed by and binding upon the Consultant's successors and assigns. The provisions of this paragraph shall survive expiration or termination of this Agreement.

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PSC-32

Attorney’s Fees and Costs

Both Parties hereto agree that in any action to enforce the terms of this Agreement, each Party shall be responsible for its own attorneys’ fees and costs. The provisions of this paragraph shall survive expiration or termination of this Agreement. PSC-33

Equal Benefits Ordinance

Unless otherwise exempted in accordance with the provisions of this Ordinance, this Contract is subject to the applicable provisions of the Equal Benefits Ordinance (EBO) Section 10.8.2.1 of the Los Angeles Administrative Code, as amended from time to time. 1. During the performance of the Contract, the CONSULTANT certifies and represents that the CONSULTANT will comply with the EBO. The CONSULTANT agrees to post the following statement in conspicuous places at its place of business available to employees and applicants for employment: “During the performance of a Contract with the City of Los Angeles, the CONSULTANT will provide equal benefits to employees with spouses and its employees with domestic partners. Additional information about the City of Los Angeles’ Equal Benefits Ordinance may be obtained from the Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance at (213) 847-1922.” 2. The failure of the CONSULTANT to comply with the EBO will be deemed to be a material breach of the Contract by the Awarding Authority. 3. If the CONSULTANT fails to comply with the EBO the Awarding Authority may cancel, terminate or suspend the Contract, in whole or in part, and all monies due or to become due under the Contract may be retained by the City. The City may also pursue any and all other remedies at law or in equity for any breach. 4. Failure to comply with the EBO may be used as evidence against the CONSULTANT in actions taken pursuant to the provisions of Los Angeles Administrative Code Section 10.40 et seq., Contractor Responsibility Ordinance. 5. If the Bureau of Contract Administration determines that a CONSULTANT has set up or used its Contracting entity for the purpose of evading the intent of the EBO, the Awarding Authority may terminate the Contract on behalf of the City. Violation of this provision may be used as evidence against the CONSULTANT in actions taken pursuant to the provisions of Los Angeles Administrative Code Section 10.40 et seq., Contractor Responsibility Ordinance. PSC-34

Contractor Responsibility Program

Unless otherwise exempt in accordance with the provisions of the Ordinance, this Contract is subject to the provisions of the Contractor Responsibility Ordinance, Section 10.40 et seq., of the Los Angeles Administrative Code, which requires CONSULTANT to update its responses to the responsibility questionnaire within thirty calendar days after any change to the responses previously provided if such change would affect CONSULTANT'S fitness and ability to continue performing the contract. In accordance with the provisions of this Ordinance, by signing this Contract, CONSULTANT pledges, under penalty of perjury, to comply with all applicable federal, state and local laws in the performance of this contract, including but not limited to, laws regarding health and safety, labor and employment, wages and hours, and licensing laws which affect employees. The CONSULTANT further agrees to: 1. Notify the awarding authority within thirty calendar days after receiving notification that any government agency has initiated an investigation which may result in a finding that

33

2.

3. 4.

PSC-35

the CONSULTANT is not in compliance with all applicable federal, state and local laws in performance of this contract; Notify the awarding authority within thirty calendar days of all findings by a government agency or court of competent jurisdiction that the CONSULTANT has violated the provisions of Section 10.40.3(a) of the Ordinance; Ensure that its subcontractor(s), as defined in the Ordinance, submit a Pledge of Compliance to awarding authorities; and Ensure that its subcontractor(s), as defined in the Ordinance, comply with the requirements of the Pledge of Compliance and the requirement to notify Awarding Authorities within thirty calendar days after any government agency or court of competent jurisdiction has initiated an investigation or has found that the subcontractor has violated Section 10.40.3(a) of the Ordinance in performance of the subcontract. Bidder Campaign Contribution and Fundraising Restrictions

In accordance with the City of Los Angeles Charter Section 470(c)(12) and related ordinances, bidders may not make campaign contributions to and or engage in fundraising for certain elected City officials or candidates for elected City office from the time they submit a bid to the Department until either the contract is awarded or, for successful bidders, 12 months after the contract is executed. The bidder's principals and subcontractors performing $100,000 or more in work on the contract, as well as the principals of those subcontractors, are also subject to the same limitations on campaign contributions and fundraising. The Consultant shall comply with the City Ethics Commission’s “CEC Form 55” (3 pages) affidavit. The affidavit requires bidders to identify their principals, their subcontractors performing $100,000 or more in work on the contract, and the principals of those subcontractors. Consultants shall also notify their principals and subcontractors in writing of the restrictions and include the notice in contracts with subcontractors. Consultants who fail to comply with City law may be subject to penalties, termination of contract, and debarment. Additional information regarding these restrictions and requirements may be obtained from the City Ethics Commission at (213) 978-1960 or ethics.lacity.org. PSC-36

Municipal Lobbying Ordinance

The City of Los Angeles Municipal Code Section 48.01 et seq. requires certain individuals and entities to register with the City Ethics Commission and requires public disclosure of certain lobbying activities, including money received and spent. Therefore all bidders for all construction contracts, public leases, or licenses of any value and duration and bidders for goods or service contracts with a value of more than $25,000 and a term of at least 3 months, shall comply with the City Ethics Commission’s “CEC Form 50” (1 page) affidavit. A copy of the City of Los Angeles Municipal Lobbying Ordinance is available for download on the City Ethics Commission’s website at http://ethics.lacity.org/PDF/laws/law_mlo.pdf. Additional information regarding the Municipal Lobbying Ordinance may be obtained from the City Ethics Commission at (213) 978-1960 or ethics.lacity.org. PSC-37

Iran Contracting Act of 2010

In accordance with California Public Contract Code Sections 2200-2208, all Consultants entering into, or renewing contracts with the LADWP for goods and services estimated at one million dollars ($1,000,000) or more shall complete, sign, and submit the "Iran Contracting Act of 2010 Compliance Affidavit". PSC-38

Background Check Certification Requirement

34

The Contractor shall (1) perform the required background checks of all designated principals, employees and/or subcontractors of the Contractor; and (2) not assign principals, employees and/or subcontractors of the Contractor convicted of any felony or offense of moral turpitude, or for whom other derogatory information has been found pursuant to criteria set forth in this Agreement or any attachment hereto (including, without limitation, Background Check Certification) shall result in irreparable harm to LADWP and, at LADWP's option, the immediate termination for breach of contract without opportunity to cure, without liability on the part of LADWP. Contractor agrees to submit a statement along with any invoices or billing associated with this Agreement which certifies that all work performed under this Agreement at critical facilities as designated by LADWP to Contractor was conducted by persons for whom background checks have been conducted and who do not have disqualifying background information in their histories pursuant to this section. Contractor is advised that submission of a false claim for payment to LADWP may subject Contractor to liability under the California False Claims Act (Cal. Gov't Code Sec. 12650 et seq.). In addition, any failure to comply with the background procedures as required by this section may be considered in connection with future contracting opportunities with LADWP. The following specific language in the invoices/bills is acceptable: "Contractor certifies that all work performed for which this invoice/bill is submitted which required access to critical facilities as designated by LADWP was performed by persons for whom background checks have been conducted, and for whom no disqualifying information (including felonies, offenses of moral turpitude, and other disqualifying criteria, if any, as specified in the Agreement between Contractor and LADWP) has been found." None of the remedies available to LADWP under this section shall preclude LADWP from any other remedies available in law or equity to compensate it for damages caused by the contractor's failure to comply with this section. PSC-39

Contractor Performance Evaluation

The Department will evaluate and record the Contractor’s overall performance to determine whether the Contractor is fulfilling its obligations on the current contract and to assess the Contractor’s suitability to perform work for the Department in the future. Contractors are required to meet critical contract provisions including, but not limited to, timely shipment and delivery of goods, completeness of delivered goods, quality of delivered goods, accuracy of billing, and conformance to the terms and conditions of the contract. If such conditions are breached, consistent with the terms of the contract, the Director of Supply Chain Services may terminate the contract for poor performance and may also debar the Contractor from doing business with the Department for a period up to five years.

END OF STANDARD PROVISIONS

35

EXHIBIT C ESCROW AGREEMENT

An Escrow Agreement is not required under this agreement.

36

EXHIBIT D CONTRACTOR’S QUALITY ASSURANCE PROGRAM

A Quality Assurance Program is not required under this agreement.

37

EXHIBIT E BACKGROUND TECHNOLOGY

Background Technology is not required under this agreement.

38

EXHIBIT F CONTRACT INSURANCE REQUIREMENTS

The Contract Insurance Requirements contained as Attachment E to the RFP will be incorporated here.

39

EXHIBIT G INVOICE CRITERIA

Los Angeles Department of Water and Power NOTE: ANY FEE PAYMENTS MADE IN EXCESS OF FEES ACTUALLY OWED TO CONTRACTOR ARE NULL AND VOID, SHALL BE DEDUCTED FROM FUTURE FEE PAYMENTS AND/OR RETENTION, AND MAY RESULT IN LIABILITY FOR DAMAGES FOR PRESENTING FALSE CLAIMS Send invoice to: Accounts Payable Los Angeles Department of Water and Power City of Los Angeles PO Box 51211, Room 424 Los Angeles, CA 90051-5511 (Required invoice information) Vendor Name Vendor Address Vendor Phone Number Vendor Fax Number Vendor Email Address Business Tax Registration Certificate (BTRC#) Invoice Number Invoice Date Purchase Order Number Purchase Order Date Payment Terms Please Remit Payment To: (Vendor Name and Address) User Name Billing Address (LADWP Address) Attn: Contract Administrator Name 40

Invoice Description/Details Item Serial Number(s) Quantity Unit Price Total Amount

And any other necessary information

41

EXHIBIT H PRIOR WORK PRODUCT

Prior Work Product is not required under this agreement.

42

EXHIBIT I HARDWARE MAINTENANCE

"Hardware Maintenance" shall consist of: a. The LADWP may, from time to time contact Contractor by telephone or e-mail to consult with Contractor regarding the operation of the Hardware and notify Contractor of any Hardware Errors. b. If the Contractor wishes to inspect any Hardware with Errors, the LADWP may, if so requested, return such Hardware to Contractor (at Contractor’s risk and expense), or if the foregoing is not reasonable in the LADWP’s judgment, the LADWP may require the Contractor to come to the LADWP’s facility to make such inspection. In any case, such inspection shall be carried out no later than one (1) day from notice of any Hardware Errors. c. Promptly following such Contractor inspection, Contractor shall use its most diligent efforts to repair such Hardware or replace such Hardware with conforming Hardware, which shall be installed by Contractor upon request, no later than 5 business days after notice from the LADWP. Hours and Facilities. Contractor shall make Hardware Maintenance available during the LADWP’s normal business days and normal business hours.

43

EXHIBIT J SOFTWARE MAINTENANCE

1.

“Software Maintenance” shall consist of the following: a. The LADWP’s Contract Administrator may, from time to time contact Contractor by telephone or e-mail to consult with Contractor regarding the operation of the Software and any Error. b. The LADWP's Contract Administrator shall provide to Contractor all documentation and related information with respect to each Error, and Contractor shall examine same. c. Contractor shall use its most diligent efforts to correct such Errors by providing Updates to the Software, and shall provide conforming Software to the LADWP promptly thereafter.

2. Contractor shall make Software Maintenance available during the LADWP’s normal business days and normal business hours. 3. For purposes of this EXHIBIT J (“SOFTWARE MAINTENANCE”), Errors shall be classified as follows: a. “Level 1 Errors” shall mean Errors which cause a significant impact in the LADWP’s ability to deliver water or power to customers. b. “Level 2 Errors” shall mean Errors which cause a significant impact upon the LADWP’s information technology system, but does not impair the LADWP’s ability to deliver water or power to customers. c. “Level 3 Errors” shall mean Errors which are not Level 1 Errors or Level 2 Errors. 4. Contractor shall use its most diligent efforts to respond to and acknowledge Errors as follows: a. Level 1 Errors: The LADWP shall report Level 1 Errors to Contractor using an external call logging service. Contractor shall use its diligent efforts to respond and acknowledge such notice by telephone, email or fax within four (4) hours of receipt. Contractor will promptly thereafter assemble a team of Contractor engineers to provide corresponding Software Maintenance (and will do so outside of normal business days as necessary), and shall inform the LADWP of the contact information for the leader of such team. b. Level 2 Errors: The LADWP shall report Level 2 Errors to Contractor by email. Contractor shall respond and acknowledge such notice promptly. c. Level 3 Errors: The LADWP shall report Level 3 Errors to Contractor by email. Contractor shall respond and acknowledge such notice promptly. 44

EXHIBIT K RIGHT TO AUDIT CLAUSE 1. Right to Audit: The Contractor and the Contractor’s subcontractors and suppliers shall be subject at any time with 7 calendar days prior written notice to audits by the Department or the Department’s agents, collectively defined as "Authorized Auditors", relating to all billings and to verify compliance with all contract requirements relative to practices, methods, procedures, and documentation. The Authorized Auditors shall have access to all records and data relating to the contract. The audits will be performed using FAR, Part 30 and 31, et seq., generally accepted accounting practices and principles, and City Contractor Cost Guidelines, and any other applicable City, State and Federal government audit standards if any. The Contractor shall maintain and the Authorized Auditors will have the right to examine and audit all books, records, documents, accounting procedures and practices, and other evidence, regardless of form (e.g., machine readable media such as disk, tape, etc.) or type (e.g., databases, applications software, database management software, utilities, etc.), sufficient to properly reflect all costs claimed to have been incurred or anticipated to be incurred in performing the Contract. Any information provided on machine-readable media shall be provided in a format accessible and readable by the Authorized Auditors. The Contractor shall not, however, be required to furnish the Authorized Auditors with commonly available software. If the Contractor, the Contractor’s subcontractors and/or suppliers are required to submit cost or pricing data in connection with the Contract and/or the Contract Amendment, the Authorized Auditors will have the right to examine all documents necessary to permit adequate evaluation of the cost or pricing data submitted, along with the computations and projections used. The Authorized Auditors will also have the right to reproduce, photocopy, download, transcribe, and the like any such records. The Contractor shall make said evidence or to the extent accepted by the Authorized Auditors, photographs, microphotographs etc. or other authentic reproductions thereof available to the Authorized Auditors at the Contractor’s offices at all reasonable times and without charge. The Contractor and the Contractor’s subcontractors and suppliers shall keep and preserve all such records for a period of not less than 3 years from and after Final Payment or, if the Contract is terminated in whole or in part, until 3 years after final Contract closeout. The Contractor, the Contractor’s subcontractors and suppliers shall account for and be responsible for unallowable costs and mutually agreed unallowable costs. The detail and depth of records required as backup support for proposals, billings, or claims shall be that which adequately establishes and maintains visibility of identified unallowable costs, costs directly associated to unallowable costs, and allowable costs. All Changes are subject to audit. Changes with an absolute value of one hundred thousand ($100,000) dollars or more shall require an audit. The City may waive the right to audit where there was adequate price competition, an established catalog or market prices for commercial items sold in substantial quantities to the public, and/or prices set by law or regulation. The Contractor shall maintain and segregate cost and pricing data, books, records, documents, and any other accounting evidence sufficient to properly reflect all direct and indirect costs of whatever nature claimed to have been incurred or anticipated to be incurred by a Contract Amendment, including a change order. 45

For a period of 3 years from the date of Final Payment under the Contract, and prior to the execution of any Contract Amendment that exceeds an absolute value of one hundred thousand dollars ($100,000), the Authorized Auditors will have the right to examine all books, records, documents, and any other applicable data or evidence that relate to the negotiation and/or performance of the Contract and/or a contract amendment for the purpose of evaluating the accuracy and completeness of the cost or pricing data submitted by the Contractor. To the extent that the examination reveals inaccurate, incomplete, or non-current data, the data shall be considered defective; if the audit indicates the Contractor has been overpaid under a previous payment application, such overpayment, after 10 calendar days notice to the Contractor, shall be paid to the Department. The Authorized Auditors may require that the Contractor supply appropriate documentation to support the costs or prices proposed for a Contract amendment, including a change order, and will refuse to complete negotiations until satisfactory documentation is submitted. The Contractor’s books, records, documents and any other applicable data or evidence that relate to the negotiations and/or performance of the contract amendment shall be subject to audit and inspection. Also subject to audit shall be the Contractor’s records, books, documents and any other applicable data or evidence relating to those items on a billing that relates to: a. Work performed under the contract and/or a change order; b. Goods not yet incorporated into the work; c. Services or work performed under a contract amendment negotiated on an indefinite quantity basis; and d. Fixed-price change orders to validate the claimed percentage of completion on the payment application. Notwithstanding the foregoing, if the audit reveals that the overpayment is more than 5% of the billing, the Contractor shall pay all expenses and costs incurred by the Authorized Auditors arising out of or related to the audit.

46

EXHIBIT M REPORT DATA ELEMENTS AND MONTHLY SUBCONTRACTOR UTILIZATION FORM I.

REPORT DATA ELEMENTS The Contractor shall demonstrate on the reports the progress and compliance with the requirements, and present any problems they may have encountered. Additionally, the Contractor shall include the following elements in the respective reports. The reports are due on the 5th and 20th of each month. Shall the due date fall on a Saturday, Sunday, or a Holiday, the Contractor shall submit the reports by the following business day. (1)

Purchase Order Report Data Elements Purchase Order (PO) Number Product Description Manufacturer Name Production/Part Number Product Serial number Quantity Unit Price Total (Extended) Price Order Date Expected Delivery Date Date Received Warranty Period End Date Status (Open Order, Complete, Back-Ordered, Discounted, Substitute, etc.)

(2)

Invoice Report Data Elements Item Number Item Description Vendor Name PO Number PO Date Invoice Number Invoice Date Date Invoice Received Invoice Status Payment Status Check Number

(3)

Asset Inventory Information Report Data Elements Manufacturer Name Model Serial Number Warranty Start Date Warranty End Date PO Number

47

II. MONTHLY SUBCONTRACTOR UTILIZATON REPORT The Contractor shall complete and submit to the Contract Administrator on a monthly basis, by the 5th of each month, the Los Angeles Department of Water and Power – Monthly Subcontractor Utilization Report. A blank Monthly Subcontractor Utilization Report form is included in this appendix.

48

                  SECTION FIVE    LIST OF ATTACHMENTS   

Revised 02.14.14 

LIST OF ATTACHMENTS    Attachment A 

Notice of Intent to Propose 

Attachment B 

Business Tax Registration Certificate Application 

Attachment C 

Resources for Finding Certified SBEs and DVBEs 

Attachment D 

Good Faith Effort Documentation Guide  

Attachment E 

Contract Insurance Requirements ‐ Department of Water and Power 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

        ATTACHMENT A  NOTICE OF INTENT TO PROPOSE 

ATTACHMENT A

NOTICE OF INTENT TO SUBMIT PROPOSAL RFP No. _____________ Please submit this form no later than the date established in the Request for Proposal (RFP) Instructions to Proposers paragraph 5.0 entitled Anticipated Procurement Schedule. This notice will assist the Los Angeles Department of Water and Power staff in its planning efforts. Submission of this notice is not a prerequisite for submitting a proposal, nor does it obligate the organization to submit a proposal. Please return this form via email, fax or mail to the attention of the Buyer listed in the solicitation. Director of Supply Chain Services Attention: (Buyer listed on the solicitation) c/o Vendor Liaison Center Los Angeles Department of Water and Power 111 N Hope Street, Room L43 Los Angeles CA 90012 Thank you in advance for your interest and cooperation. Company Name: Contact Person: Phone Number: Email: FAX: If you will not submit a proposal in response to this solicitation please check one of the following or describe in the line listed as other: Not in area of expertise Time frame too short Unable to meet bonds/insurance requirements Lack capacity at this time. Other (Please describe)

____________________ __________________ Name Signature NOI Rev. 0-040913

_________________ _________ Title Date

                ATTACHMENT B  BUSINESS TAX REGISTRATION CERTIFICATE APPLICATION     

&,7<2)/26$1*(/(6

OFFICE OF FINANCE CITY HALL 200 NO. SPRING ST., ROOM 101 LOS ANGELES, CA 90012-5701 (USE MAIN ST. ENTRANCE) ___

CALIFORNIA

ANTOINETTE CHRISTOVALE DIRECTOR OF FINANCE

(213) 473-5901 FAX (213) 978-1548 WWW.CITYOFLA.ORG/FINANCE

ANTONIO R. VILLARAIGOSA

MAYOR

IMPORTANT NOTICE Dear City of Los Angeles Vendor: Re:

Tax Registration Certificate (TRC) and/or Vendor Registration Number (VRN)

On October 14, 1987, the City of Los Angeles Controller’s Office implemented a program designed to ensure that all businesses (hereafter referred to as vendors), which contract to provide goods or services to the City, have fully complied with all business tax requirements. As such, each vendor must provide the Controller’s Office with a registration account number issued by the Los Angeles Office of Finance, prior to being paid for any goods or services provided. The Office of Finance is responsible for the collection of various taxes, fees, and charges as required under the Los Angeles Municipal Code. Section 21.03 L.A.M.C. (Imposition of Tax) requires persons engaged in any business or occupation within the City of Los Angeles to register and pay the required tax due. Businesses, including vendors, owing a business tax are issued a Tax Registration Certificate (TRC). However, in some cases businesses are not required to pay a business tax, depending on the nature and location of that business. In those cases, the vendor is issued a Vendor Registration Number (VRN). In order to be paid under contract with the City, a Tax Registration Certificate Number (TRC) or Vendor Registration Number (VRN) must be provided to the Controller’s Office. In order to obtain the required registration number, please complete and return the enclosed application (Exhibit A), along with the appropriate attachments, based on your business activity. Applications are reviewed by Office of Finance personnel and the appropriate registration number will be issued. An annual business tax is due upon issuance of a Tax Registration Certificate Number (TRC). All Vendor Registration Numbers (VRN) will be reviewed on an annual basis. Additionally, non-profit organizations may apply for an exempt Tax Registration Certificate. Applications for exemption of the City of Los Angeles business tax are reviewed by the Office of Finance and/or the Los Angeles Police Department, Commission Investigation Division, Charitable Services Unit to determine if an exemption should be granted. The determination is generally completed in approximately thirty (30) days from the date all required documentation is submitted. If you require non-profit tax exemption information, please contact the Tax Exemption Unit at (213) 978-3050, or if you have questions regarding Vendor Registration, please contact the Special Desk Unit at (213) 473-5901. Enclosures

Wpa#A3:vrnAPPL

(Revised 11/05)

AN EQUAL OPPORTUNITY – AFFIRMATIVE ACTION EMPLOYER

Office of Finance (Main Office) City Hall 200 North Spring Street Room 101 Los Angeles, CA 90012 (213) 978-1521 Hours: 8:00 a.m. – 5:00 p.m. Monday – Friday

BRANCH OFFICES

TELEPHONE NUMBERS

HOURS

Van Nuys Civic Center 6262 Van Nuys Blvd #110

(818) 374-6850

Monday – Friday 8:00 a.m. – 5:00 p.m.

West Los Angeles 1828 Sawtelle Bl., Room 102

(310) 575-8888

Monday – Friday 8:00 a.m. – 5:00 p.m.

Hollywood 6501 Fountain Ave.

(213) 485-3935

Monday – Friday 8:00 a.m. – 5:00 p.m.

San Pedro 638 S. Beacon St. Room 211

(310) 732-4537

Mon. Wed. Fri. 7:30-Noon/1-4:30 p.m.

Westchester Municipal Building 7166 W. Manchester Ave., Room 9

(213) 473-6750

Tues. & Thurs. 8-Noon/1-4:30 p.m.

Watts Civic Center Building 10221 Compton Ave., Room 202

(213) 473-5109

Tues. & Thurs. 1:00-4:30 p.m.

Figueroa Plaza Bldg. One Stop Ctr. 201 N. Figueroa St., 3rd Floor (Counter 17)

(213) 482-7032

Mon. Tue. Thu. Fri. 7:30 – 4:30 p.m. Wed. 9:00 a.m.-4:30 p.m.

(Revised 11/05)

C:ia/cr

EXHIBIT A APPLICATION FOR TAX REGISTRATION CERTIFICATE OR VENDOR REGISTRATION NUMBER In order to obtain the required Tax Registration Certificate or a Vendor Registration Number, please complete the following information: LEGAL NAME OF OWNER: (Individual, Partnership, or Corporation) BUSINESS NAME: (DBA or Fictitious Name of Business) BUSINESS ADDRESS: (Do Not Use a P.O. Box)

Residential Non-residential

MAILING ADDRESS: (If Different from Business Address) C/O:

DESCRIPTION OF BUSINESS:

BUSINESS START DATE WITHIN THE CITY OF LOS ANGELES: MONTH

DAY

YEAR

Please circle the exhibit(s) you are submitting with EXHIBIT A: B

C

D

E

F

G

H

I

J

SOCIAL SECURITY NUMBER (SSN), if there ARE NO business related employees:

K

L

M

FEDERAL EMPLOYER IDENTIFICATION NUMBER (FEIN), if there ARE related employees: OR

SSN

FEIN

NOTE: SSN/FEIN is confidential, not part of public record. Title:

Signature: Telephone: (

)

Date:

Return this application and the applicable exhibits to the Office of Finance, Special Desk Unit, 200 N. Spring St, Room. 101, Los Angeles, California 90012. --------------------------------------------------------------------------------------------------------------------------------------------------

FOR OFFICE USE ONLY

(Revised 11/05)

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INFORMATION AND VENDOR QUESTIONNAIRE PACKAGE CONTENTS EXHIBIT A

APPLICATION

EXHIBIT B

SELLING GOODS, WARES, OR MERCHANDISE AT WHOLESALE OR RETAIL

EXHIBIT C

PROFESSIONAL OR OCCUPATIONAL/MISCELLANEOUS SERVICES

EXHIBIT D

CONTRACTOR

EXHIBIT E

LEASING OR RENTING TANGIBLE PERSONAL PROPERTY

EXHIBIT F

LEASING OR RENTING COMMERCIAL PROPERTY

EXHIBIT G

LEASING OR RENTING HOTEL ROOMS, APARTMENTS OR RESIDENTIAL UNITS

EXHIBIT H

TRUCKING OR HAULING

EXHIBIT I

TRANSPORTING PERSONS FOR HIRE

EXHIBIT J

CERTIFICATION OF EXEMPTION – CONSTITUTIONAL/GOVERNMENT EXEMPTIONS

EXHIBIT K

CERTIFICATE OF EXEMPTION – ONE TIME PURCHASE OVER $200

EXHIBIT L

CONDUCTING, OPERATING, OR PROMOTING ANY ENTERTAINMENT, SHOW OR EXHIBITION

EXHIBIT M

CERTIFICATE OF EXEMPTION – VENDORS DEEMED CITY OF LOS ANGELES EMPLOYEES

(Revised 11/05)

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EXHIBIT B SELLING GOODS, WARES, OR MERCHANDISE AT WHOLESALE OR RETAIL

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____

____

(If Yes, (If No, Answer #2) Answer #3)

You are engaged in business within the City of Los Angeles when, through the physical presence of yourself, your employees, your agents, or your equipment, you carry on activities within the City of Los Angeles which are designed to solicit, promote, stimulate, or otherwise encourage the sale of goods, wares, or merchandise seven (7) or more days per calendar year. This includes the delivery of your merchandise within the City of Los Angeles in vehicles owned and operated by you or your employees. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

3.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

If your answer to Question No. 1 is “NO”, but you do have customers within the City of Los Angeles, please indicate below the method or methods by which activities in Question No. 1are accomplished: YES

NO

a. Advertising

____

____

b. Telephone orders

____

____

c. Bid by mail

____

____

d. Independent Commission Brokers/Sales Representative

____

____

If method (d) is used, please provide: Name______________________________________________________________________________________ Address____________________________________________________________________________________ City______________________________________________________State _____________________________ Telephone __________________________________________________________________________________ e. Deliveries are made by means other than vehicles operated by you. Signature (Revised 11/05)

____

Title C:ia/cr

____

EXHIBIT C

PROFESSIONAL OR OCCUPATIONAL/MISCELLANEOUS SERVICES

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____

____

(If Yes, (If No, Answer #2) Answer #3)

You are engaged in business within the City of Los Angeles when, through physical presence, you carry on any trade, calling, occupation, vocation, profession or other means of livelihood, as an independent contractor, and when the gross receipts are derived from or attributable to activities engaged in within the City of Los Angeles for seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

3.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

If your answer to Question No. 1 “NO”, but you do have gross receipts derived from activities within the City of Los Angeles, please indicate below the nature of your activity.

Signature

(Revised 11/05)

Title

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EXHIBIT D CONTRACTOR YES 1.

Are you engaged in business within the City of Los Angeles?

____ (If Yes, Answer #2)

NO ____ (If No, Answer #3)

You are engaged in business within the City of Los Angeles when, as a contractor or subcontractor, you or your employees undertake any job or project upon land located within the City of Los Angeles including the erection, alteration, improvement, or repair of any type of structure; plumbing, plastering, sheet metal, electrical, cement or tile work; excavating; erection of scaffolding; construction of roads, railroads, pipe lines for seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

3.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

If your answer to Question No. 1 is “NO”, but you do have contracts with the City of Los Angeles, please provide the Los Angeles City job site addresses below.

___________________________________________________________________________________________ ___________________________________________________________________________________________

Signature

(Revised 11/05)

Title

C:ia/cr

EXHIBIT E LEASING OR RENTING TANGIBLE PERSONAL PROPERTY

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____ (If Yes,

____ (If No,

Answer #2) Answer #3)

You are engaged in business within the City of Los Angeles when, through the physical presence of yourself, your employees, your agents, or your equipment, you carry on activities within the City which are designed to solicit, promote, stimulate or otherwise encourage the leasing or rental of tangible personal property for seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles. YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

If your answer to Question No. 1 is “NO”:

YES

NO

a.

Is the property installed at a location within the City of Los Angeles?

____

____

b.

Is there a provision in the lease or rental agreement that use of property is to take place within the City of Los Angeles?

____

____

Signature

Title

3.

(Revised 11/05)

C:ia/cr

EXHIBIT F LEASING OR RENTING COMMERCIAL PROPERTY

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____

____

You are engaged in business within the City of Los Angeles when you rent or let a building, or structure, or any space therein of any kind on land located in the City of Los Angeles to a tenant for purposes other than dwelling for seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

3.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

Please provide the location(s) of the leased property within the City of Los Angeles.

___________________________________________________________________________________________

Signature

(Revised 11/05)

Title

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EXHIBIT G LEASING OR RENTING HOTEL ROOMS, APARTMENTS OR RESIDENTIAL UNITS

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____

____

You are engaged in business within the City of Los Angeles when you conduct or operate in the City of Los Angeles a hotel, rooming house, apartment house, house court or bungalow court, any public camp, trailer camp, park or lot where the public may rent camping, trailer or tent space, and renting or letting rooms, apartments or other accommodations for dwelling in any such place for seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

3.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

If the answer to Questions No. 1 is “Yes” and you do not have a valid City of Los Angeles Tax Registration Certificate, please answer the following: a.

Do you rent four (4) or more units within the City of Los Angeles?

____

____

c.

Does your total gross receipts from the activity exceed $20,000 per calendar year?

____

____

Signature

(Revised 11/05)

Title

C:ia/cr

EXHIBIT H TRUCKING OR HAULING Supporting documentation identified by the Office of Finance may be required.

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____

____

You are engaged in business within the City of Los Angeles when you, your employees or your agents operate a motor vehicle within the City for hire or compensation seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Do you operate as a for hire motor carrier of property required to pay a fee to the State Under the Household Goods Carriers Uniform Business License Tax Act or the Motor Carriers of Property Uniform Fee Act? ____

____

Account Number 3.

If your answer to questions 2 and 3 is “NO”, please contact the Office of Finance, Call Center at (213) 978-1521 for instructions on completing the following: Please provide the following information for all vehicles: YEAR

UNLADEN WEIGHT

20

_______________

20

_______________

20

_______________

Signature

(Revised 11/05)

VEHICLE DAYS

NO. OF DAYS OPERATED

Title

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EXHIBIT I

TRANSPORTING PERSONS FOR HIRE Supporting documentation identified by the Office of Finance may be required.

1. Are you or do you plan to engage in business within the City of Los Angeles?

YES

NO

____

____

You are engaged in business within the City of Los Angeles when you, your employees or your agents operate a motor vehicle within the City for transportation of persons for hire or compensation seven (7) or more days per calendar year. 2. If yes, do you have a valid City of Los Angeles Tax Registration Certificate? If yes, please provide your Tax Registration Certificate account number:

____

____

____________________

3. Do you operate a charter party limousine(s) and have a business address outside the City of Los Angeles where all your vehicles are limousine(s) or luxury sedan(s) only, with a seating capacity of no more than 9 including the driver? _____

_____

4. Do you have a franchise granted by the City Department of Transportation?

_____

_____

5. Do you operate your vehicle exclusively in Interstate Commerce?

_____

_____

6. Do you operate a vehicle(s) that meets all of the following: (1) Operated exclusively between fixed termini or over regular routes in passenger stage operations. (2) Operated as indicated in (1) under certificate issued by the Public Utilities Commission, AND (3) Operation has been issued a certificate of public convenience and necessity by the Interstate Commerce Commission. _____

_____

If your answer to questions 2, 3, 4, 5 or 6 is “NO”, please contact the Office of Finance, Tax Exemption Unit at (213) 978-3057 for instructions on completing the following information for all vehicles: YEAR

SEATING CAPACITY (including driver)

20

_________________

20 20

__________________

NO. OF DAYS OPERATED

VEHICLE DAYS __________________

_________________

__________________

_________________

__________________

_________________

Additionally, please provide the following information for all vehicles that are operated within the City. Vehicle Make (e.g. Lincoln, Ford, Chevrolet, etc.)

Model (e.g. Towncar, Excursion, Express, etc.)

Body Style (e.g. Sedan, SUV, Van, etc.)

Seating Capacity (including Driver)

Print Name ___________________________________________

Date: ____________________________

Signature

Title

EXHIBIT J CERTIFICATION OF EXEMPTION CONSTITUTIONAL/GOVERNMENTAL EXEMPTION

The following entities are exempted from paying Business Taxes by the Constitution of the United States, the Constitution of the State of California or the Los Angeles Municipal Code: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13.

Banks Insurers – Insurance related activities which “In Lieu” taxes are paid to the State of California Foreign governments – Agencies exempt from Domestic Taxation by Treaty, International Law or Custom United States Government and Agencies State of California University of California California State Universities and Colleges Community Redevelopment Agency of the City of Los Angeles Housing Authority of the City of Los Angeles County of Los Angeles Los Angeles Convention and Exhibition Center Los Angeles Memorial Coliseum Commission Districts and Political Subdivisions under the Laws of the State of California (such as): a. Los Angeles Unified School District b. Los Angeles Community College District c. Los Angeles County Flood Control District d. Metropolitan Water District e. Metropolitan Transit Authority f. Mosquito Abatement Districts g. Wilmington Cemetery District h. Sanitation Districts

I declare, under penalty of perjury under the laws of the State of California, that to the best of my knowledge I/we are one of the entities described above and is/are exempted from paying the City of Los Angeles Business Tax.

Name of Agency

Nature of Business/Type of Agency

Address

Printed Name of Authorized Representative or Agent

Signature

Phone Number

Title

PLEASE RETURN THIS FORM TO THE DEPARTMENT TO WHICH YOU ARE PROVIDING SERVICES AND A COPY TO THE OFFICE OF FINANCE, 200 N. SPRING ST, RM. 101, LOS ANGELES, CALIFORNIA 90012, MAIL STOP 170 – ATTN: TAX EXEMPTION UNIT.

(Revised 11/05)

C:ia/cr

EXHIBIT K

CERTIFICATION OF EXEMPTION FOR ONE TIME PURCHASE OR SERVICE RENDERED OVER $200*

The

hereby certifies that a one time (Name of Department/Bureau)

purchase of (Type of Product/or Service) was made from the

costing (Cost of Purchase) following business:

(Name of Company)

(Address)

(Company Representative)

(Title)

(Phone Number)

I/we further certifiy that to the best of our knowledge, the business is NOT LOCATED IN THE CITY OF LOS ANGELES, does not solicit or conduct business in the City for seven (7) or more days during a calendar year, and does not deliver the goods or merchandise in its own vehicles within the City for seven (7) or more days during a calendar year. Based on the information provided, this business would not appear to owe a Business Tax.

(Department/Bureau Representative)

(Title)

c:

(Phone Number)

(Date)

Office of Finance 200 N. Spring St., Rm. 101 Los Angeles, CA 90012 Mail Stop 170 Attn: Tax Exemption Unit

(Revised 11/05)

C:ia/cr

EXHIBIT L CONDUCTING, OPERATING, OR PROMOTING ANY ENTERTAINMENT, SHOW OR EXHIBITION

1.

Are you engaged in business within the City of Los Angeles?

YES

NO

____ (If Yes,

____ (If No,

Answer #2)

Answer #3)

You are engaged in business within the City of Los Angeles when, through physical presence, you conduct, operate or promote any entertainment, show or exhibition, where an admission fee is charged, collected or received, or where no admission fee is charged, collected or received but donations of any kind or character are solicited or accepted seven (7) or more days per calendar year. 2.

If yes, do you have a valid City of Los Angeles Tax Registration Certificate?

____

____

Account Number If you do not have a valid City of Los Angeles Tax Registration Certificate, please report your City of Los Angeles gross receipts for the previous three calendar years or from the date you began conducting business within the City of Los Angeles.

YEAR

GROSS RECEIPTS

20____

$_______________

20____

$_______________

20____

$_______________

3. If your answer to Question No. 1 is “NO” and you do not have a valid City of Los Angeles Tax Registration Certificate, but you have conducted, operated, or promoted any entertainment, show or exhibition within the City of Los Angeles, please provide the name, location and dates of the shows/exhibitions below.

NAME OF SHOW/EXHIBITION

LOCATION

DATE

(If additional space is needed, please use a separate sheet)

Signature (Revised 11/05)

Title C:ia/cr

EXHIBIT M

VENDORS DEEMED CITY OF LOS ANGELES EMPLOYEES EMPLOYEE STATEMENT:

I

certify that I (Name of employee)

am currently working for

(Name of City Department/Bureau)

and that I am under contract with this department in the capacity of an employee as defined in Section 21.00 (Definitions), Subsection (k), Los Angeles Municipal Code and therefore not subject to payment of business taxes.

(Signature of employee)

(Date)

EMPLOYER STATEMENT:

I certify that to the best of my understanding and belief, the above-named individual is deemed to be an employee of this City Department, based on Section 21.00 (Definitions), Subsection (k), Los Angeles Municipal Code, which I have reviewed, and therefore not subject to payment of business taxes.

(Department/Bureau Representative)

(Signature and Title)

c:

(Phone Number)

(Date)

Office of Finance 200 N. Spring St., Rm. 101 Los Angeles, CA 90012 Mail Stop 170 Attn: Tax Exemption Unit

(Revised 11/05)

C:ia/cr

                ATTACHMENT C  RESOURCES FOR FINDING CERTIFIED SBEs and DVBEs                                                                                   

RESOURCES FOR FINDING CERTIFIED SBEs AND DVBEs For the purpose of the SBE/DVBE Opportunity Program, bidders/proposers can use the following resources to ³VHDUFKIRU´ and identify certified SBE and/or DVBE subcontractors.

CERTIFICATION

CERTIFICATION AGENCIES

CERTIFIEDSBE/DVBESUBCONTRACTOR SEARCHDATABASE

CityofLosAngeles BureauofContractAdministration SmallLocalBusinessSLB

http://labavn.org/subs/ CityofLosAngeles BureauofContractAdministration SmallBusinessEnterpriseSBE(LA)

SMALL BUSINESS

EmergingBusiness Enterprise(EBE) or MicroBusiness

StateofCalifornia OfficeofSmallBusinessandDisabled VeteransBusinessEnterpriseServices (OSDS)SmallBusiness(SB) Certification

http://www.bidsync.com/DPXBisCASB

CityofLosAngeles,Bureauof ContractAdministration, EmergingBusinessEnterprise(EBE)

http://labavn.org/subs/

StateofCalifornia OfficeofSmallBusinessandDisabled VeteransBusinessEnterpriseServices (OSDS)MicroBusiness(MB) Certification

http://www.bidsync.com/DPXBisCASB

Disadvantaged StateofCalifornia–CaliforniaUnified BusinessEnterprise CertificationProgram(CUCP)CalTrans http://www.dot.ca.gov/hq/bep/find_certified.htm (DBE) FederalSBA Designation8a

Federal–SmallBusiness Administration (USSBA)

http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

DisabledVeteran BusinessEnterprise (DVBE)

StateofCalifornia OfficeofSmallBusinessandDisabled VeteransBusinessEnterpriseServices (OSDS)

http://www.bidsync.com/DPXBisCASB

                ATTACHMENT D  GOOD FAITH EFFORT DOCUMENTATION GUIDE                                                                                    

GOOD FAITH EFFORT (GFE) DOCUMENTATION GUIDE NOTICE: Nothing set forth in this guide supersedes the information provided in the project Bid Specifications or Request-for-Proposal. This informational guide is prepared to assist the bidder/proposer in the preparation of GFE documentation.

Bidders/Proposers that are UNABLE to meet the SBE and/or DVBE participation goals ARE REQUIRED to submit GFE documentation to demonstrate their outreach efforts.

DOCUMENTATION AND SUBMITTALS: If the Contract-specific SBE and/or DVBE participation goals are NOT met, the bidder/proposer shall complete and submit the following: 1. “Good Faith Effort (GFE) Documentation Forms” including attachments for outreach factors 1 through 8 indicating what subcontractors were “outreached to” and the “selection/non-selection status” of all outreached firms including SBEs and DVBEs; and 2. “List of Proposed Subcontractors” form indicating what subcontractors were “selected” for the contract after the conclusion of outreach efforts.

Deadlines for Date Sensitive Actions Factor - Description

Deadline for Action

FACTOR 5 – Advertisement

7 calendar days prior to bid opening date

FACTOR 6 – Log of Notices/Letters

5 calendar days prior to bid opening date

to Potential Subcontractors

FACTOR 1 – PRE-BID MEETING Pre-bid Meeting attendance will be logged on a Sign-In Sheet.

FACTOR 2 – WORK AREAS Identify selected portions of the project to be performed by subcontractors to provide opportunities to available SBEs, DVBEs, MBEs, WBEs, and OBEs. Bidders shall, when economically feasible, divide total contract requirements into small portions or quantities to permit maximum participation of SBEs, DVBEs, MBEs, WBEs, and OBEs.

FACTOR 3 – PLANS & SPECIFICATIONS List all interested potential subcontractors that were provided information about the plans, specifications, and requirements for the selected work area. (FACTOR 3) - SAMPLES OF TEXT

 The plans, specifications, and copies of the proposal are available for viewing at our office at (Insert your address here) during our office hours (Insert your hours here).  Plans and specifications are available at (Insert City office location where they may be obtained).  Plans and specifications are available for downloading at www.ladwp.com/ersp or at www.labavn.org.

FACTOR 4 – BONDS, LINES OF CREDIT, AND INSURANCE Documentation of efforts made in advising and assisting interested potential subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs in obtaining bonds, lines of credit, or required insurance. Attach all necessary documentation and correspondence. (FACTOR 4) - SAMPLE OF TEXT

 Willing to assist all SBE, DVBE, MBE, WBE, and OBE subcontractors in obtaining bonds, lines of credit, and/or insurance. If you are interested in participating in this project, please contact (Insert contact name & phone or fax numbers or email address).

FACTOR 5 – ADVERTISEMENT State name(s) of publication(s) and the date of the advertisement(s) placed for bids from interested subcontractors. The advertisement(s) shall be placed not less than 7 calendar days prior to the submission of bids or proposals in newspapers, trade association publications, minority or trade oriented publications, trade journals, or other appropriate media. Attach copies. (FACTOR 5) – EXAMPLES OF PUBLICATIONS SMALL BUSINESS EXCHANGE EASTERN GROUP PUBLICATIONS CHINESE DAILY NEWS CONSTRUCTION MARKET DATA DAILY NEWS LOS ANGELES BUSINESS JOURNAL CONSTRUCTION UPDATE WEEKLY BID FLASH

LOS ANGELES SENTINEL LA OPINION RAFU SHIMPO KOREA CENTRAL DAILY WAVE PUBLICATIONS LOS ANGELES TIMES DAILY BREEZE THOMAS BID REGISTER MINORITY BIDDERS BULLETIN CALIFORNIA CONTRACTS LONG BEACH PRESS TELEGRAM W/M/S/DVBE CONTRACT & CONSTRUCTION NEWS DODGE CONSTRUCTION NEWS/GREEN SHEET

(FACTOR 5) – SAMPLE OF ADVERTISEMENT Requesting Sub-bids from Qualified SBE/DVBE/MBE/WBE/OBE Subcontractors for: PROJECT NAME Los Angeles Department of Water & Power Bid Deadline For information on the availability of plans and specifications and the bidder’s policy concerning assistance to subcontractors in obtaining bonds, lines of credit, and/or insurance, please contact our office. Bidder’s/Proposer’s Company Name Contact Person Company Address Telephone Number Fax Number Email address

(FACTOR 5) SAMPLE - PROOF OF PUBLICATION AFFIDAVIT Proof of Publication of PROOF OF PUBLICATION AFFIDAVIT (2015.5.C.C.P.) (Your firms name here)

STATE OF CALIFORNIA, County of Los Angeles Copy of Ad included here I am a citizen of the United States and a resident of the County aforesaid; I am over the age of eighteen years, and not a party to or interested in the above-entitled matter. I am the principal clerk of the printer of the XYZ News, a newspaper of general circulation, printed and published 7 times weekly in the Cities of Los Angeles, Burbank & San Fernando, County of Los Angeles, and which newspaper has been adjudged a newspaper of general circulation by the Superior Court of the County of Los Angeles, under the date of May 26, 1983, Case Number Adjudication # C349217; that the notice, of which the annexed is a printed copy (set in type not smaller than nonpareil) has been published in each regular and entire issue of said newspaper and not in any supplement thereof on the following dates, to wit:

June 20, 20xx all in the year 20xx I certify (or declare) under penalty of perjury that the forgoing is true and correct. Dated at Los Angeles, California, this 20th day of June 20xx

John Doe Signature

FACTOR 6 – LOG OF WRITTEN NOTICES SENT TO POTENTIAL SUBCONTRACTORS AND FOLLOW-UP NOTES Provide copies of notices such as “Letters” or “e-mails” that were sent to potential subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs, having an interest in participating in such contract. Such notices shall be sent to prospective subcontractors not less than 5 calendar days prior to the bid submittal date. Bidders shall document that invitations for subcontracting bids were sent to available SBEs, DVBEs, MBEs, WBEs, and OBEs for each portion of the work AND documenting efforts to follow up initial solicitations of interest by contacting the business enterprises to determine whether the enterprises are interested in participating in the project work. Submit all necessary documentation, correspondence, and follow-up notes.

(FACTOR 6) RESOURCES FOR FINDING CERTIFIED SBEs AND DVBEs For the purpose of the SBE/DVBE Opportunity Program, bidders can use the following resources to “search for” available SBE and DVBE subcontractors. Bidders should “send out” outreach letters, e-mails, or notices to all identified prospective subcontractors. CERTIFICATION

CERTIFICATION AGENCIES

CERTIFIED SUBCONTRACTOR SEARCH DATABASE

City of Los Angeles Bureau of Contract Administration Small Local Business SLB http://labavn.org/subs/

City of Los Angeles Bureau of Contract Administration Small Business Enterprise SBE(LA)

SMALL BUSINESS State of California Office of Small Business and Disabled Veterans Business Enterprise Services (OSDS) - Small Business (SB) Certification

http://www.bidsync.com/DPXBisCASB

City of Los Angeles, Bureau of Contract Administration, Emerging Business Enterprise (EBE)

http://labavn.org/subs/

State of California Office of Small Business and Disabled Veterans Business Enterprise Services (OSDS) - Micro-Business (MB) Certification

http://www.bidsync.com/DPXBisCASB

Disadvantaged Business Enterprise (DBE)

State of California – California Unified Certification Program (CUCP) - CalTrans

http://www.dot.ca.gov/hq/bep/find_certified. htm

Federal SBA Designation 8a

Federal – Small Business Administration (US-SBA)

http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

Disabled Veteran Business Enterprise (DVBE)

State of California Office of Small Business and Disabled Veterans Business Enterprise Services (OSDS)

http://www.bidsync.com/DPXBisCASB

Emerging Business Enterprise (EBE) or Micro-Business

(FACTOR 6) SAMPLE LETTER TO PROSPECTIVE SUBCONTRACTOR

ABC Corporation 1234 Street Name, Suite 100, City, State Zip

June 15, 20xx Attn: Estimator Construction Superstore 468 Los Feliz Blvd. Los Angeles, CA 90014

Re: Request for sub bids

To Whom It May Concern: ABC Corporation is a construction firm bidding on the project listed below: Project: (Insert Project Title) Bid Due Date: (Insert Bid Date) We are seeking sub-bids from MBE, WBE, OBE subcontractors, and material and/or equipment suppliers in the areas of work included in, but not limited to, those listed below: (List specified work areas here)

ABC Corporation encourages all interested MBE, WBE, and OBE companies to contact us at least 1 day prior to the bid due date to review with us your proposed scope of work. The plans, specifications, and copies of the bid proposal are available for review at our office at 1234 Street Name, Suite 100, City, State Zip, Monday through Friday, 8:00 am to 5:00 pm. We are willing to assist all MBE, WBE, OBE subcontractors/suppliers in obtaining bonds, lines of credit, and/or insurance. If you are interested in participating in this project, please contact Mary Jones at (213) 111-2222.

Sincerely,

Mary Jones Project Manager

(FACTOR 6) SAMPLE PROOF OF FAX TRANSMITTAL ** Transmit

Conf.

Report ** June 15 2008 10:11

Fax/Phone Number 92134561245

Mode NORMAL

Start 15,10:11

Time 0’36”

Page 1

Result * OK

ABC Corporation 1234 Street Name, Suite 100, City, State Zip

June 15, 20xx

Attn: Estimator Construction Superstore 468 Los Feliz Blvd. Los Angeles, CA 90014 Re: Request for sub bids To Whom It May Concern: ABC Corporation is a construction firm bidding on the project listed below: Project: (Insert Project Title) Bid Due Date: (Insert Bid Date) We are seeking sub-bids from MBE, WBE, OBE subcontractors, and material and/or equipment suppliers in the areas of work included in, but not limited to, those listed below: (List specified work areas here)

ABC Corporation encourages all interested MBE, WBE, and OBE companies to contact us at least 1 day prior to the bid due date to review with us your proposed scope of work. The plans, specifications, and copies of the bid proposal are available for review at our office at 1234 Street Name, Suite 100, City, State Zip, Monday through Friday, 8:00 am to 5:00 pm. We are willing to assist all MBE, WBE, OBE subcontractors/suppliers in obtaining bonds, lines of credit, and/or insurance. If you are interested in participating in this project, please contact Mary Jones at (213) 111-2222.

Sincerely, Mary Jones Project Manager

(FACTOR 6) SAMPLE OF METERED ENVELOPE Your Company Name Street/P.O. Address City, State, Zip Code

Metered Stamp Here Metered Date must be readable.

Prospective Subcontractor Street/P.O. Address City, State, Zip Code

FACTOR 7 – PROOF OF PARTICIPATION IN VENDOR FAIRS OR SUBCONTRACTOR NETWORKING/OUTREACH EVENTS Provide proof of participation in a Vendor Fair, SBE Advocate Group, or Local Agency outreach, networking, or match-making event within the last 365 days prior to the bid/proposal due date. Proof of participation shall meet the following requirement: (a) Minimum of 1 event if estimated contract amount is less than $500,000; and (b) Minimum of 2 events if estimated contract amount is greater than $500,000. Attach proof of participation.

FACTOR 8 – NEGOTIATING IN GOOD FAITH AND OUTREACH SUMMARY SHEET Provide a list of all subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs that negotiations were conducted with in good faith. As documentation, the bidder shall complete the provided tables with all sub-bidders for each portion of work solicited. Bidders shall also submit documentation of correspondence regarding subcontract bids from interested subcontractors including, but not limited to: (a) Requests by bidder to obtain subcontract bids from enterprises expressing interest. (b) Responding letters of interest, subcontract bids, or declinations to offer a bid. (c) Acceptance by bidder of subcontract bids. (d) Rejections of subcontractor bids including explanations for nonselection.

                ATTACHMENT E  CONTRACT INSURANCE REQUIREMENTS   Department of Water and Power  

                                    SECTION SIX    LIST OF APPENDICES       

Revised 02.24.14 

LIST OF APPENDICES    Appendix A 

Taxpayer Identification Number 

Appendix B 

Cost Work Sheet 

Appendix C 

Certification of Compliance with Child Support Obligations 

Appendix D 

Non‐Discrimination and Equal Employment Practices 

Appendix E 

Equal Benefits Ordinance Compliance Affidavit 

Appendix F 

  Pledge of Compliance with Contractor Responsibility and Responsibility  Questionnaire 

Appendix G 

Living Wage Ordinance 

Appendix H 

CEC Form 50 – Bidder Certification  

Appendix I 

Proposer’s Name, Form of Business Organization, and Certification 

Appendix J 

List of Proposed Subcontractors  

Appendix K 

  Letter of Intent (between a Bidder/Proposer and an SBE/DVBE  Subcontractor)  

Appendix L 

Good Faith Effort (GFE) Documentation Forms 

Appendix M1   

Affirmative Action Plan [if the contract is for Non‐Construction services and  is estimated at $100,000 or more] 

  Appendix N   

CEC Form 55 – Prohibited Contributors (Bidders) 

Appendix O 

Local Business Preference Program 

  Appendix P   

RESERVED 

Appendix Q 

Iran Contracting Act of 2010 

Appendix R 

Background Check Certification 

Appendix S 

RESERVED 

Appendix T 

Safety Compliance Certificate 

Appendix U 

Authorized Reseller Status    

             

APPENDIX A TAXPAYER IDENTIFICATION NUMBER

            APPENDIX B  COST WORK SHEET       

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)    Reference in this RFP to any manufacturer and manufacturer’s model numbers is for illustrative purposes only and is not intended to be restrictive or exclusive of hardware potentially purchased on this contract. Class/Type 

Manufacturer 

Description 

Part Number 

SAN Storage 

HP 

P9500 Expansion Frame

 

SAN Storage 

HP 

128 600GB SAS Drives for P9500 Storage

 

SAN Switch 

Cisco 

 

SAN Switch 

Cisco 

Mid‐Range  Server  Department‐ Level Server  Department‐ Level Server  Department‐ Level Server  Engineered  Database  System  Engineered  Database  System  Engineered  Database  System  Engineered  Database  System  Enterprise  Converged  Network  NAS Storage 

IBM 

MDS 9710 Director w/ 4 48 port 16GB Fiber Channel  Switching Modules with 192 16GB SW SFP+  48 port 16GB Fiber Channel Switching Modules with 48  16GB SW SFP+  P770 24 Core, 16 Core usable, 1TB Memory, 768GB usable  Memory, 8x 10Gb Ethernet, 16x 8Gb FC  Proliant DL580 G7 – 4x Intel E7‐4870, 1TB Memory DDR3‐ 1333), 4 x 300GB 15K SAS HD  Proliant DL380p G8 – 2 x Intel E5‐2697 v2, 64GB Memory  (DDR3‐1866), 2 x 300GB 15K SAS HD  Proliant BL560c G8 – 2 x Intel E5‐2697 v2, 64GB Memory  (DDR3‐1866), 2 x 300GB 15K SAS HD  Exadata Database Machine X4‐2 Quarter Rack High  Performance Disks (43.2TB) 

NetApp 

NAS Storage 

NetApp 

Tier 3  Workstation 

HP 

HP  HP  HP  Oracle 

           

Oracle 

Exadata Storage Expansion Rack X4‐2 Quarter Rack High  Performance Disks (57TB) 

 

Oracle 

Exadata Database Machine X4‐2 Quarter Rack High  Capacity Disks (144TB) 

 

Oracle 

Exadata Storage Expansion Rack X4‐2 Quarter Rack High  Capacity Disks (192TB) 

 

Oracle 

Oracle Fabric Interconnect F1‐15, 3 x Quad Port 10Gb  Ethernet Module, 1 Ten Port 1Gb Ethernet Module, 4 x  Dual Port 8Gb Fiber Channel Module  FAS 8240, 1TB Flash Cash, 2 x 10GB Ethernet dual port, 2 x  8Gb Fiber Channel dual port, 8 DS2246 Shelves w/ 192  1.2TB 10K SAS Drives, Licenses for CIFS, NFS, iSCSI, FC and  SnapMirror  DS2246 Shelf w/ 24 1.2TB 10 SAS Drive

 

HP Z420 Workstation  Operating system – Genuine Windows 7 Professional 64 

Estimated  Qty 

 

  E4K75UP#ABA LJ449AV 

B‐1 

2491  

DWP Unit Price

Extended  Price 

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)   

Tier 2  Workstation 

HP 

bit  HP Z420 600W 90% Efficient Chassis  Country Kit  ‐HP Z420 Localization Kit  Thermal Kit – HP Processor Air Cooling Kit  Cooling requirements – HP Z420 Front Memory Duct  Cool requirements – HP Z420 Fan and Front Card Guide Kit  Processor – Intel Xeon E5‐1620 3.60 GHZ 10MB?1600 4C  Processor  st Graphics Card – NVIDIA Quadro K4000 3GB 1  GFX  Memory – HP 16GB (4x4GB) DDR3‐1600 Unbuffered RAM  st Hard Drive – HP 500GB SATA 7200 RPM 1  HDD  st Optical Drive – HP 16X DVDRW SuperMulti SATA 1  Drive  No Floppy Disk Option  Mouse – HP USB Optical Scroll Mouse  HP 5 year NextBusDay Onsite HW Support  HP Compaq Z220 Convertible Minitower  Operating system ‐ Genuine Windows 7   Processor ‐ Intel® Core i5‐3570 3.4 GHz/6MB 4 Core  Processor  Memory ‐ 4GB DDR3 (PC3‐1600) MHz ECC unbuffered (2 x  2 GB DIMM)  Hard drive ‐ HP 250GB 3.5" 7200 rpm SATA 6.0 Gb/s NCQ,  SMART IV  Optical drive – 16x SuperMulti DVDRW SATA Optical Drive  Graphics card – NVIDIA Quadro 1GBK600 DL – DVI (1) +DP  st 1  No Cables included  HP Z220 Elite Country Kit   Keyboard ‐ HP USB Standard Keyboard  Mouse ‐ HP USB 2‐Button Optical Scroll Mouse   Single Unit (CMT) Packaging  HP Compaq Z220 Elite CMT 90% Chassis   3/3/3 CMT Warranty  HP 5‐year NextBusDay Onsite HW Support   

QD971AV QD956AV  A7E48AV  B4Y03AV  QE 150AV  A2H76AV  C2J34AV  QE257AV  Qe198AV  QE236AV    QE218AV  UEG39E    E4K78UP#ABA A3J49AV  BD7D82AV  A8Y14AV  A8X38AV  A8X92AV  A8X38AV    A3J46AV  A8Z43AV  A8Z45AV  A8X98AV  A8X14AV  A8Y33AV  U1G39E 

B‐2 

                        85  978

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)    Tier 1  Admin/Clerical 

HP 

Tier2 Ultra  Slim 

HP 

Tier 1 Laptop 

Lenovo 

Alternate Tier 

Lenovo 

HP 6300 Pro MicroTower PC SKU Number D9D44UP#ABA Operating System – Genuine Windows 7  Processor – Intel Core i3‐3200 SIPP Processor 3.3Ghz, 3M  cache, 2 cores Intel Q65 Express Chipset integrated  Memory – 4GB DDR3 (PC3‐10600) MHz non‐ECC (1x4 GB  DIMM)  Hard Drive – HP 500GB 3.5” 7200 rpm SATA 6G  Optical Drive – HP SATA SuperMulti LightScribe DVD  Writer Drive  Graphics Card – AMD Radeon HD 6350 512 MB graphics –  Dual Screen compatible  HP Compaq 6300 Elite Country Kit  Keyboard – HP USB Standard Keyboard  Mouse – HP USB 2‐Button Scroll Mouse  Single Unit (CMT) Packaging  HP Parallel Port Adapter  3/3/3 Warranty  HP 5 year NextBusDay Onsite HW Support  HP Compaq dc8300 Ultra Slim desktop SKU Number  D9D49UP#ABA  Single Unit (USDT) Packaging  Windows 7 Professional 32‐bit  Intel Core i5‐3470s Processor (2.90 Ghz, 6MB Cache) Intel  HD Graphics 2500  Graphics – AMD Radeon HD7650 2GB DDR MXM   Memory – 4GB DDR3 ‐  1600 SODIMM Memory (1x4GB)  Hard Drive – 500GB SATA 7200 RPM 2.5   HP Standard USB Keyboard  HP USB Optical BLK Mouse  Optical Drive – Slim SuperMulti Optical Disk Drive  HP Compact Elite 8300 USDT2 Chassis  Power Supply – 180W USDT2 Chassis  3/3/3 USDT Warranty   HP 5 year NextBusDay OnSite DT Only HW Support     Lenovo T540  Intel Core Duo i7‐4600M Processor 4MB L3, 1066Mhz  Windows 7 Professional 64‐bit, 320GB 7200 RPM Hard  Drive, 15.6” HD+ Anti‐Glare, DVD RW burner and WWAN  Gobi Chip 3G for AT&T, 9‐Cell Battery, Bluetooth, 4GB  PC3‐12800 DDR 3L Memory, T540 Switchable Graphics  1GB, NVIDIA 1GB graphics, 720p HD Camera  Lenovo 4 year on‐site repair    Lenovo T440s 

D9D44UP#ABA   B3E19AV    QX567AV  QX522AV  QX553AV  QX577AV    QX558AV  B2L86AV  VL506AV  XL521AV  QX595AV  QX507AV  U7899E 

600

QV997AV XL537AV  A3J41AV  QW442AV    C1F15AV  QW541AV  B4B07AV  B2L88AV  VL506AV  QW518AV  B9C17AV  B5L02AV  QW659AV  U7899E 

900

20BFS0DV00   Included        5WS0A23136 

1670

  20ARS0SF00

B‐3 

100

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)    1 Laptop 

Field Laptop 

Panasonic 

Standard LCD  Monitor 

NEC 

Tier 2 LCD  Monitor 

NEC 

Tier 3 LCD  Monitor  Inkjet Printer 

NEC 

Personal  Printer 

HP 

Workgroup 

HP 

HP 

Intel i5 Core 4300U Win 7 Professional 32 bit, 180GB Solid  State Hard Drive, 14.0 HD + Anti Glare, 4GB RAM 720P  Camera, DVDRW Burner, SIM Card for AT&T LTE GOBI  (4G), Bluetooth.  Four –year on‐site repair    ToughBook CF31 ‐ Intel Core I5‐2520 M 2.4GHz vpro, 13.3"  Touch XGA, 4GB , 320GB, Intel 802.11a/b/g/n, TPM,  Bluetooth, Gobi,  Dual Pass thru External Antenna  Connection, (WAN High,     DVD Multi Drive part# CF‐VDM311U  Toughbook Proctection Plus (3 years) part# CF‐SVCLTNF3Y  Toughbook Proctection Plus (4 years) part# CF‐SVCLTNF4Y    NEC 195WXM‐BK (thin frame design) 19" Wide‐Screen  LCD, Horizontal Frequency (KHz) 31.5 to 81.1  KHz(analog),31.5‐69.0 KHz(digital), Vertical Frequency (Hz)  56.0‐75.0 Hz , Native Resolution 1440 x 900, Contrast  Ratio 700:1, 3‐year parts, labor, including backlight part #  LCD195WXM‐BK    NEC EA190M‐BK  MultiSync EA190M‐BK, 19" LCD Monitor. Horizontal  Frequency (KHz) 31.5‐81.1 KHz (analog/digital). Vertical  Frequency (Hz) 56‐75Hz (analog/digital) Native resolution  1280x1024, Contrast Ratio 900:1. Digital/Analog input, No  Touch Auto Adjust, NaViSet, Height Adjustable stand,  Pivot, Vista Premium Certified, Integrated Speakers, Black  Cabinet. 3‐year parts, labor, including backlight. Part #  EA190M‐BK    NEC MultiSync EA223WM‐BK

    5WS0A23136 

CF‐31JBGEA1M CF‐AAV1601AU  CF‐VDR302U    CF‐VDM311U  CF‐SVCLTNF3Y  CF‐SVCLTNF4Y 

HP Officejet 7110 Wide format Printer.  Up to 33 ppm  B&W 29ppm color.  Paper sizes – legal, letter, index card..  Duty cycle – up to 12,000 pages per month. Paper tray  standard 250 sheets. Memory 16MB (ROM) 128MB (DDR  RAM).    HP Laserjet P3015d Laser Printer.  42ppm, 128 MB  Memory, (2) 500‐sheet paper trays, 1200 x 1200dpi, 35 lb.  Warranty std. 1year  (personal)     HP 700 Color MFP M775f  ‐ Up to 11x17 paper size, 30ppm 

B‐4 

100

  LCD195WXM‐BK

75

EA190M‐BK 

75

EA223WM‐BK  C11C658011   

50

CE526A   

50

CC523A#BGJ 

100

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)    Printer 

Workgroup  Printer 

Xerox 

Workgroup  Printer  Workgroup  Printer 

Xerox 

Workgroup  Color Printer 

HP 

Workgroup  Color Printer 

HP 

Fiber LAN  Equipment  Fiber LAN  Equipment  Fiber LAN  Equipment  Fiber LAN  Equipment  Fiber LAN  Equipment  IBM  zEnterprise 

Lentronics  

b&w and color. Two 500 sheet paper trays, 250 sheet  output tray. Two‐sided scanning.  Duty cycle up to 120,000  pages per month.   Xerox 8900 – Multifunction copier, scanner, printer, fax  nd color 44 ppm, 1GB of RAM, 1 legal/letter tray. 2  tray  optional. Uses patented solid ink technology.  Xerox 8860dn – 30ppm, 256MB of RAM 1 legal/letter tray.  Uses patented solid ink technology.  HP Laserjet M806dn ‐ 56 ppm, 1200x 1200 dpi, paper size ‐ letter, legal, 11x17, 12x18, three paper trays standard.  Memory 1.5GB, duty cycle 50,000 pages per month.  HP Laserjet CP5525XH ‐ Print quality 600x600 dpi, 30 ppm,  1GB of memory, three paper trays standard, duty cycle  120,000 pages/month  HP LaserJet Enterprise 600 M602x – Print quality  1200x1200 B&W, automatic 2‐sided printing, duty cycle  225,000 pages per month, 500MB of memory, paper sizes  – letter, legal, envelope feed, etc… Two paper trays  standard.    OC‐12 JMUX Unit

Lentronics  

8900/X 

100

8860/DN 

50

CZ244A#BGJ 

50

CE709A#BGJ 

50

CE993A#BGJ 

100

86417 

50

OC‐3 JMUX Unit

86432 

50

Lentronics  

Data‐LS Unit

86448 

50

Lentronics  

CDAX Unit

86486 

50

Lentronics  

JIF Share Unit

86485 

100

   2828‐H06 (BC12)    0001    0019    0033  0092  0165  0169  0400  0409  0417  0660  0661  0662 

4

HP 

IBM  2828‐H06  IBM zEnterprise  Components   MTU 1 ‐ D                               Manage Firmware Suite                                         Service Docs Optional Print                                   HMC                                     Fanout Airflow                          PCIe Fanout                                                 PCIe interconnect                                            FICON Express8S 10KM LX 2 ports                              OSA‐Express5S 1000BASE‐T 2 ports                            Month Indicator                                            Day Indicator                                                Hour Indicator                                             

B‐5 

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)   

IBM Tape  Library 

IBM 

Tape  Controller 

IBM 

Minute Indicator    Model H06                                                   4 GB Mem DIMM (10/feature)                                   8 GB Memory Capacity Incr                                    BPD Pair Air Model                                           Internal Battery IBF‐E                                       16 GB  Memory                                                Universal Lift Tool/Ladder                                   CPACF Enablement                                             PCIe I/O Drawer‐A                                            CP‐I                                                         zIIP                                     2‐Way Processor  I02                     Flat Panel Display                                          Side Covers                                                 14ft 200V 30A 3 Ph Cord                                      2098 w/o TEIO & w/HtR                                        Migration Offering Machine                                  Multi Order Ship Flag                                     Multi Order Rec Only Flag‐NB                                 Downgraded PUs Per Request                                  T01 Capacity Marker                                         On/Off COD authorization                                     Perm upgr authorization                                      On‐Line CoD Buying (Flag)                                    Site Tool Kit                                        TS3500 TAPE LIBRARY 3592 FIBRE DRIVE MOUNTING KIT  INTERMED. CAP. ON DEMAND  FULL CAPACITY ON DEMAND  PATH FAILOVER  ADVANCED LIB MGT SYSTEM  REMOTE SUPPORT FACILITY  CONSOLE ATTACHMENT  ENHANCED GRIPPERS/PIVOT  PLANT INST 3592 E06 IN 3584  NO HOST CABLES FROM PLANT  DUAL 4.3M PWR CORD NON‐WT  TAPE CONTROLLER MODEL C07 CONSOLE ATTACHMENT  FICON LW ATTACHMENT  LOGICAL LIBRARY OPTION PROVIDE  1ST CONTROLLER INSTALLED  DUAL PORT FC HBA 

0663  1147  1600  1903  3008  3213  3610  3759  3863  4009  5774  5798  5941  6096  7921  8987  8P2714  8P2779  9000  9001  9004  9089  9896  9898  9900         9969            3584‐L23  1515  1643  1644  1682  1690  2710  2715  9205  9583  9700  9972  3592‐C07  2715  3442  4444  4451  5241 

B‐6 

1 1  1  1  1  1  1  1  1  1  1  1  1 1  2  1  1  1 

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)   

IPS 

McAfee 

QUADPORT ETHERNET ADAPTER F05 FRAME FOR TS3500 ATTAC  3592 TAPE DRIVE ATTACHED  9‐MICRON LC/LC FIBRE 31 M CABL  PLANT INSTALL C07 IN A3952 F05 TS1130 TAPE DRIVE 13 M LC/LC FIBRE CABLE  F05 FRAME FOR TS3500 ATTAC  PLANT INSTALL 3592 IN 3584 TAPE FRAME  DUAL AC POWER  CONSOLE EXPANSION 26PORT ENET  RACKMOUNT TS3000 SYST CONSOLE  USB MODEM  FC SWITCH MOUNT KIT FOR TS3500  8GB FIBRE CHANNEL SWITCH  KVM DISPLAY KEYBOARD MOUSE  PLANT INSTALL 3592 C07  TS3500 TAPE LIBRARY ATTACHMENT  NEMA L6‐30 POWER CORD Performance Manager                                                                                                                     Infinistream Server/Appliance, 7900 Series                                                                        Infinistream Server/Appliance, 6900 series                                                                            Infinistream Server/Appliance, 7900 series, Bi‐annual HW  maintenance                   Infinistream Server/Appliance, 6900 series, Bi‐annual HW  maintenance                   M3050 IPS Sensor

IPS 

McAfee 

M4050 IPS Sensor

IAP‐M45K‐ISA 

1

IPS 

McAfee 

M6050 IPS Sensor

IAP‐M65K‐ISA 

1

IPS 

McAfee 

M2950 IPS Sensor

IAP‐M29K‐ISA 

1

IPS 

McAfee 

McAfee Network Security Manager

NSM‐STND‐AG 

1

IPS 

McAfee 

McAfee Threat Behavior Analysis T‐500 Appliance

NTB‐T500‐AG 

1

IPS 

McAfee 

McAfee Advanced Threat Detection Appliance

ATD‐6000 

1

JMUX 

General  Electric 

GE Multilin B86432 ‐ OC‐3 JMUX Unit GE Multilin B86464 ‐ DATA‐NX64 Unit 

IBM Tape   Drive 

IBM 

IBM Tape  Frame 

IBM 

Monitoring  Tool 

NetScout  Systems 

Monitoring  Tool  Monitoring  Tool  Monitoring  Tool  Monitoring  Tool 

NetScout  Systems  NetScout  Systems  NetScout  Systems  NetScout  Systems 

B86432‐41 B86464‐02 

B‐7 

5597  9000  9478  9752  9890  3592‐E06  6013  9000  9677  3952‐F05  1903  2704  2724  2734  3518  4875  5512  5890  7325  9954   

1 1  1  2  1  2 4  2  2  1 1  1  1  1  1  1  1  1  1  1  1

 

1

 

1

 

1

 

1

IAP‐M35K‐ISA 

1

1 1 

APPENDIX B  COST WORK SHEET  (FOR EVALUATION PURPOSES ONLY)    GE Multilin 86464 ‐ 94 DATA‐NX64 Unit Paddle Board GE Multilin B86445 ‐ 2W FXO Unit  GE Multilin 86445 ‐ 2W FXO Unit Paddle Board  GE Multilin B86445 ‐ 2W FXS Unit  GE Multilin 86445 ‐ 2W FXS Unit Paddle Board  GE Multilin B86448 ‐ Data‐LS Unit  GE Multilin 86448 ‐ Data‐LS Unit Paddle Board  GE Multilin B86465‐02 Data PTM Unit RS‐232(=<19.2K)   GE Multilin 86465‐91 Data PTM, TERM/BLK RJ45 P/B    GE Multilin B86485‐01 JIF Share Unit  GE Multilin 86485‐90 JIF_Share paddleboard   GE Multilin B86425‐01 Power Supply 115VAC  GE Multilin 86425‐90 115VAC Power Supply Pladdle Board  GE Multilin B86431‐02 Power Supply 48VDC  GE Multilin 86431‐90 130/48VDC Power Suply Paddle  Board  GE Multilin B86430‐01 Common Equipment Shelf  GE Multilin B86430‐04 Expansion Equipment Shelf  GE Multilin B86490‐02 SPE‐JIF Unit  GE Multilin 86490/A SPE‐JIF P/B Cover, Code A   GE Multilin B86444‐04 4W VF Unit  GE Multilin 86444‐90 4W VF Unit Paddle Board  GE Multilin B86419‐01 OC48, 1310 nm, IR‐1, 13 dB, SMF,  LC Connector  GE Multilin 86419/AA SFP, SMF, IR‐1, 1310nm, LC  connectors  GE Multilin 86419/BB SFP, SMF, LR‐1, 1310nm, LC  connectors  GE Multilin 135‐86419‐01 Cable Assembly, Crossover,  Blue, Cat‐6, RJ45, Shielded, 7" long  GE Multilin 86431‐42Module, 48VDC power supply  GE Multilin B86498‐01 Module, Ether 1000 unit  GE Multilin 86498/DD SFP, 1000B‐SX, Transiceiver, 850  nm, 8 dB, MMF, LC  GE Multilin 86418‐61 Board, Ether 1000 paddle board,  quad RJ‐45 module  GE Multilin 86498‐94 Board, Ether‐1000 Paddle board, 2  slot main board  GE Multilin 035‐86430‐95 Cable, CBW/SPC Cable, 20 in,  twisted pair for OC48  GE Multilin 86498‐95 Board, Ether 1000 Paddle Board  Assembly 

86464‐94 B86445‐42  86445‐92  B86445‐32  86445‐94  B86448‐01  86448‐90  B86465‐02   86465‐91   B86485‐01  86485‐90   B86425‐01  86425‐90  B86431‐02  86431‐90  B86430‐01  B86430‐04  B86490‐02  86490/A  B86444‐04  86444‐90  B86419‐01  86419/AA  86419/BB  135‐86419‐01  86431‐42  B86498‐01  86498/DD  86418‐61  86498‐94  035‐86430‐95  86498‐95

B‐8 

1 1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1  1 

APPENDIX C CERTIFICATION OF COMPLIANCE WITH CHILD SUPPORT OBLIGATIONS

City of Los Angeles Department of Water and Power

CERTIFICATION OF COMPLIANCE WITH CHILD SUPPORT OBLIGATIONS This document must be returned with the Proposal/Bid Response The Undersigned hereby agrees that ____________________________________ will: Name of Business 1. Fully comply with all applicable State and Federal employment reporting requirements for its employees. 2. Fully comply with and implement all lawfully served Wages and Earnings Assignment Orders and Notices of Assignment. 3. Certify that the principal owner(s) of the business are in compliance with any Wage and Earnings Assignment Orders and Notices of Assignment applicable to them personally. “Principal owner” means any person who owns an interest of 10 percent or more of the business or of a subcontractor assigned to City work. If there are no principal owners, please so indicate with an X here: _____(no principal owners) 4. Certify that the business will maintain compliance with Child Support Obligations Ordinance provisions. I declare under penalty of perjury that the foregoing is true and was executed at: _______________________________________________________ City/County/State _______________________________________________________ Date Please check if company has already submitted to DWP certification relative to Child Support Obligations Ordinance.

________________________________________________________________________ Name of Business Address

________________________________________________________________________ Signature of Authorized Officer or Representative Print Name _______________________________________________________________________ Title Telephone Number

Rev. 03-09

APPENDIX D NON-DISCRIMINATION AND EQUAL EMPLOYMENT PRACTICES

CITY OF LOS ANGELES NONDISCRIMINATION ● EQUAL EMPLOYMENT PRACTICES CONSTRUCTION & NON-CONSTRUCTION CONTRACTOR Los Angeles Administrative Code (LAAC), Division 10, Chapter 1, Article 1, Section 10.8 stipulates that the City of Los Angeles, in letting and awarding contracts for the provision to it or on its behalf of goods or services of any kind or nature, intends to deal only with those contractors that comply with the non-discrimination and Affirmative Action provisions of the laws of the United States of America, the State of California and the City of Los Angeles. The City and each of its awarding authorities shall therefore require that any person, firm, corporation, partnership or combination thereof, that contracts with the City for services, materials or supplies, shall not discriminate in any of its hiring or employment practices, shall comply with all provisions pertaining to nondiscrimination in hiring and employment, and shall require Affirmative Action Programs in contracts in accordance with the provisions of the LAAC. The awarding authority and/or Office of Contract Compliance of the Department of Public Works shall monitor and inspect the activities of each such contractor to determine that they are in compliance with the provisions of this chapter.

I.

Los Angeles Administrative Code Section 10.8.2 All Contracts: Non-discrimination Clause Notwithstanding any other provision of any ordinance of the City of Los Angeles to the contrary, every contract which is let, awarded or entered into with or on behalf of the City of Los Angeles, shall contain by insertion therein a provision obligating the contractor in the performance of such contract not to discriminate in his or her employment practices against any employee or applicant for employment because of the applicant’s race, religion, national origin, ancestry, sex, sexual orientation, age, disability, marital status, domestic partner status, or medical condition. All contractors who enter into such contracts with the City shall include a like provision in all subcontracts awarded for work to be performed under the contract with the City. Failure of the contractor to comply with this requirement or to obtain the compliance of its subcontractors with such obligations shall subject the contractor to the imposition of any and all sanctions allowed by law, including but not limited to termination of the contractor’s contract with the City.

II.

Los Angeles Administrative Code Section 10.8.3. Equal Employment Practices Provisions Every non-construction contract with or on behalf of the City of Los Angeles for which the consideration is $1,000 or more, and every construction contract for which the consideration is $1,000 or more, shall contain the following provisions, which shall be designated as the EQUAL EMPLOYMENT PRACTICES provision of such contract: A. During the performance of this contract, the contractor agrees and represents that it will provide equal employment practices and the contractor and each subcontractor hereunder will ensure that in his or her employment practices persons are employed and employees are treated equally and without regard to or because of race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status or medical condition. 1.

This provision applies to work or service performed or materials manufactured or assembled in the United States.

2. Nothing in this section shall require or prohibit the establishment of new classifications of employees in any given craft, work or service category. 3. The contractor agrees to post a copy of Paragraph A hereof in conspicuous places at its place of business available to employees and applicants for employment. B. The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to their race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status or medical condition. C. As part of the City’s supplier registration process, and/or at the request of the awarding authority, or the Board of Public Works, Office of Contract Compliance, the contractor shall certify in the specified format that he or she has not discriminated in the performance of City contracts against any employee or applicant for employment on the basis or because of race, religion, national origin, ancestry, sex, sexual orientation, age, disability, marital status or medical condition. D. The contractor shall permit access to and may be required to provide certified copies of all of his or her records pertaining to employment and to employment practices by the awarding authority or the Office of Contract Compliance for the purpose of investigation to ascertain compliance with the Equal Employment Practices provisions of City contracts. On their or either of their request the contractor shall provide evidence that he or she has or will comply therewith. E. The failure of any contractor to comply with the Equal Employment Practices provisions of this contract may be deemed to be a material breach of City contracts. Such failure shall only be established upon a finding to that effect by the awarding authority, on the basis of its own investigation or that of the Board of Public Works, Office of Contract Compliance. No such finding shall be made or penalties assessed except upon a full and fair hearing after notice and an opportunity to be heard has been given to the contractor.

Form OCC-ND-EEP-1 (7/11)

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F. Upon a finding duly made that the contractor has failed to comply with the Equal Employment Practices provisions of a City contract, the contract may be forthwith canceled, terminated or suspended, in whole or in part, by the awarding authority, and all monies due or to become due hereunder may be forwarded to and retained by the City of Los Angeles. In addition thereto, such failure to comply may be the basis for a determination by the awarding authority or the Board of Public Works that the said contractor is an irresponsible bidder or proposer pursuant to the provisions of Section 371 of the Charter of the City of Los Angeles. In the event of such a determination, such contractor shall be disqualified from being awarded a contract with the City of Los Angeles for a period of two years, or until the contractor shall establish and carry out a program in conformance with the provisions hereof. G. Notwithstanding any other provision of this contract, the City of Los Angeles shall have any and all other remedies at law or in equity for any breach hereof. H. The Board of Public Works shall promulgate rules and regulations through the Office of Contract Compliance, and provide necessary forms and required language to the awarding authorities to be included in City Request for Bids or Request for Proposal packages or in supplier registration requirements for the implementation of the Equal Employment Practices provisions of this contract, and such rules and regulations and forms shall, so far as practicable, be similar to those adopted in applicable Federal Executive orders. No other rules, regulations or forms may be used by an awarding authority of the City to accomplish the contract compliance program. I.

Nothing contained in this contract shall be construed in any manner so as to require or permit any act which is prohibited by law.

J. At the time a supplier registers to do business with the City, or when an individual bid or proposal is submitted, the contractor shall agree to adhere to the Equal Employment Practices specified herein during the performance or conduct of City Contracts. K. Equal Employment Practices shall, without limitation as to the subject or nature of employment activity, be concerned with such employment practices as: 1.

Hiring practices;

2.

Apprenticeships where such approved programs arefunctioning, and other on-the-job training for non-apprenticeable occupations;

3.

Training and promotional opportunities; and

4.

Reasonable accommodations for persons with disabilities.

L. All contractors subject to the provisions of this section shall include a like provision in all subcontracts awarded for work to be performed under the contract with the City and shall impose the same obligations, including but not limited to filing and reporting obligations, on the subcontractors as are applicable to the contractor. Failure of the contractor to comply with this requirement or to obtain the compliance of its subcontractors with all such obligations shall subject the contractor to the imposition of any and all sanctions allowed by law, including but not limited to termination of the contractor’s contract with the City.

Equal Employment Practices Provisions Certification – The Contractor by its signature affixed hereto declares under penalty of perjury that: 1. The Contractor has read the Nondiscrimination Clause in Section I above and certifies that it will adhere to the practices in the performance of all contracts. 2. The Contractor has read the Equal Employment Practices Provisions as contained in Section II above and certifies that it will adhere to the practices in the performance of any construction contract or non-construction contract of $1,000 or more.

COMPANY NAME

AUTHORIZED SIGNATURE

ADDRESS

NAME AND TITLE (TYPE OR PRINT)

CITY, COUNTY, STATE, ZIP

TELEPHONE/E-MAIL

Form OCC-ND-EEP-1 (7/11)

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APPENDIX E EQUAL BENEFITS ORDINANCE COMPLIANCE AFFIDAVIT

City of Los Angeles Department of Public Works Bureau of Contract Administration Office of Contract Compliance 1149 S. Broadway, Suite 300, Los Angeles, CA 90015 Phone: (213) 847-2625 E-mail: [email protected]

EQUAL BENEFITS ORDINANCE COMPLIANCE AFFIDAVIT Prime contractors must certify compliance with Los Angeles Administrative Code (LAAC) Section 10.8.2.1 et seq. prior to the execution of a City agreement subject to the Equal Benefits Ordinance (EBO). SECTION 1. CONTACT INFORMATION Company Name: ________________________________________________________________________ Company Address: ______________________________________________________________________ City: ______________________________________ State: ____________ Zip: _____________________ Contact Person: _____________________ Phone: _______________ E-mail: _____________________ Approximate Number of Employees in the United States: _______________________________________ Approximate Number of Employees in the City of Los Angeles: __________________________________ SECTION 2. EBO REQUIREMENTS The EBO requires City Contractors who provide benefits to employees with spouses to provide the same benefits to employees with domestic partners. Domestic Partner means any two adults, of the same or different sex, who have registered as domestic partners with a governmental entity pursuant to state or local law authorizing this registration, or with an internal registry maintained by the employer of at least one of the domestic partners. Unless otherwise exempt, the contractor is subject to and shall comply with the EBO as follows: A. B. C.

The contractor’s operations located within the City limits, regardless of whether there are employees at those locations performing work on the City Contract; and The contractor’s operations located outside of the City limits if the property is owned by the City or the City has a right to occupy the property, and if the contractor’s presence at or on the property is connected to a Contract with the City; and The Contractor’s employees located elsewhere in the United States, but outside of the City Limits, if those employees are performing work on the City Contract.

A Contractor must post a copy of the following statement in conspicuous places at its place of business available to employees and applicants for employment: “During the performance of a Contract with the City of Los Angeles, the Contractor will provide equal benefits to its employees with spouses and its employees with domestic partners.”

Form OCC/EBO-Affidavit (Rev 6/21/12)

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SECTION 3. COMPLIANCE OPTIONS I have read and understand the provisions of the Equal Benefits Ordinance and have determined that this company will comply as indicated below:

□……. I have no employees. □……. I provide no benefits. □……. I provide benefits to employees only. Employees are prohibited from enrolling their spouse or domestic partner.

□……. I provide equal benefits as required by the City of Los Angeles EBO. □……. I provide employees with a “Cash Equivalent.” Note: The “Cash Equivalent” is the amount of money equivalent to what your company pays for spousal benefits that are unavailable for domestic partners, or vice versa.

□……. All or some employees are covered by a collective bargaining agreement (CBA) or union trust fund. Consequently, I will provide Equal Benefits to all non-union represented employees, subject to the EBO, and will propose to the affected unions that they incorporate the requirements of the EBO into their CBA upon amendment, extension, or other modification of the CBA.

□……. Health

benefits currently provided do not comply with the EBO. However, I will make the necessary changes to provide Equal Benefits upon my next Open Enrollment period which begins on (Date) _____________________.

□……. Our current company policies, i.e., family leave, bereavement leave, etc., do not comply with the provisions of the EBO. However, I will make the necessary modifications within three (3) months from the date of this affidavit. SECTION 4. DECLARATION UNDER PENALTY OF PERJURY I understand that I am required to permit the City of Los Angeles access to and upon request, must provide certified copies of all company records pertaining to benefits, policies and practices for the purpose of investigation or to ascertain compliance with the Equal Benefits Ordinance. Furthermore, I understand that failure to comply with LAAC Section 10.8.2.1 et seq., Equal Benefits Ordinance may be deemed a material breach of any City contract by the Awarding Authority. The Awarding Authority may cancel, terminate or suspend in whole or in part, the contract; monies due or to become due under a contract may be retained by the City until compliance is achieved. The City may also pursue any and all other remedies at law or in equity for any breach. The City may use the failure to comply with the Equal Benefits Ordinance as evidence against the Contractor in actions taken pursuant to the provisions of the LAAC Section 10.40, et seq., Contractor Responsibility Ordinance.

__________________________will comply with the Equal Benefits Ordinance requirements Company Name

as indicated above prior to executing a contract with the City of Los Angeles and will comply for the entire duration of the contract(s). I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct, and that I am authorized to bind this entity contractually. Executed this_______day of ________________, in the year 20____, at____________________, _______ (City)

_________________________________ Signature

_________________________________ Name of Signatory (please print)

_________________________________ Title Form OCC/EBO-Affidavit (Rev 6/21/12)

(State)

______________________________ Mailing Address

______________________________ City, State, Zip Code

______________________________ EIN/TIN 2 of 2

APPENDIX F PLEDGE OF COMPLIANCE WITH CONTRACTOR RESPONSIBILITY AND RESPONSIBILITY QUESTIONNAIRE

CITY OF LOS ANGELES PLEDGE OF COMPLIANCE WITH CONTRACTOR RESPONSIBILITY Los Angeles Administrative Code (LAAC) Section 10.40 et seq. (Contractor Responsibility Ordinance) provides that, unless specifically exempt, City contractors working under service contracts of at least $25,000 and three months, contracts for the purchase of goods and products of at least $100,000, contracts for the purchase of garments of at least $25,000, and construction contracts of any amount; public lessees; public licensees; and certain recipients of City financial assistance or City grant funds, shall comply with all applicable provisions of the Ordinance. Upon award of a City contract, public lease, public license, financial assistance or grant, the contractor, public lessee, public licensee, City financial assistance recipient, or grant recipient, and any its subcontractor(s), shall submit this Pledge of Compliance to the awarding authority. The contractor agrees to comply with the Contractor Responsibility Ordinance and the following provisions: (a) To comply with all federal, state, and local laws in the performance of the contract, including but not limited to laws regarding health and safety, labor and employment, wage and hours, and licensing laws, which affect employees. (b) To notify the awarding authority within 30 calendar days after receiving notification that any governmental agency has initiated an investigation which may result in a finding that the contractor did not comply with any federal, state, or local law in the performance of the contract, including but not limited to laws regarding health and safety, labor and employment, wage and hours, and licensing laws, which affect employees. (c) To notify the awarding authority within 30 calendar days of all findings by a governmental agency or court of competent jurisdiction that the contractor has violated any federal, state, or local law in the performance of the contract, including but not limited to laws regarding health and safety, labor and employment, wage and hours, and licensing laws which affect employees. (d) If applicable, to provide the awarding authority, within 30 calendar days, updated responses to the Responsibility Questionnaire if any change occurs which would change any response contained within the Responsibility Questionnaire and such change would affect the contractor’s fitness and ability to continue the contract. (e) To ensure that subcontractors working on the City agreement (including contractors or subcontractors of a public lessee, licensee, sublessee, or sublicensee that perform or assist in performing services on the leased or licensed premises) shall comply with all federal, state, and local laws in the performance of the contract, including but not limited to laws regarding health and safety, labor and employment, wage and hours, and licensing laws, which affect employees. (f) To ensure that subcontractors working on the City agreement (including contractors or subcontractors of a public lessee, licensee, sublessee, sublicensee that perform or assist in performing services on the leased or licensed premises) submit a Pledge of Compliance. (g) To ensure that subcontractors working on the City agreement (including contractors or subcontractors of a public lessee, licensee, sublessee, or sublicensee that perform or assist in performing services on the leased or licensed premises) shall comply with paragraphs (b) and (c). Failure to complete and submit this form to the Awarding Authority may result in withholding of payments by the City Controller, or contract termination. Company Name, Address and Phone Number Signature of Officer or Authorized Representative

Date

Print Name and Title of Officer or Authorized Representative

Awarding City Department SRIS/CRO-3, Pledge of Compliance (Rev. 5/25/04)

Contact Number 1 of 1

CITY OF LOS ANGELES RESPONSIBILITY QUESTIONNAIRE RESPONSES TO THE QUESTIONS CONTAINED IN THIS QUESTIONNAIRE MUST BE SUBMITTED ON THIS FORM.

In responding to the Questionnaire, neither the City form, nor any of the questions contained therein, may be retyped, recreated, modified, altered, or changed in any way, in whole or in part. Bidders or Proposers that submit responses on a form that has been retyped, recreated, modified, altered, or changed in any way shall be deemed non-responsive. The signatory of this Questionnaire guarantees the truth and accuracy of all statements and answers to the questions herein. Failure to complete and return this questionnaire, any false statements, or failure to answer (a) question(s) when required, may render the bid/proposal non-responsive. All responses must be typewritten or printed in ink. Where an explanation is required or where additional space is needed to explain an answer, use the Responsibility Questionnaire Attachments. Submit the completed form and all attachments to the awarding authority. Retain a copy of this completed form for future reference. Contractors must submit updated information to the awarding authority if changes have occurred that would render any of the responses inaccurate in any way. Updates must be submitted to the awarding authority within 30 days of the change(s). A. CONTACT INFORMATION CITY DEPARTMENT INFORMATION City Department/Division Awarding Contract

City Contact Person

Phone

City Bid or Contract Number (if applicable) and Project Title

BIDDER/CONTRACTOR INFORMATION Bidder/Proposer Business Name Street Address

City

Contact Person, Title

State Phone

Zip Fax

TYPE OF SUBMISSION: The Questionnaire being submitted is:

□ An initial submission of a completed Questionnaire. □ An update of a prior Questionnaire dated ______/______/______. □ No change. I certify under penalty of perjury under the laws of the State of California that there has been no change to any of the responses since the last Responsibility Questionnaire dated ______/______/______ was submitted by the firm. Attach a copy of that Questionnaire and sign below. Print Name, Title

Signature

Date

TOTAL NUMBER OF PAGES SUBMITTED, INCLUDING ALL ATTACHMENTS: ___________ Responsibility Questionnaire (Rev. 01/20/12)

Service 1 of 9

B. BUSINESS ORGANIZATION/STRUCTURE Indicate the organizational structure of your firm. “Firm” includes a sole proprietorship, corporation, joint venture, consortium, association, or any combination thereof.

□ Corporation: Date incorporated: _____/_____/_____

State of incorporation: ____________

List the corporation’s current officers. President: Vice President: Secretary: Treasurer:

□

Check the box only if your firm is a publicly traded corporation. List those who own 5% or more of the corporation’s stocks. Use Attachment A if more space is needed. Publicly traded corporations need not list the owners of 5% or more of the corporation’s stocks.

□ Limited Liability Company: Date of formation: _____/_____/_____

State of formation: ____________ List members who own 5% or more of the company. Use Attachment A if more space is needed.

□ Partnership: Date formed: _____/_____/_____

State of formation: ____________ List all partners in your firm. Use Attachment A if more space is needed.

□ Sole Proprietorship:

Date started: _____/_____/_____ List any firm(s) that you have been associated with as an owner, partner, or officer for the last five years. Use Attachment A if more space is needed. Do not include ownership of stock in a publicly traded company in your response to this question.

□ Joint Venture:

Date formed: _____/_____/_____ List: (1) each firm that is a member of the joint venture and (2) the percentage of ownership the firm will have in the joint venture. Use Attachment A if more space is needed. Each member of the Joint Venture must complete a separate Questionnaire for the Joint Venture’s submission to be considered as responsive to the invitation.

Responsibility Questionnaire (Rev. 01/20/12)

Service 2 of 9

C. OWNERSHIP AND NAME CHANGES 1. Is your firm a subsidiary, parent, holding company, or affiliate of another firm?

□ Yes

□ No

If Yes, explain on Attachment A the relationship between your firm and the associated firms. Include information about an affiliated firm only if one firm owns 50% or more of another firm, or if an owner, partner or officer of your firm holds a similar position in another firm. 2. Has any of the firm’s owners, partners, or officers operated a similar business in the past five years?

□ Yes

□ No

If Yes, list on Attachment A the names and addresses of all such businesses, and the person who operated the business. Include information about a similar business only if an owner, partner or officer of your firm holds a similar position in another firm. 3. Has the firm changed names in the past five years?

□ Yes

□ No

If Yes, list on Attachment A all prior names, addresses, and the dates they were used. Explain the reason for each name change in the last five years. 4. Are any of your firm’s licenses held in the name of a corporation or partnership?

□ Yes

□ No

If Yes, list on Attachment A the name of the corporation or partnership that actually holds the license.

Bidders/Contractors must continue on to Section D and answer all remaining questions contained in this Questionnaire. The responses in this Questionnaire will not be made available to the public for review. This is not a public document. [ CPCC §20101(a) ]

Responsibility Questionnaire (Rev. 01/20/12)

Service 3 of 9

D. FINANCIAL RESOURCES AND RESPONSIBILITY 5. Is your firm now, or has it ever been at any time in the last five years, the debtor in a bankruptcy case?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance. 6. Is your company in the process of, or in negotiations toward, being sold?

□ Yes

□ No

If Yes, explain the circumstances on Attachment B. E. PERFORMANCE HISTORY 7. How many years has your firm been in business?

_________ Years.

8. Has your firm ever held any contracts with the City of Los Angeles or any of its departments?

□ Yes

□ No

If, Yes, list on an Attachment B all contracts your firm has had with the City of Los Angeles for the last 10 years. For each contract listed in response to this question, include: (a) entity name; (b) purpose of contract; (c) total cost; (d) starting date; and (e) ending date. 9. List on Attachment B all contracts your firm has had with any private or governmental entity (other than the City of Los Angeles) over the last five years that are similar to the work to be performed on the contract for which you are bidding or proposing. For each contract listed in response to this question, include: (a) entity name; (b) purpose of contract; (c) total cost; (d) starting date; and (e) ending date.

□ Check the box if you have not had any similar contracts in the last five years 10. In the past five years, has a governmental or private entity or individual terminated your firm’s contract prior to completion of the contract?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance. 11. In the past five years, has your firm used any subcontractor to perform work on a government contract when you knew that the subcontractor had been debarred by a governmental entity?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance. 12. In the past five years, has your firm been debarred or determined to be a non-responsible bidder or contractor?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance. Responsibility Questionnaire (Rev.. 01/20/12)

Service 4 of 9

F. DISPUTES 13. In the past five years, has your firm been the defendant in court on a matter related to any of the following issues? For parts (a) and (b) below, check Yes even if the matter proceeded to arbitration without court litigation. For part (c), check Yes only if the matter proceeded to court litigation. If you answer Yes to any of the questions below, explain the circumstances surrounding each instance on Attachment B. You must include the following in your response: the name of the plaintiffs in each court case, the specific causes of action in each case; the date each case was filed; and the disposition/current status of each case. (a) Payment to subcontractors?

□ Yes

□ No

(b) Work performance on a contract?

□ Yes

□ No

(c) Employment-related litigation brought by an employee?

□ Yes

□ No

14. Does your firm have any outstanding judgements pending against it?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance. 15. In the past five years, has your firm been assessed liquidated damages on a contract?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance and identify all such projects, the amount assessed and paid, and the name and address of the project owner.

G. COMPLIANCE 16. In the past five years, has your firm or any of its owners, partners or officers, ever been investigated, cited, assessed any penalties, or been found to have violated any laws, rules, or regulations enforced or administered, by any of the governmental entities listed on Attachment C (Page 9)? For this question, the term “owner” does not include owners of stock in your firm if your firm is a publicly traded corporation.

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance, including the entity that was involved, the dates of such instances, and the outcome. 17. If a license is required to perform any services provided by your firm, in the past five years, has your firm, or any person employed by your firm, been investigated, cited, assessed any penalties, subject to any disciplinary action by a licensing agency, or found to have violated any licensing laws?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance in the last five years.

Responsibility Questionnaire (Rev. 01/20/12)

Service 5 of 9

18. In the past five years, has your firm, any of its owners, partners, or officers, ever been penalized or given a letter of warning by the City of Los Angeles for failing to obtain authorization from the City for the substitution of a Minority-owned (MBE), Women-owned (WBE), or Other (OBE) business enterprise?

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance in the last five years. H. BUSINESS INTEGRITY 19. For questions (a), (b), and (c) below, check Yes if the situation applies to your firm. For these questions, the term “firm” includes any owners, partners, or officers in the firm. The term “owner” does not include owners of stock in your firm if the firm is a publicly traded corporation. If you check Yes to any of the questions below, explain on Attachment B the circumstances surrounding each instance. (a) Is a governmental entity or public utility currently investigating your firm for making (a) false claim(s) or material misrepresentation(s)?

□ Yes □ No (b) In the past five years, has a governmental entity or public utility alleged or determined that your firm made (a) false claim(s) or material misrepresentation(s)?

□ Yes □ No (c) In the past five years, has your firm been convicted or found liable in a civil suit for, making (a) false claim(s) or material misrepresentation(s) to any governmental entity or public utility?

□ Yes □ No 20. In the past five years, has your firm or any of its owners or officers been convicted of a crime involving the bidding of a government contract, the awarding of a government contract, the performance of a government contract, or the crime of fraud, theft, embezzlement, perjury, bribery? For this question, the term “owner” does not include those who own stock in a publicly traded corporation.

□ Yes

□ No

If Yes, explain on Attachment B the circumstances surrounding each instance.

CERTIFICATION UNDER PENALTY OF PERJURY I certify under penalty of perjury under the laws of the State of California that I have read and understand the questions contained in this questionnaire and the responses contained on all Attachments. I further certify that I have provided full and complete answers to each question, and that all information provided in response to this Questionnaire is true and accurate to the best of my knowledge and belief. Print Name, Title

Responsibility Questionnaire (Rev. 01/20/12)

Signature

Date

Service 6 of 9

ATTACHMENT A FOR SECTIONS A THROUGH C Where additional information or an explanation is required, use the space below to provide the information or explanation. Information submitted on this sheet must be typewritten or printed in ink. Include the number of the question for which you are submitting additional information. Make copies of this Attachment if additional pages are needed. Page _____

Responsibility Questionnaire (Rev. 01/20/12)

Service 7 of 9

ATTACHMENT B FOR SECTIONS D THROUGH H Where additional information or an explanation is required, use the space below to provide the information or explanation. Information submitted on this sheet must be typewritten or printed in ink. Include the number of the question for which you are submitting additional information. Make copies of this Attachment if additional pages are needed. Page _____

Responsibility Questionnaire (Rev. 01/20/12)

Service 8 of 9

ATTACHMENT C: GOVERNMENTAL ENTITIES FOR QUESTION NO. 16 Check Yes in response to Question No. 16 if your firm or any of its owners, partners or officers, have ever been cited, assessed any penalties, or found to have violated any laws, rules, or regulations enforced or administered, by any of the governmental entities listed below (or any of its subdivisions), including but not limited to those examples specified below. The term “owner” does not include owners of stock in your firm if your firm is a publicly traded corporation. If you answered Yes, provide an explanation on Attachment B of the circumstances surrounding each instance, including the entity involved, the dates of such instances, and the outcome. FEDERAL ENTITIES

STATE ENTITIES

Federal Department of Labor • American with Disabilities Act • Immigration Reform and Control Act • Family Medical Leave Act • Fair Labor Standards Act • Davis-Bacon and laws covering wage requirements for federal government contract workers • Migrant and Seasonal Agricultural Workers Protection Act • Immigration and Naturalization Act • Occupational Safety and Health Act • anti-discrimination provisions applicable to government contractors and subcontractors • whistleblower protection laws

California’s Department of Industrial Relations • wage and labor standards, and licensing and registration • occupational safety and health standards • workers’ compensation self insurance plans • Workers’ Compensation Act • wage, hour, and working standards for apprentices • any provision of the California Labor Code

Federal Department of Justice • Civil Rights Act • American with Disabilities Act • Immigration Reform and Control Act of 1986 • bankruptcy fraud and abuse

California Department of Consumer Affairs • licensing, registration, and certification requirements • occupational licensing requirements administered and/or enforced by any of the Department’s boards, including the Contractors’ State Licensing Board

Federal Department of Housing and Urban Development (HUD) • anti-discrimination provisions in federally subsidized/assisted/sponsored housing programs • prevailing wage requirements applicable to HUD related programs Federal Environmental Protection Agency • Environmental Protection Act National Labor Relations Board • National Labor Relations Act Federal Equal Employment Opportunity Commission • Civil Rights Act • Equal Pay Act • Age Discrimination in Employment Act • Rehabilitation Act • Americans with Disabilities Act

Responsibility Questionnaire (Rev. 01/20/12)

California’s Department of Fair Employment and Housing • California Fair Employment and Housing Act • Unruh Civil Rights Act • Ralph Civil Rights Act

California’s Department of Justice LOCAL ENTITIES City of Los Angeles or any of its subdivisions for violations of any law, ordinance, code, rule, or regulation administered and/or enforced by the City, including any letters of warning or sanctions issued by the City of Los Angeles for an unauthorized substitution of subcontractors, or unauthorized reductions in dollar amounts subcontracted. OTHERS Any other federal, state, local governmental entity for violation of any other federal, state, or local law or regulation relating to wages, labor, or other terms and conditions of employment.

Service 9 of 9

APPENDIX G LIVING WAGE ORDINANCE

Living Wage Ordinance and Service Contractor Worker Retention Ordinance Unless approved for an exemption, contractors under contracts primarily for the furnishing of services to or for the City and that involve an expenditure in excess of $25,000 and a contract term of at least three (3) months, lessees and licensees of City property, and certain recipients of City financial assistance, shall comply with the provisions of Los Angeles Administrative Code Sections 10.37 et seq., Living Wage Ordinance (LWO) and 10.36 et seq., Service Contractor Worker Retention Ordinance (SCWRO). Bidders/Proposers shall refer to Attachment/Appendix ___, “Living Wage Ordinance and Service Contractor Worker Retention Ordinance” for further information regarding the requirements of the Ordinances. Bidders/Proposers who believe that they meet the qualifications for one of the exemptions described in the LWO List of Statutory Exemptions shall apply for exemption from the Ordinance by submitting with their proposal the Bidder/Contractor Application for Non-Coverage or Exemption (Form OCC/LW-10), or the Non-Profit/OnePerson Contractor Certification of Exemption (OCC/LW-13). The List of Statutory Exemptions, the Application and the Certification are included in the Attachment/Appendix.

LWO/SCWRO RFP Language 06/10

CITY OF LOS ANGELES LIVING WAGE ORDINANCE (Los Angeles Administrative Code Section 10.37 et seq.) 1. What is the Living Wage Ordinance? The Living Wage Ordinance (LWO) requires employers who have agreements with the City to pay their employees at least a minimum “living wage” and to provide certain benefits. If the agreement is subject to the LWO, the employer must do the following: •

• • • • •

Pay employees working on the subject agreement a wage rate that is at least equal to the “living wage” rate. The “living wage” is adjusted annually and becomes effective July 1 of each year. Employers can obtain information about the living wage rate currently in effect by going to Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance (OCC) website at www.lacity.org/bca/OCCmain.html. Provide employees with at least 12 paid days off per year for sick leave, vacation, or personal necessity; and at least 10 unpaid sick days off per year. Tell employees who make less than $12.00 per hour that they may qualify for the federal Earned Income Tax Credit and provide them with the forms required to apply for the credit. Cooperate with the City by providing access to the work site and to payroll and related documents so that the City can determine if the employer is complying with the LWO. Pledge to comply with federal laws prohibiting an employer from retaliating against employees for union organizing. Not retaliate against any employee who makes claims about non-compliance with the LWO.

2. When was the Ordinance adopted? The LWO was adopted in May, 1997 and amended in January, 1999. 3. What types of agreements are subject to the Ordinance? Generally, the LWO covers the following types of agreements: • • • • •

An agreement in an amount over $25,000.00 and for at least three months in which an employer will provide services to or for the City. An agreement for the lease or license of City property if the service being performed on the property is something that City employees would otherwise do. An agreement for the lease or license of City property that is in a location where a substantial number of the general public might visit. An agreement in which the City gives financial assistance for the purpose of promoting economic development or job growth. An agreement in which the City determines that applying the LWO would be in the best interest of the City.

Living Wage Ordinance Summary – 06/10

Page 1

4. Is an agreement subject to the LWO if it was entered into before May, 1997? Agreements executed after May, 1997 are subject to the LWO. An agreement entered into before May, 1997 may become subject to LWO if it is later amended or modified in order to add time or money to the original agreement. 5. Are there any requirements that would apply to an employer who does not have an agreement with City that is subject to the LWO? All employers are required to comply with the LWO’s prohibition against retaliation, even if the employer does not have an agreement with the City that is subject to the Ordinance. 6. Are all employees covered by the Ordinance? Intentionally left blank 8/18/06

7. Are an employer’s subcontractors subject to the requirements of the Ordinance? A subcontractor may be covered by the Ordinance if the subcontractor performs work on the subject agreement. If so, the subcontractor must also comply with the requirements of the LWO, including all reporting requirements. The prime contractor is responsible for the making sure that the subcontractor complies with the LWO. 8. What happens if an employer is found to be in violation of the Ordinance? Payments due may be withheld. Also, the employer may be deemed to be in material breach of the agreement. When that happens, the City may take the following steps: • • •

Terminate the agreement and pursue all available contractual remedies. Debar the employer from doing business with the City for three (3) years or until all penalties and restitution have been fully paid, whichever occurs last. Bring a lawsuit against the employer for all unpaid wages and health benefit premiums and/or seek a fine of up to one hundred dollars ($100.00) for each day the violation remains uncorrected.

9. What if a subcontractor is found to be in violation of the Ordinance? Because the prime contractor is responsible for making sure that all its subcontractors comply with the LWO, the sanctions listed in answer #8 may be applied to the prime contractor if the subcontractor does not correct the violation(s).

10. What can an employee do if an employer is in violation of the Ordinance? Living Wage Ordinance Summary – 06/10

Page 2

The employee can submit a complaint to the Office Contract Compliance which will investigate the complaint. Also, the employee can bring his or her own lawsuit against the employer for: • • •

Back pay for failing to pay the correct wages or correct health benefit premiums. Reinstatement and back pay for retaliation. Triple the amount of the back pay that is owed if the violation was found by the court to be willful.

11. Are there any exemptions available under the Ordinance? An employer may apply for an exemption based on the following categories: • •

• • • • •

• • •

Service agreements that are less than 3 months or $25,000 or less. Agreements for the purchase of goods, property, or the leasing of property (with City as the lessee). Construction contracts that do not meet the definition of a service agreement. Employees who are required to have an occupational license in order to provide services to or for the City are exempt. Employers who are party to a collective bargaining agreement (CBA) that has language stating that the CBA shall supersede the LWO. Financial assistance recipients who meet the requirements stated in Section 10.37.1(c) of the LWO. Employers (contractors, subcontractors, financial assistance recipients) organized under IRS Code, Section 501(c)(3) whose chief executive officer’s hourly wage rate is less than eight times the hourly wage rate of the lowest paid worker are be exempt. However, this exemption does not apply to child care workers. Lessees or licensees who have no more than a total of seven employees and who have annual gross revenue of less than $454, 016 (effective July 1, 2010). The qualifying annual gross revenue is adjusted every July. One-person contractors, lessees, licensees or financial assistance recipients who employ no workers. Agreements that involve other governmental entities.

12. Who is responsible for the administration and enforcement of the Ordinance? The Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance, located at 1149 S. Broadway Street, Suite 300, Los Angeles, CA 90015. For additional information, please call (213) 847-2625, or go to the Office of Contract Compliance website at http://bca.lacity.org.

Living Wage Ordinance Summary – 06/10

Page 3

LIVING WAGE ORDINANCE STATUTORY EXEMPTIONS Living Wage Ordinance (LWO) statutory exemptions are now divided into the following three categories: 1. Exemptions that do not require approval from the Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance (OCC). 2. Exemptions that do not require OCC approval but require a Contractor Certification of Exemption. 3. Exemptions that require submission of an Application for Exemption and OCC approval of the Application. 1. The following exemptions do not require OCC approval or any Contractor Certification: Departments only need to indicate the exemption in the appropriate category on the LWO Departmental Determination of Coverage Form. a. Less than three months OR less than $25,000 (LAAC 10.37.1(j)). Service contracts or Authority for Expenditures that do not meet these thresholds are not covered by the LWO. b. Other governmental entities (LAAC 10.37.1(g)). Agreements with other governmental entities such as Los Angeles County, the State of California, or the University of California, are not covered by the LWO. Subcontractors to these entities are also not covered by the LWO. c. Purchase of goods, property, or the leasing of property, with the City as lessee (LAAC 10.37.1(j)). Such contracts are categorically exempt from the LWO unless they include a service component that is more than just incidental (regular and recurring services is required). Examples of such categorically exempt contracts include contracts to purchase office supplies or to lease space to be occupied by City departments. d. Construction contracts, not conforming to the definition of a service contract (LAAC 10.37.1(j)). Such contracts are categorically exempt from the LWO. Examples include construction of buildings and infrastructure. e. City financial assistance not meeting thresholds (LAAC 10.37.1(c)). Agreements to provide a contractor with City financial assistance (which typically mean grants or loans provided at interest rates that are lower than the Applicable Federal Rate) are categorically exempt from the LWO if they meet both of the following: (1) The assistance given in a 12-month period is below $1,000,000 AND less than $100,000 per year. (2) The assistance is not for economic development or job growth. f.

Business Improvement Districts (BID) (LWO Regulation #11). Service agreements are categorically exempt from the LWO if the services are funded with the BID’s assessment money collected by the City after the formation of the BID. Service contracts in which City money is used to hire firms to help in forming the BID remain subject to the LWO unless the contractor otherwise qualifies for an exemption.

2. The following exemption categories do not require OCC approval, but the contractor must still submit a Contractor Certification of Exemption from Living Wage (OCC/LW-13). No OCC approval is required for the exemption to be valid. However, the department must include the Contractor Certification of Exemption with the contract. a. 501(c)(3) Non-profit organizations (LAAC 10.37.1(g)): Employers (contractors, subcontractors, financial assistance recipients) organized under IRS Code Section 501(c)(3) are exempt from the LWO if the hourly wage rate of the corporation’s highest paid employee is less than eight times the hourly wage rate of the corporation’s lowest paid worker. However, the exemption does not extend to Child Care Workers as defined in the LWO Rules and Regulations (an employee “whose work on an agreement involves the care or supervision of children 12 years of age and under.”).A copy of the IRS 501(c)(3) Exemption Letter will be required. b. One-person contractors with no employees (LAAC 10.37.1(f)): Contractors, lessees, licensees or financial assistance recipients who employ no workers are exempt from the LWO.

Form OCC/LW-10 (Rev. 6/10)

1

LIVING WAGE ORDINANCE STATUTORY EXEMPTIONS (Continued) 3. The following exemption categories require submission of an application for exemption and OCC approval of the application to be valid.. a. Collective bargaining agreements (CBA) that supersede the LWO (LAAC 10.37.12): Contractors whose employees are covered by a CBA that supersede the requirements of the LWO are not subject to the LWO. A copy of the CBA with the superseding language or a letter from the union indicating that the union has agreed to allow the CBA to supersede the LWO will be required to be submitted. Example: Labor agreement between parking contractor and a labor union with language that wages and benefits in the CBA shall supersede the LWO. Contractors must use the LWO Application for NonCoverage or Exemption form (Form OCC/LW-10) and submit a copy of the CBA or a letter from the union. b. Occupational license (LAAC 10.37.1(f)): Employees required to possess an occupational license in order to provide the services under the City agreement are not subject to the LWO. However, only the individual employees who are required to possess an occupational license are exempt. Employees who work on the City contract and are not required to possess an occupational license remain subject to the LWO. Example: Under California Labor Code Sections 7375 – 7380, a person must be licensed by the State of California in order to inspect and certify cranes and derricks used in lifting services. Contractors must use the LWO Application for Non-Coverage or Exemption form (Form OCC/LW-10) and submit a listing of the employees who possess occupational licenses and a copy of the licenses. c. Small business exemptions for Public Lessees/Licensees (LAAC 10.37.1(i)): Small business that lease property from the City may apply for OCC approval for LWO exemption if the lessee or licensee: (1) employs no more than a total of seven employees; and (2) has annual gross revenues of less than $454,016 (adjusted July 1, 2010). This applies only to lessees with lease agreements executed after February 24, 2001, and to amendments executed after February 24, 2001 that add monies or extend term. Use the Application for “Small Business” Exemption (Form OCC/LW-20) and submit the application with the documents requested on that form. d. City financial assistance agreements that exceed the LWO monetary thresholds may apply for one of the exemptions below. Applicants and departments should refer to Regulation #3(c) for the requirements and the documents that must be submitted with the LWO Application for Non-Coverage or Exemption (OCC/LWO-10). (1) The City financial assistance recipient (CFAR) is in its first year of operation (LAAC 10.37.1(c)). (2) The CFAR employs fewer than five employees (LAAC 10.37.1(c)). (3) The CFAR would face undue hardship because it employs the long-term unemployed or provides trainee positions to prepare employees for permanent positions (LAAC 10.37.1(c)). REQUIRES COUNCIL APPROVAL.

Form OCC/LW-10 (Rev. 6/10)

2

LW-6

LWO – EMPLOYEE INFORMATION FORM REQUIRED DOCUMENTATION FOR ALL CONTRACTS SUBJECT TO LWO This form must be submitted to the AWARDING DEPARTMENT within 30 DAYS of contract execution. INCOMPLETE SUBMISSIONS WILL BE RETURNED. THE LIVING WAGE ORDINANCE (LWO) REQUIRES THAT SUBJECT EMPLOYERS PROVIDE TO EMPLOYEES: As of July 1, 2013 a wage of at least $10.91 per hour with health benefits of $1.25 per hour, or $12.16 per hour without health benefits (to be adjusted annually) (Regulation #4); At least 12 compensated days off per year for sick leave, vacation or personal necessity at the employee’s request (pro-rated for part-time employees) (Regulation #4); and At least 10 additional days off per year of uncompensated time off for personal or immediate illness only (pro-rated for part-time employees) (Regulation #4). Refer to the LWO Rules and Regulations, available from the Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance (OCC) website, for details regarding the wage and benefit requirements of the Ordinance. Making less than $12.00 per hour information of their possible right to the federal Earned Income Tax Credit (EITC) and make available the forms required to secure advance EITC payments from the employer (Regulation #4). THE LIVING WAGE ORDINANCE (LWO) ALSO REQUIRES EMPLOYERS: Not to retaliate against any employee claiming non-compliance with the provisions of these Ordinances and to comply with federal law prohibiting retaliation for union organizing (Regulation #4). TO BE FILLED OUT BY THE CONTRACTOR:

1. Company Name: ______________________________________ Email Address: 2. STATE the number of employees working ON THIS CITY CONTRACT: ___________ 3. **ATTACH a copy of your company’s 1st PAYROLL under THIS CITY CONTRACT. 4. **INDICATE (highlight, underline) on the payroll which employees are working ON THIS CITY CONTRACT. 5. **Do you provide health benefits (such as medical, dental, vision, mental health, and disability insurance) No to your employees? Yes If YES, STATE how much, if any, employees pay for co-premiums: $_______________ **NOTE: Payroll information need not be submitted if ALL employees working on this City agreement earn an hourly wage of at least $15 per hour. If so, check the box below. I certify under penalty of perjury that I do not have any employees earning less than $15 per hour working on this City contract. FAILURE TO COMPLY WITH THESE REQUIREMENTS WILL RESULT IN WITHHOLDING OF PAYMENTS BY THE CITY CONTROLLER, OR A RECOMMENDATION TO THE AWARDING AUTHORITY FOR CONTRACT TERMINATION. ALL INFORMATION SUBMITTED IS SUBJECT TO VERIFICATION, AND FALSE INFORMATION MAY RESULT IN CONTRACT TERMINATION. I understand that the employee information provided herein is confidential and will be used by the City of Los Angeles, Office of Contract Compliance for the purpose of monitoring the Living Wage Ordinance. Print Name of Person Completing This Form

Signature of Person Completing This Form

Title

Date

Phone #

AWARDING DEPARTMENT USE ONLY: Dept: _____________ Dept Contact: _______________________ Contact Phone: _________________Contract #: ____________

Form OCC/LW-6, Rev. 6/13

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-18

LWO – SUBCONTRACTOR INFORMATION FORM REQUIRED DOCUMENTATION FOR ALL CONTRACTS SUBJECT TO LWO This form must be submitted to the AWARDING DEPARTMENT within 30 DAYS of contract execution. INCOMPLETE SUBMISSIONS WILL BE RETURNED. SECTION I: CONTRACTOR INFORMATION 1) 2)

Company Name: _________________________ Contact Person: ____________________ Phone Number: _______________ Yes No Do you have subcontractors working on this City contract? If NO, This form is now complete – SIGN THE BOTTOM OF PAGE 2 AND SUBMIT TO THE AWARDING DEPARTMENT. If YES, a) STATE the number of your subcontractors ON THIS CITY CONTRACT: ___________ b) Fill in PART A for EACH subcontractor in Section II, continue to Section III & IV (if applicable), AND SIGN Section V. SECTION II: SUBCONTRACTOR INFORMATION

PART B CHECK OFF ONLY ONE BOX (I-VI) FOR EACH SUBCONTRACTOR (IF APPLICABLE) THEN CONTINUE ONTO SECTION III:

PART A

I

II

III

IV

V

VI

501 (c)(3)1

OnePerson

CBA3

Occupational 4

Small

Gov. entity6

Contractor

License

Business

5

2

1. Subcontractor Name: ___________________________________________ 2. Contact Person:____________________ Phone #: __________________ 3. Address:_____________________________________________________ 4. Purpose of Subcontract: ________________________________________ 5. Amount of Subcontract: $________________ 6. Term: Start Date _____/_____/_____ End Date _____/_____/_____ Yes No 7. Does the subcontract exceed $25,000? Yes No 8. Is the length of the subcontract at least three (3) months? If you checked off YES for Questions 7 AND 8, this subcontract IS SUBJECT TO THE LWO. Continue onto Part B. If you checked off NO for any questions 7 OR 8, this subcontract IS NOT SUBJECT TO THE LWO. Continue to fill in Part A for additional subs below. 1. Subcontractor Name: ___________________________________________ 2. Contact Person:____________________ Phone #: __________________ 3. Address:_____________________________________________________ 4. Purpose of Subcontract: ________________________________________ 5. Amount of Subcontract: $________________ 6. Term: Start Date _____/_____/_____ End Date _____/_____/_____ Yes No 7. Does the subcontract exceed $25,000? Yes No 8. Is the length of the subcontract at least three (3) months? If you checked off YES for Questions 7 AND 8, this subcontract IS SUBJECT TO THE LWO. Continue onto Part B. If you checked off NO for any questions 7 OR 8, this subcontract is NOT SUBJECT TO THE LWO. Continue to fill in Part A for additional subs below. 1. Subcontractor Name: ___________________________________________ 2. Contact Person:____________________ Phone #: __________________ 3. Address:_____________________________________________________ 4. Purpose of Subcontract: ________________________________________ 5. Amount of Subcontract: $________________ 6. Term: Start Date _____/_____/_____ End Date _____/_____/_____ Yes No 7. Does the subcontract exceed $25,000? Yes No 8. Is the length of the subcontract at least three (3) months? If you checked off YES for Questions 7 AND 8, this subcontract IS SUBJECT TO THE LWO. Continue onto Part B. If you checked off NO for any questions 7 OR 8, this subcontract is NOT SUBJECT TO THE LWO. Continue to fill in Part A for additional subs below.

Form OCC/LW-18, Rev. 8/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

1

LW-18 SECTION II: SUBCONTRACTOR INFORMATION (continued)

PART B CHECK OFF ONLY ONE BOX (I-VI) FOR EACH SUBCONTRACTOR (IF APPLICABLE) THEN CONTINUE ONTO SECTION III:

PART A

I

II

III

IV

V

VI

501 (c)(3)1

OnePerson

CBA3

Occupational

Small

License

Business

Gov. entity6

Contractor

4

5

2

1. Subcontractor Name: ___________________________________________ 2. Contact Person:____________________ Phone #: __________________ 3. Address:_____________________________________________________ 4. Purpose of Subcontract: ________________________________________ 5. Amount of Subcontract: $________________ 6. Term: Start Date _____/_____/_____ End Date _____/_____/_____ Yes No 7. Does the subcontract exceed $25,000? Yes No 8. Is the length of the subcontract at least three (3) months? If you checked off YES for Questions 7 AND 8, this subcontract IS SUBJECT TO THE LWO. Continue onto Part B. If you checked off NO for any questions 7 OR 8, this subcontract is NOT SUBJECT TO THE LWO. Continue to fill in Part A for additional subs below. 1. Subcontractor Name: ___________________________________________ 2. Contact Person:____________________ Phone #: __________________ 3. Address:_____________________________________________________ 4. Purpose of Subcontract: ________________________________________ 5. Amount of Subcontract: $________________ 6. Term: Start Date _____/_____/_____ End Date _____/_____/_____ Yes No 7. Does the subcontract exceed $25,000? Yes No 8. Is the length of the subcontract at least three (3) months? If you checked off YES for Questions 7 AND 8, this subcontract IS SUBJECT TO THE LWO. Continue onto Part B. If you checked off NO for any questions 7 OR 8, this subcontract is NOT SUBJECT TO THE LWO. SECTION III: SUBCONTRACTS SUBJECT TO THE LWO (AND MAY BE ELIGIBLE FOR EXEMPTIONS) If you checked off any boxes in Part B, your Subcontractor(s) is subject to the LWO, but may qualify for an LWO exemption. Review the exemptions below, and have your subcontractor fill out the form in the corresponding right-hand column. Continue to Section V, and submit this form and all supporting documentation to the Awarding Department for approval. 2) If you did NOT check any boxes in Part B or your subs DO NOT qualify for an exemption, Continue to Section IV. EXEMPTION SUPPORTING DOCUMENTATION REQUIRED One-person contractors, lessee, licensee LW 13 – Departmental Exemption Form http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm 501(c)(3) non-profit organization Occupational license required LW 10 – OCC Exemption Form http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm Collective bargaining agreement w/supersession language Small Business LW 26 – Small Business Exemption Form (English & Spanish) 1)

http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm

Governmental Entity NONE REQUIRED. SECTION IV: SUBCONTRACTS SUBJECT TO THE LWO (AND NOT ELIGIBLE FOR EXEMPTIONS) Please have EACH of your Subcontractors that ARE SUBJECT to the LWO fill out the three forms below. Submit LW-6 and LW-18 ONLY to the Awarding Department (and supporting documentation, where applicable) and RETAIN LW-5 in your office. 1) Employee Information Form LW 6 - http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm 2) Subcontractor Information Form LW 18 - http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm 3) Subcontractor Declaration of Compliance Form (retain) LW 5 - http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm SECTION V: SIGNATURE I understand that the Subcontractor Information provided herein is confidential and will be used by the City of Los Angeles, Office of Contract Compliance for the purpose of monitoring the Living Wage Ordinance. Print Name of Person Completing This Form Title

Phone #

Signature of Person Completing This Form Date AWARDING DEPARTMENT USE ONLY:

Dept: _____________ Dept Contact: _______________________ Contact Phone: _________________Contract #: ____________

Form OCC/LW-18, Rev. 8/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

2

ENDNOTES FOR LWO SUBCONTRACTOR INFORMATION FORM 1

Non-Profit 501(c)(3) Organizations: A corporation claiming exemption under Section 10.37.1(g) of the LWO as a corporation organized under Section 501 (c)(3) of the United States Internal Revenue Code must provide the following additional documents in support of the application for exemption: (A) A copy of the most recent IRS letter indicating that the contractor has been recognized as a non-profit corporation organized under section 501 (c)(3) of the United States Internal Revenue Code. (B) An application for non-coverage or exemption, including the non-profit salary certification on the form referred to in Appendix A. The salary certification must list the salary of the corporation’s chief executive officer (CEO), computed on an hourly basis, and the hourly wage rate of the lowest paid worker in the corporation. The salary of the CEO, when computed on an hourly basis, must be less than 8 times what the lowest paid worker is paid on an hourly basis. For purposes of this exemption, the ”chief executive officer (CEO)” means the CEO of the 501(c)(3) corporation that entered into the agreement

2

One-Person Contractor: A contractor may apply for exemption under Section 10.37.1(f) of the LWO if that contractor has no employees. The one-person contractor shall submit an application for non-coverage or exemption to the awarding authority on the form referred to in Appendix A with the appropriate one-person contractor certification. If, subsequent to the approval of the exemption application, the contractor hires any employees, the exemption is no longer valid. Any employee the contractor hires becomes covered by the LWO to the extent that the employee performs work on the City agreement. In such cases, the contractor shall notify the awarding authority of the change in circumstances and submit to the awarding authority all the necessary forms to comply with the LWO reporting requirements, including the employee and subcontractor information forms.

3

Exemption by Collective Bargaining Agreement – LAAC 10.37.12: An employer subject to provisions of the LWO may, by collective bargaining agreement (CBA), provide that the CBA, during its term, shall supersede the requirements of the LWO for those employees covered by the CBA. The provisions of the LWO should not be interpreted to require an employer to reduce the wages and benefits required by a collective bargaining agreement. All parties to the CBA must specifically waive in full or in part the benefits required by the LWO. An employer applying for this exemption shall submit a copy of the CBA. If the CBA does not specifically indicate that the LWO has been superseded, the employer shall submit written confirmation from the union representing the employees working on the agreement that the union and the employer have agreed to let the CBA supersede the LWO.

(A) Provisional Exemption from LWO during negotiation of CBA: An employer subject to the LWO may apply for Provisional Exemption from the LWO if the employer can document that: (1) the union and the employer are currently engaged in negotiations regarding the terms of the CBA; and (2) the issue of allowing the CBA to supersede the LWO has been proposed as an issue to be addressed during the negotiations. If granted, Provisional Exemption status is valid until the end of the negotiation process, including, if applicable, impasse resolution proceedings. During the negotiation process, the employer shall provide, upon request from the OCC, status reports on the progress of negotiations. At the end of the negotiation process, the employer shall provide the OCC with a copy of the final CBA to verify whether the LWO has been superseded, and the effective dates of the CBA. (i) If the final CBA signed by the employer and the union supersedes the LWO, the employer shall be considered to be exempt from the LWO’s wage and benefits provisions for the time period covered by the effective dates of the superseding CBA. The employer remains subject to all applicable provisions of the LWO for the time period not covered by the superseding CBA. If the employer has not complied with the LWO requirements during the time period not covered by the superseding CBA, the employer shall be required to make retroactive corrections for any period of non-compliance, which may include making retroactive payments to affected employees for the relevant periods of non compliance. (ii) If the final CBA signed by the employer and the union does not supersede the LWO, the employer shall be required to comply with all applicable LWO requirements, including the wage and benefits provisions. Compliance shall also be required retroactively to the date that the employer first became subject to the LWO. If necessary, the employer shall provide retroactive payments to affected employees for any time period during which the employer did not comply with the LWO. 4

Occupational license - LAAC 10.37.1(f): Exemptions for Employees Requiring Occupational Licenses: If an employer claims that the LWO does not apply to an employee pursuant to section 10.37.1(f) because an occupational license is required of the employee to perform the work, the employer shall submit to the awarding authority, along with the application for non-coverage or exemption, a list of the employees required to possess an occupational license, the type of occupational license required, and a copy of the occupational license itself. An exemption granted under this provision exempts only the employee who must possess an occupational license to perform work on the City agreement. If an occupational license is not required of an employee to perform the work, the employee remains covered by the LWO.

5

Small Business Exemptions for Public Lessees and Licensees – LAAC 10.37.1(i): A public lessee or licensee claiming exemption from the LWO under section 10.37.1(i) shall submit the small business application for exemption form referred to in Appendix A along with supporting documentation to verify that it meets both of the following requirements:

(A) The lessee’s or licensee’s gross revenues from all business(es) conducted on the City premises for the calendar year prior to the date of the application for exemption do not exceed the gross annual revenue amount set by the LWO in Section 10.37.1(i). That gross revenue amount shall be adjusted annually according to the requirements of the LWO. The gross revenue amount used in evaluating whether the lessee or licensee qualifies for this exemption shall be the gross revenue amount in effect at the time the OCC receives the application for exemption. A public lessee or licensee beginning its first year of operation on a specific City property will have no records of gross annual revenue on the City property. Under such circumstances, the lessee or licensee may qualify for a small business exemption by submitting proof of its annual gross revenues for the last tax year prior to application no matter where the business was located, and by satisfying all other requirements pursuant to these regulations and the LWO. A lessee or licensee beginning its first year of operation as a business will have no records of gross annual revenue. Under such circumstances, the lessee or licensee may qualify for a small business exemption by satisfying all other requirements pursuant to these regulations and the LWO. (B) The lessee or licensee employs no more than seven (7) employees. (i) For purposes of this exemption, a lessee or licensee shall be deemed to employ a worker if the worker is an employee of a company or entity that is owned or controlled by the lessee or licensee, regardless of where the company or entity is located; or if the worker is an employee of a company or entity that owns or controls the lessee or licensee, regardless of where the company or entity is located. Whether the lessee or licensee meets the seven (7) employee limit provided for in Section 10.37.1(i) of the LWO shall be determined using the total number of workers employed by all companies or businesses which the lessee or licensee owns or controls, or which own or control the lessee or licensee. Control means that one company owns a controlling interest in another company. (ii) If a business operated by the lessee or licensee is part of a chain of businesses, the total number of employees shall include all workers employed by the entire chain of businesses unless the business operated by the lessee or licensee is an independently owned and operated franchise. (iii) A public lessee or licensee shall be deemed to employ no more than seven (7) employees if its entire workforce (inclusive of those employees falling within the guidelines stated in subsections (i) and (ii) immediately above) worked an average of no more than 1,214 hours per month for at least three-fourths of the time period that the revenue limitation provided for in section 10.37.1(i) is measured. Until the OCC approves the application for exemption, the lessee or licensee shall be subject to the LWO and shall comply with its requirements. If the OCC approves the application, the lessee or licensee shall be exempt from the requirements of the LWO for a period of two years from the date of the approval. The exemption will expire two years from the date of approval, but may be renewable in two-year increments upon meeting the requirements. 6

Governmental Entities – LAAC 10.37.1(g): Agreements with governmental entities are exempt from the requirements of the LWO. If an agreement is exempt from the LWO because the contractor is a governmental entity, subcontractors performing work for the governmental entity on the agreement are also exempt.

LW-10

LWO – OCC NON-COVERAGE/EXEMPTION APPLICATION OCC DETERMINATION/APPROVAL REQUIRED This application for non-coverage/exemption must be submitted by the Contractor along with its bid or proposal to the AWARDING DEPARTMENT. Awarding Departments may also apply for an exemption for OCC approval. INCOMPLETE SUBMISSIONS WILL BE RETURNED. Los Angeles Administrative Code 10.37, the Living Wage Ordinance (LWO), presumes all City contractors (including service contractors, subcontractors, financial assistance recipients, lessees, licensees, sublessees and sublicensees) are subject to the LWO unless an exemption applies. CONTRACTOR INFORMATION: 1. Company Name: ________________________________________________ Phone Number: ____________________ 2. Company Address: ___________________________________________________________________________________ 3. Are you a Subcontractor? Yes No If YES, state the name of your Prime Contractor: ___________________________________________________________________________________________________ 4.Type of Service Provided: NON-COVERAGE INFORMATION: TO BE REQUESTED BY AWARDING DEPARTMENTS OR CONTRACTORS REQUEST FOR NON-COVERAGE DETERMINATION SUPPORTING DOCUMENTATION REQUIRED Per Section10.37.13 of the LWO, contractors may A detailed memorandum explaining the basis of the request, request a determination of non-coverage on any basis which may include, but is not limited to: the terms of a city allowed by this article, including, but not limited to: non- financial assistance agreement, purpose of the contract, coverage, for failure to satisfy definition of “City financial location, and work performed. OCC may request further assistance recipient”, “public lease/license”, or “service information to issue a determination. contract”. EXEMPTION INFORMATION: CHECK OFF ONE BOX BELOW THAT BEST DESCRIBES THE TYPE OF EXEMPTION YOU ARE APPLYING FOR AND ATTACH THE SUPPORTING DOCUMENTATION LISTED ON THE RIGHT:

TO BE REQUESTED BY AWARDING DEPARTMENTS ONLY EXEMPTION SUPPORTING DOCUMENTATION REQUIRED Grant Funded Services, provided that the grant funding agency indicates in writing that the provisions of the Ordinances should not apply.

Provide a copy of grant-funding agency’s determination to the OCC.

TO BE REQUESTED BY CONTRACTORS ONLY EXEMPTION SUPPORTING DOCUMENTATION REQUIRED Collective bargaining agreement with supersession A copy of the CBA with the superseding language clearly language - (LAAC 10.37.12): Contractors who are party to a marked collective bargaining agreement (CBA) which contains OR specific language indicating that the CBA will supersede the A letter from the union stating that the union has agreed to LWO may receive an exemption as to the employees allow the CBA to supersede the LWO. covered under the CBA. Occupational license required - (LAAC 10.37.1(f)): Only A listing of the employees required to possess occupational the individual employees who are required to possess an licenses to perform services to or for the City Occupational license to provide services to or for the City are AND exempt. Copies of each of these employees’ occupational licenses. By signing, the contractor certifies under penalty of perjury under the laws of the State of California that the information submitted in support of this application is true and correct to the best of the contractor’s knowledge. Print Name of Person (Contractor) Completing This Form

Signature of Person (Contractor) Completing This Form

Title

Date

Phone #

ANY DETERMINATION/APPROVAL IS APPLICABLE ONLY TO THE LISTED CONTRACTOR FROM THE LWO DURING THE PERFORMANCE OF THIS CONTRACT. A SUBCONTRACTOR PERFORMING WORK ON THIS CONTRACT IS NOT EXEMPT UNLESS THE OFFICE OF CONTRACT COMPLIANCE HAS APPROVED A SEPARATE APPLICATION FOR THE INDIVIDUAL SUBCONTRACTOR.

AWARDING DEPARTMENT USE ONLY: Dept:

Dept Contact:

Contact Phone:

Contract #:

OCC USE ONLY: Approved / Not Approved – Reason: ______________________________________________________________________________ By OCC Analyst: Date: Form OCC/LW-10, Rev. 11/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-13

LWO –DEPARTMENTAL EXEMPTION APPLICATION EXEMPTIONS THAT REQUIRE AWARDING DEPARTMENT APPROVAL This application for exemption must be submitted along with your bid or proposal to the AWARDING DEPARTMENT. INCOMPLETE SUBMISSIONS WILL BE RETURNED. Los Angeles Administrative Code 10.37, the Living Wage Ordinance (LWO), presumes all City contractors (including service contractors, subcontractors, financial assistance recipients, lessees, licensees, sublessees and sublicensees) are subject to the LWO unless an exemption applies. TO BE FILLED OUT BY THE CONTRACTOR:

1. Company Name: __________________________________________________ Phone Number: _________________________ 2. Company Address: ________________________________________________________________________________________ 3. Are you a Subcontractor? Yes No If YES, state the name of your Prime Contractor: _______________________________________________________________________________________________________ 4.Type of Service Provided: ___________________________________________________________________________________ ________________________________________________________________________________________________________ EXEMPTION INFORMATION:

CHECK OFF ONE BOX BELOW THAT BEST DESCRIBES THE TYPE OF EXEMPTION YOU ARE APPLYING FOR AND ATTACH THE SUPPORTING DOCUMENTATION LISTED ON THE RIGHT: EXEMPTION

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SUPPORTING DOCUMENTATION REQUIRED

501(c)(3) Non-Profit Organizations: A corporation organized under 501(c)(3) of the IRS Code qualifies for an exemption from the LWO if the highest paid employee makes less than eight times the hourly wage of the lowest paid employee. The exemption is valid for all employees except Child Care Workers. Therefore, even if a 501(c)(3) organization meets the salary test, Child Care Workers performing work on the City agreement must still be provided with the LWO required wage and time off benefits. Under the LWO’s Rules and Regulations, a Child Care Worker is an employee “whose work on an agreement involves the care or supervision of children 12 years of age and under.” This is read broadly so that the term would include, for example, tutors working with children 12 or under.

1.

ATTACH a copy of your 501(c)(3) letter from the IRS.

2.

ANSWER the following questions: A. STATE the hourly wage of HIGHEST paid employee in the organization: $ ______________________ B. STATE the hourly wage of LOWEST paid employee in the organization: $ ______________________ C. MULTIPLY B by 8: $ ___________ 0

3.

Based on Question 2 above, is A less than C? YES NO If NO, your company is NOT eligible for an exemption. If YES, sign and submit this application for final approval.

4.

Will there be any Child Care Workers (as defined by the LWO Regulations) working on this Agreement? YES NO 5. Fill & Submit LW-18 Subcontractor Information Form.

One-Person Contractors: Contractors that have no employees are exempt from the LWO. If you have employees in the future, you must comply with the Ordinance.

Fill and Submit the LW-18 Form.

I declare under penalty of perjury under the laws of the State of California that: (1) I am authorized to bind the entity listed above; (2) the information provided on this form is true and correct to the best of my knowledge; and (3) the entity qualifies for exemption from the LWO on the basis indicated above. By signing below, I further agree that should the entity listed above cease to qualify for an exemption because of a change in salary structure, non-profit status, the hiring of employees, or any other reason, the entity will notify the Awarding Department and the OCC of such change and comply with the LWO’s wage and time off requirements.

Print Name of Person Completing This Form

Signature of Person Completing This Form

Title

Date

Phone #

ANY APPROVAL OF THIS APPLICATION EXEMPTS ONLY THE LISTED CONTRACTOR FROM THE LWO DURING THE PERFORMANCE OF THIS CONTRACT. A SUBCONTRACTOR PERFORMING WORK ON THIS CONTRACT IS NOT EXEMPT UNLESS THE OFFICE OF CONTRACT COMPLIANCE HAS APPROVED A SEPARATE EXEMPTION FOR THE INDIVIDUAL SUBCONTRACTOR.

AWARDING DEPARTMENT USE ONLY: Dept: __________________ Dept Contact: ___________________________ Contact Phone: _________________Contract #: ______________ Approved / Not Approved – Reason: ________________________________________________________________________________________ By Analyst: _______________________________________________________________ Date: ________________________________________

Form OCC/LW-13, Rev. 06/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-26A

LWO – OCC SMALL BUSINESS EXEMPTION APPLICATION EXEMPTION THAT REQUIRES OCC APPROVAL This application for exemption is for lessees and licensees only and must be submitted along with your bid or proposal to the AWARDING DEPARTMENT. If approved, it will EXPIRE TWO (2) YEARS from the date of approval. This may be renewable in two (2) year increments upon meeting the requirements. INCOMPLETE SUBMISSIONS WILL BE RETURNED. Los Angeles Administrative Code 10.37, the Living Wage Ordinance (LWO), presumes all City contractors (including service contractors, subcontractors, financial assistance recipients, lessees, licensees, sublessees and sublicensees) are subject to the LWO unless an exemption applies. TO BE FILLED OUT BY THE CONTRACTOR: 1. Company Name: ____________________________________________________ Phone Number: ________________________ 2. Company Address: _________________________________________________________________________________________ 3. Are you a Subcontractor? Yes No If YES, state the name of your Prime Contractor: ________________________________________________________________________________________________________ 4. STATE the total number of businesses you have (inside and outside the City of Los Angeles premises): ___________________ 5. STATE the total number of businesses you have inside the City of Los Angeles premises only: __________________________ SECTION I: BUSINESS INFORMATION CHECK OFF ONE BOX IN PART A THAT BEST DESCRIBES YOUR BUSINESS AND ATTACH DOCUMENTATION LISTED IN PART B: PART A PART B: SUPPORTING DOCUMENTATION REQUIRED

I am a lessee or licensee beginning my first year of None Required. operation as a business. ATTACH 2010 IRS Tax Returns listing gross revenues for ALL of your I have other businesses, but this is my first year of business(es). operation on City premises. Effective July 1, 2011, my gross annual revenues for all of my businesses are less than $459,464 for the 2010 calendar year. ATTACH 2010 IRS Tax Returns listing gross revenues for ALL of your I have (a) business(es) on City premises, and effective July 1, 2011, my gross annual revenues from all business(es) ON CITY PREMISES. my business(es) on City premises are less than $459,464 for the 2010 calendar year. If you DID NOT check off ANY boxes in PART A, your company IS NOT ELIBIGLE FOR AN EXEMPTION. If you checked off ANY boxes in PART A, continue to Section II. SECTION II: EMPLOYEE INFORMATION CHECK OFF ANY BOX(ES) IN PART C THAT BEST DESCRIBE YOUR BUSINESS AND ATTACH DOCUMENTATION LISTED IN PART D:

PART C

PART D: SUPPORTING DOCUMENTATION REQUIRED

Submit a completed Employee Worksheet for Small Business Exemption I have LESS than Seven (7) employees in the entire (Form OCC/LW-26B). Information on the Employee Worksheet may company (inside AND outside the City of Los Angeles subsequently require verification through payroll records. premises). My company’s workforce worked an average of no OR more than 1,214 hours per month for at least threePayrolls for the nine (9) months you would like to have reviewed. fourths of the calendar year. If you DID NOT check off ANY boxes in PART C, your company IS NOT ELIGIBLE FOR AN EXEMPTION. If you checked off ANY box in PART C, ATTACH supporting documentation, SIGN, AND SUBMIT EXEMPTION FORM. By signing, the contractor certifies under penalty of perjury under the laws of the State of California that the information submitted in support of this application is true and correct to the best of the contractor’s knowledge. Print Name of Person Completing This Form

Signature of Person Completing This Form

Title

Date

Phone #

ANY APPROVAL OF THIS APPLICATION EXEMPTS ONLY THE LISTED CONTRACTOR FROM THE LWO DURING THE PERFORMANCE OF THIS CONTRACT. A SUBCONTRACTOR PERFORMING WORK ON THIS CONTRACT IS NOT EXEMPT UNLESS THE OFFICE OF CONTRACT COMPLIANCE HAS APPROVED A SEPARATE EXEMPTION FOR THE INDIVIDUAL SUBCONTRACTOR.

AWARDING DEPARTMENT USE ONLY: Dept: _____________ Dept Contact: _______________________ Contact Phone: _________________Contract #: ____________

OCC USE ONLY: Approved / Not Approved – Reason: ______________________________________________________________________________________________ By OCC Analyst: __________________________________________________________________________ Date: _______________________________

Form OCC/LW-26A, Rev. 06/11

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-26B

LWO – OCC SMALL BUSINESS EXEMPTION EMPLOYEE WORKSHEET EXEMPTION THAT REQUIRES OCC APPROVAL TO BE VALID This worksheet must be completed for EACH company or business for which you have a controlling interest, whether or not it is on City premises. You may COPY THIS FORM as necessary for EACH company. Include the names of ALL PERSONS employed by EACH company, and the number of hours worked each month for the current year. ATTACH this form(s) to LW-26A. 1. Company Name: _______________________________________________________________ Company Phone: __________________________________ 2. Company Address: _______________________________________________________________________________________________________________ 3. Enter # of Hours worked: HOURS WORKED EMPLOYEE NAME JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC TOTAL 0.00 0.00 0.00

0.00 0.00 0.00

0.00 0.00

0.00

0.00 0.00

0.00 0.00

0.00

4. TOTAL HOURS 5. Check each box indicating which nine (9) months you would like be reviewed:

0.00

0.00

0.00

0.00

0.00

6a. TOTAL HOURS for the nine (9) months selected in 5 above : __________ 7. If 6c is NO, then this contract IS NOT ELIGIBLE FOR AN EXEMPTION.

0.00

0.00

0.00

0 6b. DIVIDE 6a by 9: __________

0.00

0.00

0.00

6c. Is 6b less than 1,214?

0.00

YES

0.00

NO

If 6c is YES, SIGN and ATTACH this form to LW-26A.

I certify under penalty of perjury that the information herein is true and correct to the best of my knowledge. I will provide further documentation and proof upon request. I understand that the submission of false information may lead to the revocation of any approved exemption. Print Name of Person Completing this Form

Signature of Person Completing this Form

Title

Date

Phone #

ANY APPROVAL OF THIS APPLICATION EXEMPTS ONLY THE LISTED CONTRACTOR FROM THE LWO DURING THE PERFORMANCE OF THIS CONTRACT. A SUBCONTRACTOR PERFORMING WORK ON THIS CONTRACT IS NOT EXEMPT UNLESS THE OFFICE OF CONTRACT COMPLIANCE HAS APPROVED A SEPARATE EXEMPTION FOR THE INDIVIDUAL SUBCONTRACTOR.

Form OCC/LW-26B, Rev. 06/11

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-26A

LWO – APLICACION PARA EXENCION DEL SUELDO DIGNO PARA NEGOCIOS PEQUEÑOS ESTA APPLICACIÓN REQUIERE LA APROBACIÓN DE OCC PARA SER VÁLIDA

Esta aplicación de exención es para los arrendatarios y los concesionarios solamente y debe ser sometida junto con su oferta o propuesta al DEPARTAMENTO QUE CONCEDE. Si es aprobada, la exención terminará dos años despúes de la fecha aprobada, pero puede ser renovada en incrementos de dos años al cumplir con los requisitos. DOCUMENTOS INCOMPLETOS NO SERÁN ACEPTADOS. El código administrativo 10.37, la Ordenanza del Sueldo Digno (LWO) de Los Ángeles, requiere que todos los contratistas de la ciudad (incluyendo contratistas de servicio, los subcontratistas, los recipientes de ayuda económica, los arrendatarios, los concesionarios, los subarrendatarios y los subconcesionarios) cumplan con el LWO a menos que una exención se aplique. PARA SER COMPLETADO POR EL CONTRATISTA: 1. Nombre de Companía: _____________________________________________________ Teléfono: _________________________ 2. Dirección de Companía: _______________________________________________________________________________________ 3. ¿Es usted subcontratista? Sí No Si es, indique el nombre del contratista principal: ________________________________________________________________________________________________________ 4. INDIQUE el número total de negocios que usted tiene (dentro y fuera de establecimientos de la Ciudad de Los Ángeles): _______ 5. INDIQUE el número total de negocios que usted tiene solamente en establecimientos de la Ciudad de Los Ángeles:_________ SECCIÓN I: INFORMACIÓN DEL NEGOCIO MARQUE UNA CAJA EN LA PARTE A QUE DESCRIBE MEJOR SU NEGOCIO Y ADJUNTE LA DOCUMENTACIÓN ENUMERADA EN LA PARTE B: PARTE A PARTE B: DOCUMENTACIÓN JUSTIFICATIVA REQUERIDA

Yo soy arrendatario o poseedor de licencia Ningunos requeridos. empenzando mi primer año de operar como un negocio. Yo tengo otros negocios, pero es mi primer año Adjunte las declaraciones de impuestos del IRS del año 2010 que operando en propiedades de la Ciudad. Mis ingresos enumeran los réditos brutos de TODOS sus negocios. brutos para todos mis negocios fueron menos de $459,464 (ajustado el 1 de julio 2011) por el año 2010. Yo tengo un negocio o negocios en establecimientors Adjunte las declaraciones de impuestos del IRS del año 2010 que de la Ciudad de los Angeles, y mis ingresos brutos por enumeran los réditos brutos de TODOS sus negocios en establecimientos todos mis negocios en propiedades de la Ciudad fueron de la Ciudad de Los Angeles. menos de $459,464 (hasta el 1 de julio de 2011) para el año 2010. Si usted no marcó NINGUNA caja en la PARTE A, su compañía NO ES ELEGIBLE PARA UNA EXENCIÓN. Si usted marcó ALGUNAS cajas en la PARTE A, continúe a la sección II. SECCIÓN II: INFORMACIÓN DEL EMPLEADO

MARQUE CUALQUIER CAJA EN LA PARTE C QUE DESCRIBA MEJOR SU NEGOCIO Y ADJUNTE LA DOCUMENTACIÓN ENUMERADA EN LA PARTE D:

PARTE C Tengo MENOS de siete (7) empleados en la compañía entera (dentro Y fuera de las premisas de Los Angeles).

PARTE D: DOCUMENTACIÓN JUSTIFICATIVA REQUERIDA Someta la forma OCC/LW-26B. La información reportada en le Reporte de Horas Trabajadas puede requerir, posteriormente, la verificación a través de expedientes sobre las nóminas de pago a los empleados. O Nóminas de pago por los nueve (9) meses que usted desea que sean evaluados.

La empleados de mi compañía trabajaron un promedio de no más de 1.214 horas por mes por un periodo menos tres cuartos del año. Si usted no marcó NINGUNA caja en la PARTE C, su compañía NO ES ELEGIBLE PARA UNA EXENCIÓN. Si usted marcó ALGUNA caja en la PARTE C, adjunte la documentación necesaria, FIRME, Y ENTREGUE ESTA APLICACIÓN DE EXENCIÓN. Firmando, el contratista certifica bajo pena de perjurio bajo las leyes del estado de California que la información que presenta en esta aplicación es veridica y correcta con el major conocimiento del contratista. Nombre Título:

Firma Teléfono

Fecha

CUALQUIER APROBACIÓN DE ESTA APPLICACIÓN EXENTA SOLAMENTE AL CONTRATISTA MENCIONADO DE LOS REQUESITOS DEL LWO DURANTE EL RENDIMIENTO DE ESTE CONTRATO. UN SUBCONTRATISTA QUE PROPOCIONA TRABAJO SOBRE ESTE CONTRATO NO ES EXENTO A MENOS QUE LA OFICINA DE LA CONFORMIDAD DE CONTRATOS HAYA APROBADO UNA EXENCIÓN SEPARADA PARA EL SUBCONTRATISTA INDIVIDUAL.

PARA USO DEL DEPARTAMENTO DE CONCESIONES SOLAMENTE: Dept: _____________ Dept Contact: _______________________ Contact Phone: _________________Contract #: ____________

PARA LA OFICINA OCC SOLAMENTE Approved / Not Approved – Reason: ______________________________________________________________________________________________ By OCC Analyst: __________________________________________________________________________ Date: _______________________________

Form OCC/LW-26A, Rev. 06/11-Spanish

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-26B

LWO – EXENCIÓN DE EMPRESAS PEQUEÑAS – REPORTE DE HORAS TRABAJADAS ESTA APPLICACIÓN DE EXENCIÓN REQUIERE LA APROBACIÓN DE OCC PARA SER VÁLIDA

Este formulario debe de ser completado por cada compañía o negocio en la cual Ud. tiene intereses, aunque no esté en propiedad de la Ciudad. Usted puede COPIAR ESTA FORMA cuanto sea necesario para CADA compañía. Incluya los nombres de todas las personas empleadas por cada compañía, y el número de horas trabajadas por cada mes de este año. ADJUNTE este reporte a la forma LW-26A. 1. Nombre de Companía: ____________________________________________________________________ Teléfono: __________________________________ 2. Dirección de Companía: _____________________________________________________________________________________________________________ 3. Entre # de las horas HORAS TRABAJADAS trabajadas: NOMBRE(S) DE EMPLEADO(S)

Enero

Febrero

Marzo

Abril

Mayo

Junio

Julio

Agosto

Septiembre

Octubre

Noviembre

Diciembre

TOTAL

4. HORAS TOTALES 5. Marque cada caja indicando

cuales nueve (9) meses usted desa sean evaluados:

6a. HORAS TOTALES por los nueve (9) meses seleccionados en 5 arriba: _______ 6b. DIVIDA 6a por 9: _________ 6c. ¿Es 6b menos de 1.214? 7. Si contesto “NO” en 6c, entonces este contrato NO ES ELEGIBLE PARA UNA EXENCIÓN. LW-26A

SÍ

NO

Si contestor “SI” en 6c, FIRME y ADJUNTE este reporte a la forma

Yo certifico bajo pena de perjurio que esta información es veridica y correcta. Proveeré más documentos y pruebas siempre y cuando sean solicitadas. Entiendo que al proveer información falsa puede resultar en la revocación de la exención aprobada. Nombre (en letra de molde) de la persona que complete esta forma

Firma

Título

Fecha

Teléfono

CUALQUIER APROBACIÓN DE ESTA APPLICACIÓN EXENTA SOLAMENTE AL CONTRATISTA MENCIONADO DE LOS REQUESITOS DEL LWO DURANTE EL RENDIMIENTO DE ESTE CONTRATO. UN SUBCONTRATISTA QUE PROPOCIONA TRABAJO SOBRE ESTE CONTRATO NO ES EXENTO A MENOS QUE LA OFICINA DE LA CONFORMIDAD DE CONTRATOS HAYA APROBADO UNA EXENCIÓN SEPARADA PARA EL SUBCONTRATISTA INDIVIDUAL.

Form OCC/LW-26B, Rev. 06/11 - Spanish

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-5

LWO/SCWRO – SUBCONTRACTOR DECLARATION OF COMPLIANCE FORM REQUIRED DOCUMENTATION FOR ALL SUBCONTRACTS SUBJECT TO LWO

This form must be signed within 90 DAYS of the execution of the subcontract and RETAINED by the PRIME CONTRACTOR. TO BE FILLED OUT BY THE PRIME CONTRACTOR:

1. Company Name: _________________________________ Company Phone Number: _________________________ 2. Company Address: _______________________________________________________________________________ 3. Awarding Department: ____________________________________________________________________________ 4. Project Name: ___________________________________________________________________________________

IF A SUBCONTRACTOR FAILS TO COMPLETE AND SUBMIT THIS FORM TO PRIME CONTRACTOR ON THE CITY CONTRACT, THE PRIME CONTRACTOR MAY BE DEEMED TO BE IN VIOLATION OF THE LWO AND SCWRO FOR FAILING TO ENSURE ITS SUBCONTRACTOR’S COMPLIANCE WITH THE ORDINANCES. THIS MAY RESULT IN WITHHOLDING OF PAYMENTS DUE THE PRIME CONTRACTOR, OR TERMINATION OF THE PRIME CONTRACTOR’S AGREEMENT WITH THE CITY.

THE PRIME CONTRACTOR MUST INFORM THEIR SUBCONTRACTORS OF THE FOLLOWING: THE LIVING WAGE ORDINANCE (LWO) REQUIRES: That a subcontractor (including a sublessee, a sublicensee, or a service contractor to a City financial assistance recipient) that works on or under the authority of an agreement subject to the Service Contractor Worker Retention Ordinance (SCWRO) and Living Wage Ordinance (LWO) must comply with all applicable provisions of the Ordinances unless specifically approved for an exemption. THE SERVICE CONTRACTOR WORKER RETENTION ORDINANCE (SCWRO) REQUIRES: In case of a successor service contractor, a successor prime contractor and its subcontractors shall retain for a 90-day transition employment period, certain employees who have been employed by the terminated prime contractor and its subcontractor, if any, for the preceding 12 months or longer. Refer to the SCRWO Rules and Regulations, available from the Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance (OCC) website - http://bca.lacity.org, for details regarding the wage and benefit requirements of the Ordinance. THE LIVING WAGE ORDINANCE (LWO) REQUIRES THAT SUBJECT EMPLOYERS PROVIDE TO EMPLOYEES: As of July 1, 2011 a wage of at least $10.42 per hour with health benefits of $1.25 per hour, or $11.67 per hour without health benefits (to be adjusted annually) (Regulation #4); At least 12 compensated days off per year for sick leave, vacation or personal necessity at the employee’s request (pro-rated for part-time employees) (Regulation #4); At least 10 additional days off per year of uncompensated time off for sick leave (pro-rated for part-time employees) (Regulation #4); and Making less than $12.00 per hour information of their possible right to the federal Earned Income Tax Credit (EITC) and make available the forms required to secure advance EITC payments from the employer (Regulation #4). THE LIVING WAGE ORDINANCE (LWO) ALSO REQUIRES EMPLOYERS: To permit access to work sites for authorized City representatives to review the operation, payroll and related documents, and to provide certified copies of the relevant records upon request by the City. Not to retaliate against any employee claiming non-compliance with the provisions of these Ordinances and to comply with federal law prohibiting retaliation for union organizing (Regulation #4). Refer to the LWO Rules and Regulations, available from the Department of Public Works, Bureau of Contract Administration, Office of Contract Compliance (OCC) website - http://bca.lacity.org, for details regarding the wage and benefit requirements of the Ordinance. TO BE FILLED OUT BY THE SUBCONTRACTOR:

1. Company Name: _________________________________ Company Phone Number: _________________________ 2. Company Address: _______________________________________________________________________________ 3. Type of Service Provided by Subcontractor to Prime: ____________________________________________________ _______________________________________________________________________________________________ 4. Amount of Subcontract: ____________________ Subcontract Start Date: ___/___/___ End Date: ___/___/___ By signing this Declaration of Compliance, the subcontractor certifies that it will comply with all applicable provisions of the SCWRO, LWO, and their implementing Rules and Regulations, including any amendments or revisions to the Ordinances and Regulations. Print Name of Person Completing This Form

Signature of Person Completing This Form

Title

Date

Form OCC/LW-5, Rev. 6/11

Phone #

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625

LW-1

LWO – DEPARTMENTAL DETERMINATION FORM REQUIRED DOCUMENTATION FOR ALL CONTRACTS

This form will aid Awarding Departments with determining whether or not a contract is subject to the LWO. It must be completed by the AWARDING DEPARTMENT and submitted to the Office of Contract Compliance AFTER THE CONTRACT HAS BEEN EXECUTED. INCOMPLETE SUBMISSIONS WILL BE RETURNED. Please refer to the endnotes for more details. AWARDING DEPARTMENT INFO Dept: _____________ Contract Administrator: _______________________ Contact Phone: _________________ MS# ___________ CONTRACT INFO Contractor Name: __________________________________________________________________ Contract # ___________________ Contractor Address: _______________________________________ City:_______________________ State:_____ Zip: ______________ Project/Contract Name: ____________________________________________________________________________________________ Purpose of Contract: ______________________________________________________________________________________________ Contract Amount: $___________________ Term: Start Date ____/____/____ End Date ____/____/____

SECTION I:

DETERMINING APPLICABILITY TO LWO

Check off ONE box that best describes the contract, then Continue to #2: This is a New Contract Contract Amndmt # ______ -If you checked off “New Contract” above, SKIP to Question #5 to determine whether this New contract is subject to the LWO. If you checked off “Contract Amendment” Please answer the following questions about the original contract: a Was the original contract subject to the LWO? Yes No b Was the original contract approved for an Yes No If YES, please note what type of exemption it received: _______________________________________________ exemption? If you checked off YES to 3a OR 3b, THIS FORM IS NOW COMPLETE – PLEASE SUBMIT PAGE 1 ONLY TO OCC. If you checked off NO to 3a AND 3b, Continue to #5 to determine whether this Contract Amendment is subject to the LWO. Check off ONE box in Parts A, B, C or D below that best describes the contract, then Continue to #6:

1 2 3

4 5

These are contracts NOT SUBJECT, NOT APPLICABLE to LWO:

PART A

These contracts MAY or MAY NOT BE SUBJECT, or MAY or MAY NOT BE APPLICABLE to LWO: 1

Service contract that is less than 3 months OR $25,000 or less 2 Other governmental entity 3 Purchase or rental of goods, equipment, property 4 Construction contract 5 Funded by Business Improvement District (BID) assessment money 6 Financial assistance is below both LWO CFAR thresholds: (a) Financial assistance must be less than $1 Million in a 12-month period AND (b) Is less than $100,000 if on a continuing basis (such as a loan at a rate lower than the Applicable Federal Rate).

6 7 8 9

10 11 12 13 14 15 16

PART B

Service contract that is at least 3 months AND over $25,000.

PART C

Public leases or licenses

PARTD

City Financial Assistance Recipient 7 (CFAR)

If you checked off any box in Part A - THIS FORM IS NOW COMPLETE – PLEASE SUBMIT PAGE 1 ONLY TO OCC. If you checked off a box in Part B or C, SKIP TO #9. If you checked off the box in Part D, SKIP TO #13. If you have a service contract, answer questions a, c and d ONLY, then Continue to #10. YES NO If you have a public lease/license, answer questions b, c and d ONLY, then Continue to #10. a Are some of the services rendered by employees whose work site is on property owned by the City? b Are the services rendered on premises at least a portion of which is visited by substantial numbers of the public on a frequent basis (including, but not limited to, airport passenger terminals, parking lots, golf courses, recreational facilities)? c Could the services feasibly be performed by City employees if the awarding authority had the requisite financial and staffing resources? d Has the DAA determined in writing that coverage would further the proprietary interests of the City? If you checked off ANY boxes in the YES column, this contract is APPLICABLE TO THE LWO (it is SUBJECT). Continue onto SECTION II. Otherwise, continue to #11. You DID NOT check off ANY boxes in the YES column. This contract is NOT APPLICABLE TO THE LWO (it is NOT SUBJECT). Fill and submit LW-10, OCC Exemption Application for approval prior to contract execution found here: http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm, then Continue to #12. Has the exemption been approved? If YES, THIS FORM IS NOW COMPLETE – Once the contract has been executed, SUBMIT LW-1, Page 1 ONLY and the APPROVED EXEMPTION FORM to OCC. If NO, Continue onto SECTION IV. Answer the following question to determine whether the CFAR is subject to the LWO, then Continue to #14. YES NO a Does the agreement intend to promote economic development? If you checked off NO this contract is NOT APPLICABLE TO THE LWO (it is NOT SUBJECT). PLEASE SUBMIT PAGE 1 ONLY TO OCC. Otherwise, Continue to Question #15. Answer the following questions to determine whether the CFAR is subject to the LWO: YES NO a Is the Financial Assistance given in a 12-month period and above $1 Million? b Is the Financial Assistance $100,000 or more on a continuing basis? If you checked off ANY boxes in the YES column, this contract is APPLICABLE TO THE LWO (it is SUBJECT). Continue onto SECTION II. Otherwise, this contract is NOT APPLICABLE TO THE LWO (it is NOT SUBJECT). PLEASE SUBMIT PAGE 1 ONLY TO OCC.

Form OCC/LW-1, Rev. 7/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625, MS#138

1

LW-1 SECTION II:

CONTRACTS APPLICABLE/SUBJECT TO THE LWO

1

Your contract is applicable/subject to the LWO. However, it may be eligible for an exemption. Check off ONE box in Parts A, B, or C that best describes the contract that MAY be eligible for an exemption, then Continue to the stated part in the corresponding right column found in SECTION III. PART PART PART

A

SERVICE CONTRACTS ONLY

2

One-person 8 contractor

D

501(c)(3) non-profit 9 organization

D

Grant-Funded 10 Services

A

Occupational license 11 required

B

Collective bargaining agreement with LWO supersession 12 language

B

B

C

PUBLIC LEASES OR LICENSES ONLY

Collective bargaining agreement w/ 13 supersession language

Small Business

CITY FINANCIAL ASSISTANCE RECIPIENTS ONLY

B

14

C

If you did NOT check off any box above in Part A or Part B, this contract IS NOT eligible for an exemption. Continue onto SECTION IV.

Collective bargaining agreement w/ supersession B 15 language 16 501(c)(3) non-profit organization D PART C - Continued If you did not check off any boxes above, continue YES NO to answer the following questions: a Is the contractor a City financial assistance recipient (CFAR) in the first year of 17 operation? b Is the contractor a CFAR with less than five 18 (5) employees? Is the contractor a CFAR that employs longc term, unemployed or provides training for permanent positions requesting hardship 19 waiver? Does the contractor have employees who d spend less half of their time on the City funded project or the employees of its 20 service contractor? If ANY boxes are checked YES, Continue onto SECTION III-A. If you checked off NO to ALL boxes, Continue onto SECTION IV.

SECTION III:

CONTRACTS NOT SUBJECT / CONTRACTS ELIGIBLE FOR EXEMPTIONS

Your contract MAY be eligible for an exemption that may be requested by your Department OR the Contractor PRIOR TO CONTRACT EXECUTION as indicated below: TO BE REQUESTED BY AWARDING DEPARTMENTS ONLY – REQUIRES OCC APPROVAL Fill out the form in the right-hand column below, send it to OCC for final approval (DO NOT send LW-1), and then Continue to #2 in this Section. Grant Funded Services LW 10 – OCC Exemption Form ONLY A CFAR http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm TO BE REQUESTED BY CONTRACTORS ONLY – REQUIRES OCC APPROVAL Have the contractor fill out the forms in the right-hand column below and have them submit it to your department for further review. Once the form is complete, send it to OCC for final approval (DO NOT send LW-1), and then Continue to #2 in this Section. Occupational license required LW 10 – OCC Exemption Form AND LW 18 – Subcontractor Information Form (SIF) B Collective bargaining agreement w/supersession http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm language 1

C

Small Business

LW 26 – OCC Small Business Exemption Form (English) OR LW 26 – OCC Small Business Exemption Form (Spanish): http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm

TO BE REQUESTED BY CONTRACTORS ONLY – REQUIRES AWARDING DEPARTMENT APPROVAL Have the contractor fill out the forms in the right-hand column below and have them submit it to your department for further review. Once an approval/non-approval has been made by your department, Continue to #2 in this Section. One-person contractors, lessee, licensee LW 13 – Departmental Exemption Form AND 501(c)(3) non-profit organization LW 18 – Subcontractor Information Form (SIF) D http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm

2

Has the exemption been approved? If YES, THIS FORM IS NOW COMPLETE –SUBMIT PAGES 1 and 2 of LW-1 and the APPROVED EXEMPTION FORM TO OCC once the contract has been executed. If NO, Continue onto SECTION IV. SECTION IV: CONTRACTS SUBJECT TO THE LWO (AND NOT ELIGIBLE FOR EXEMPTIONS)

Your contract IS SUBJECT TO THE LWO AND NOT ELIGIBLE FOR EXEMPTIONS. Have the contractor fill out the two (2) corresponding forms below and submit them (and forms from any of their subcontractors subject to the LWO) to your department for further review. Once these forms are complete, Continue onto #2 in this Section. Employee Information Form (EIF) LW 6 – Employee Information Form AND LW 18 – Subcontractor Information Form Subcontractor Information Form (SIF) 1

http://bca.lacity.org/index.cfm?nxt=ee&nxt_body=div_occ_lwo_forms.cfm

2

THIS FORM IS NOW COMPLETE – PLEASE SUBMIT PAGES 1, 2, EIF and SIF TO OCC once the contract has been executed. Form OCC/LW-1, Rev. 7/09

OFFICE OF CONTRACT COMPLIANCE, EEOE SECTION: (213) 847-2625, MS#138

2

ENDNOTES FOR LWO DEPARTMENTAL DETERMINATION FORM - LW-1 1

Less than three months OR less than $25,000 - LAAC 10.37.1(j): Service contracts or Authority for Expenditures that do not meet these thresholds are not categorically exempt from the LWO. 2

Governmental Entities – LAAC 10.37.1(g): Agreements with governmental entities are exempt from the requirements of the LWO. If an agreement is exempt from the LWO because the contractor is a governmental entity, subcontractors performing work for the governmental entity on the agreement are also exempt. 3

Purchase of Goods, Property, or a Lease of Property with City as Lessee – LAAC 10.37.1(j): Such contracts are categorically exempt from the LWO unless they include a service component that is more than just incidental. - “Incidental services” means services that are: (1) part of an agreement for which theprimary purpose is to purchase or rent goods or equipment; and (2) performed on a non-recurring and irregular basis. Services are not incidental, even if the primary purpose of the agreement is to purchase goods or equipment, if the agreement provides that services are to be performed on a regular schedule, or if the awarding authority anticipates that services will be needed on a regular basis during the life of the agreement. 4

Construction contracts LAAC 10.37.1(j): Construction contracts that do not conform to the definition of a service contract are categorically exempt from the LWO. 5

Business Improvement Districts (BID): Service agreements funded with the BID’s assessment monies are categorically exempt from the LWO (see also Regulation #11). Agreements to provide services related to a BID that are not funded with the BID’s assessment money remain subject to the LWO unless they otherwise qualify for an exemption. 6

City Financial Assistance Below LWO Thresholds - LAAC 10.37.1(c): Agreements that provide a contractor with City financial assistance intended to promote economic development or job growth are categorically exempt from the LWO if they do not meet either of the monetary thresholds described in the LWO. Thus, such agreements are categorically exempt from the LWO if the assistance given in a 12-month period is below $1,000,000 and less than $100,000 per year on a continuing basis. Example: The City approves a loan to a contractor of $5,000,000 for the development of shopping center that will create new jobs. The loan is for 20 years at an interest rate of 4%. At the time the awarding authority grants approval for the loan, the Applicable Federal Rate (AFR) referenced in the LWO is 4.6%. This contract is not subject to the LWO because it does not meet the financial thresholds, as explained below: The amount of financial assistance used to determine whether the contractor meets the LWO thresholds is amount the contractor saves in interest payments. To determine the amount of savings on interest payments (the financial assistance), the annual savings on interest rate is calculated as follows: Financial Assistance = (Amount of Loan @ AFR) – (Amount of Loan @ City rate) Financial Assistance = ($5,000,000 x 4.6%) – ($5,000,000 x 4%) Financial Assistance = $230,000 – $200,000 Financial Assistance = $30,000 Thus, the contractor receives $30,000 in financial assistance per year for the next 20 years. This is less than $1 Million in a year, and less $100,000 per year on a continuing basis. Therefore, the contractor is exempt from the LWO. No approval from the OCC is required, and the awarding department may indicate this exemption on the Departmental Determination of Coverage form. 7

City Financial Assistance Recipient – Means any person who receives from the City discrete financial assistance for economic development or job growth expressly articulated and identified by the City, as contrasted with generalized financial assistance such as through tax legislation, in accordance with the following monetary limitations. Assistance given in the amount of one million dollars ($l,000,000) or more in any twelve-month period shall require compliance with this article for five years from the date such assistance reaches the one million dollar ($1,000,000) threshold. For assistance in any twelve-month period totaling less than one million dollars ($1,000,000) but at least one hundred thousand dollars ($100,000), there shall be compliance for one year if at least one hundred thousand dollars ($100,000) of such assistance is given in what is reasonably contemplated at the time to be on a continuing basis, with the period of compliance beginning when the accrual during such twelve-month period of such continuing assistance reaches the one-hundred thousand dollar ($100,000) threshold. Categories of such assistance include, but are not limited to, bond financing, planning assistance, tax increment financing exclusively by the City, and tax credits, and shall not include assistance provided by the Community Development Bank. City staff assistance shall not be regarded as financial assistance for purposes of this article. A loan shall not be regarded as financial assistance. The forgiveness of a loan shall be regarded as financial assistance. A loan shall be regarded as financial assistance to the extent of any differential between the amount of the loan and the present value of the payments thereunder, discounted over the life of the loan by the applicable federal rate as used in 26 U.S.C. $9 1274(d), 7872(f). A recipient shall not be deemed to include lessees and sublessees.

8

One-Person Contractor: A contractor may apply for exemption under Section 10.37.1(f) of the LWO if that contractor has no employees. The one-person contractor shall submit an application for non-coverage or exemption to the awarding authority on the form referred to in Appendix A with the appropriate one-person contractor certification. If, subsequent to the approval of the exemption application, the contractor hires any employees, the exemption is no longer valid. Any employee the contractor hires becomes covered by the LWO to the extent that the employee performs work on the City agreement. In such cases, the contractor shall notify the awarding authority of the change in circumstances and submit to the awarding authority all the necessary forms to comply with the LWO reporting requirements, including the employee and subcontractor information forms. 9

Non-Profit 501(c)(3) Organizations: A corporation claiming exemption under Section 10.37.1(g) of the LWO as a corporation organized under Section 501 (c)(3) of the United States Internal Revenue Code must provide the following additional documents in support of the application for exemption: (A) A copy of the most recent IRS letter indicating that the contractor has been recognized as a non-profit corporation organized under section 501 (c)(3) of the United States Internal Revenue Code. (B) An application for non-coverage or exemption, including the non-profit salary certification on the form referred to in Appendix A. The salary certification must list the salary of the corporation’s chief executive officer (CEO), computed on an hourly basis, and the hourly wage rate of the lowest paid worker in the corporation. The salary of the CEO, when computed on an hourly basis, must be less than 8 times what the lowest paid worker is paid on an hourly basis. For purposes of this exemption, the ”chief executive officer (CEO)” means the CEO of the 501(c)(3) corporation that entered into the agreement with the City, or the highest paid person employed by the corporation if the CEO is not the highest paid employee. The “lowest paid worker” refers to the lowest paid worker employed by the 501(c)(3) corporation that entered into the agreement with the City, regardless of whether the person works on the City agreement. In calculating the salary of the CEO and the wage rate of the lowest paid worker, the corporation may not include items such as cash allowances for car expenses, meals, parking, or the value of pension plan contributions. Child care workers: Even if a corporation meets the requirements for exemption as a 501(c)(3) non-profit organization, if the corporation provides child care services as part of the City agreement or employs child care workers who will work on the City agreement, the corporation must pay all child care workers working on the subject agreement the required LWO wage rate. The LWO requirements regarding compensated and uncompensated days off are also applicable to those child care workers. 10

Grant-funded Services: Agreements let by the City involving federal or state grant funds shall be subject to the LWO unless the grant-funding agency indicates in writing that the provisions of the Ordinances should not apply. The awarding authority shall provide a copy of grant-funding agency’s determination to the OCC. 11

Occupational license - LAAC 10.37.1(f): Exemptions for Employees Requiring Occupational Licenses: If an employer claims that the LWO does not apply to an employee pursuant to section 10.37.1(f) because an occupational license is required of the employee to perform the work, the employer shall submit to the awarding authority, along with the application for non-coverage or exemption, a list of the employees required to possess an occupational license, the type of occupational license required, and a copy of the occupational license itself. An exemption granted under this provision exempts only the employee who must possess an occupational license to perform work on the City agreement. If an occupational license is not required of an employee to perform the work, the employee remains covered by the LWO. 12

Exemption by Collective Bargaining Agreement – LAAC 10.37.12: An employer subject to provisions of the LWO may, by collective bargaining agreement (CBA), provide that the CBA, during its term, shall supersede the requirements of the LWO for those employees covered by the CBA. The provisions of the LWO should not be interpreted to require an employer to reduce the wages and benefits required by a collective bargaining agreement. All parties to the CBA must specifically waive in full or in part the benefits required by the LWO. An employer applying for this exemption shall submit a copy of the CBA. If the CBA does not specifically indicate that the LWO has been superseded, the employer shall submit written confirmation from the union representing the employees working on the agreement that the union and the employer have agreed to let the CBA supersede the LWO. (A) Provisional Exemption from LWO during negotiation of CBA: An employer subject to the LWO may apply for Provisional Exemption from the LWO if the employer can document that: (1) the union and the employer are currently engaged in negotiations regarding the terms of the CBA; and (2) the issue of allowing the CBA to supersede the LWO has been proposed as an issue to be addressed during the negotiations. If granted, Provisional Exemption status is valid until the end of the negotiation process, including, if applicable, impasse resolution proceedings. During the negotiation process, the employer shall provide, upon request from the OCC, status reports on the progress of negotiations. At the end of the negotiation process, the employer shall provide the OCC with a copy of the final CBA to verify whether the LWO has been superseded, and the effective dates of the CBA. (i) If the final CBA signed by the employer and the union supersedes the LWO, the employer shall be considered to be exempt from the LWO’s wage and benefits provisions for the time period covered by the effective dates of the superseding CBA. The employer remains subject to all applicable provisions of the LWO for the time period not covered by the superseding CBA. If the employer has not complied with the LWO requirements during the time period not covered by the

superseding CBA, the employer shall be required to make retroactive corrections for any period of non-compliance, which may include making retroactive payments to affected employees for the relevant periods of non compliance. (ii) If the final CBA signed by the employer and the union does not supersede the LWO, the employer shall be required to comply with all applicable LWO requirements, including the wage and benefits provisions. Compliance shall also be required retroactively to the date that the employer first became subject to the LWO. If necessary, the employer shall provide retroactive payments to affected employees for any time period during which the employer did not comply with the LWO. 13

See Endnote #12 Small Business Exemptions for Public Lessees and Licensees – LAAC 10.37.1(i): A public lessee or licensee claiming exemption from the LWO under section 10.37.1(i) shall submit the small business application for exemption form referred to in Appendix A along with supporting documentation to verify that it meets both of the following requirements: 14

(A) The lessee’s or licensee’s gross revenues from all business(es) conducted on the City premises for the calendar year prior to the date of the application for exemption do not exceed the gross annual revenue amount set by the LWO in Section 10.37.1(i). That gross revenue amount shall be adjusted annually according to the requirements of the LWO. The gross revenue amount used in evaluating whether the lessee or licensee qualifies for this exemption shall be the gross revenue amount in effect at the time the OCC receives the application for exemption. A public lessee or licensee beginning its first year of operation on a specific City property will have no records of gross annual revenue on the City property. Under such circumstances, the lessee or licensee may qualify for a small business exemption by submitting proof of its annual gross revenues for the last tax year prior to application no matter where the business was located, and by satisfying all other requirements pursuant to these regulations and the LWO. A lessee or licensee beginning its first year of operation as a business will have no records of gross annual revenue. Under such circumstances, the lessee or licensee may qualify for a small business exemption by satisfying all other requirements pursuant to these regulations and the LWO. (B) The lessee or licensee employs no more than seven (7) employees. (i) For purposes of this exemption, a lessee or licensee shall be deemed to employ a worker if the worker is an employee of a company or entity that is owned or controlled by the lessee or licensee, regardless of where the company or entity is located; or if the worker is an employee of a company or entity that owns or controls the lessee or licensee, regardless of where the company or entity is located. Whether the lessee or licensee meets the seven (7) employee limit provided for in Section 10.37.1(i) of the LWO shall be determined using the total number of workers employed by all companies or businesses which the lessee or licensee owns or controls, or which own or control the lessee or licensee. Control means that one company owns a controlling interest in another company. (ii) If a business operated by the lessee or licensee is part of a chain of businesses, the total number of employees shall include all workers employed by the entire chain of businesses unless the business operated by the lessee or licensee is an independently owned and operated franchise. (iii) A public lessee or licensee shall be deemed to employ no more than seven (7) employees if its entire workforce (inclusive of those employees falling within the guidelines stated in subsections (i) and (ii) immediately above) worked an average of no more than 1,214 hours per month for at least three-fourths of the time period that the revenue limitation provided for in section 10.37.1(i) is measured. Until the OCC approves the application for exemption, the lessee or licensee shall be subject to the LWO and shall comply with its requirements. If the OCC approves the application, the lessee or licensee shall be exempt from the requirements of the LWO for a period of two years from the date of the approval. The exemption will expire two years from the date of approval, but may be renewable in two-year increments upon meeting the requirements. 15 16

See Endnote #12 See Endnote #9

17

CFAR: First Year Financial Assistance Recipients – 10.37.1(c): A first-year City financial assistance recipient (CFAR) applying for exemption under Section 10.37.1(c) of the LWO shall submit proof of its start up date and workforce documentation with its application for exemption. If the OCC grants an exemption on this basis, the first year CFAR is exempt from the LWO for a period of one year from the date the exemption is approved. 18

CFAR: Employing Fewer Than Five Employees – 10.37.1(c): A City financial assistance recipient (CFAR) claiming exemption on the basis that it employs fewer than five (5) employees for each working day in each of twenty (20) or more calendar weeks in the current or preceding calendar year shall submit with its application for exemption payroll registers for that twenty (20) week period to verify eligibility. 19

CFAR: Hardship waivers for job training and preparation programs –10.37.1(c): A City financial assistance recipient (CFAR) that employs the longterm unemployed or provides trainee positions intended to prepare employees for

permanent positions may request an economic hardship waiver pursuant to Section 10.37.1(c). The CFAR must submit to the awarding authority documentation of the program’s demonstrated and projected results and the potential adverse impact due to compliance with this article. The awarding authority will forward the documentation and its recommendation to the City Council for consideration. A copy of such a recommendation shall be forwarded to the OCC. 20

CFAR: Employee Exemption – 10.37.1(c): A City financial assistance recipient (CFAR) that claims exemption pursuant to Section 10.37.1(e) for its employees who expend less than half of their time on the City funded project or the employees of its service contractor, if any, who expend less than half of their time on the premises of the CFAR directly involved with the activities funded by the City, shall be responsible for maintaining records of applicable hours and descriptions of work performed to substantiate the exemption.

            APPENDIX H  CEC FORM 50 – BIDDER CERTIFICATION   

DIVISION C1

-

DIVISION C1 Los Angeles Administrative Code § 10.40.1 (h)

’”City Financial Assistance Recipient” means any person who receives from the City discrete financial assistance in the amount of One Hundred Thousand Dollars ($100,000.00) or more for economic development or job growth expressly articulated and identified by the City, as contrasted with generalized financial assistance such as through tax legislation. Categories of such assistance shall include, but are not limited to, bond financing, planning assistance, tax increment financing exclusively by the City, and tax credits, and shall not include assistance provided by the Community Development Bank. City staff assistance shall not be regarded as financial assistance for purposes of this article. A loan shall not be regarded as financial assistance. The forgiveness of a loan shall be regarded as financial assistance. A loan shall be regarded as financial assistance to the extent of any differential between the amount of the loan and the present value of the payments thereunder, discounted over the life of the loan by the applicable federal rate as used in 26 U.S.C. Sections 1274(d), 7872(f). A recipient shall not be deemed to include lessees and sublessees.

Los Angeles Administrative Code § 10.37.1 (l)

“Public lease or license”. (a)

(b)

Except as provided in (l)(b), “Public lease or license” means a lease or license of City property on which services are rendered by employees of the public lessee or licensee or sublessee or sublicensee, or of a contractor or subcontractor, but only where any of the following applies: (1) The services are rendered on premises at least a portion of which is visited by substantial numbers of the public on a frequent basis (including, but not limited to, airport passenger terminals, parking lots, golf courses, recreational facilities); or (2) Any of the services could feasibly be performed by City employees if the awarding authority had the requisite financial and staffing resources; or (3) The DAA has determined in writing that coverage would further the proprietary interests of the City. A public lessee or licensee will be exempt from the requirements of this article subject to the following limitations: (1) The lessee or licensee has annual gross revenues of less than the annual gross revenue threshold, three hundred fifty thousand dollars ($350,000), from business conducted on City property; (2) The lessee or licensee employs no more than seven (7) people total in the company on and off City property; (3) To qualify for this exemption, the lessee or licensee must provide proof of its gross revenues and number of people it employs in the company’s entire workforce to the awarding authority as required by regulation; (4) Whether annual gross revenues are less than three hundred fifty thousand dollars ($350,000) shall be determined based on the gross revenues for the last tax year prior to application or such other period as may be established by regulation; (5) The annual gross revenue threshold shall be adjusted annually at the skame rate and at the same time as the living wage is adjusted under section 10.37.2 (a); (6) A lessee or licensee shall be deemed to employ no more than seven (7) people if the company’s entire workforce worked an average of no more than one thousand two-hundred fourteen (1,214) hours per month for at least three-fourths (3/4) of the time period that the revenue limitation is measured; (7) Public leases and licenses shall be deemed to include public subleases and sublicenses; (8) If a public lease or license has a term of more than two (2) years, the exemption granted pursuant to this section shall expire after two (2) years but shall be renewable in two-year increments upon meeting the requirements therefor at the time of the renewal application or such period established by regulation.

APPENDIX I PROPOSER’S NAME, FORM OF BUSINESS ORGANIZATION, AND CERTIFICATION

PROPOSER’S NAME, FORM OF BUSINESS ORGANIZATION, AND CERTIFICATION Each principal firm, and/or joint venture partner, involved in the proposal shall furnish the following information: Name of proposer’s business organization:

Proposer is a ____________________________________________________________ (Corporation, Joint Venture, Partnership, Limited Partnership, Individual, or Individual doing-business-as a firm) If a corporation, the proposer shall state below the names of the President and of the Secretary. If a joint venture, the proposer shall state below the names of each joint venture partner. If a partnership, the proposer shall state below the names of the partners and general partner. The agreement shall be signed by a duly authorized representative on behalf of the single and distinct business organization named above.

In accordance with the Article titled Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity Program in SECTION TWO of this RFP, a proposer that is certified as an SBE or DVBE is eligible to earn credit towards meeting or exceeding the specific SBE and DVBE goals for the portion of the contract that will be performed by its own forces. To be eligible for such credit, the proposer shall indicate its certification status on the table shown below.

Certification Status of Bidder

Certification Agency

[Check all that apply]

[Check applicable box(es)]

Small Business Enterprise (SBE)

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Disabled Veteran Business Enterprise (DVBE)

State of California for SB, Microbusiness, and DBE certifications.

Disadvantaged Business Enterprise (DBE)

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Federal SBA 8(a)

certification.

Minority-owned Business Enterprise (MBE) Woman-owned Business Enterprise (WBE)

Federal SBA 8(a) State of California for DVBE certification.

None

In accordance with the definition of the term “Broker” in the Article titled Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity Program in SECTION TWO of this RFP, the proposer shall state below if it is a Broker. Is the Proposer a Broker?

___________ (Yes or No)

If the answer to the above question is “Yes”, what is the proposer’s brokering fee or commission rate in percent? ___________%

            APPENDIX J  LIST OF PROPOSED SUBCONTRACTORS     

LIST OF PROPOSED SUBCONTRACTORS The bidder shall list all subcontractors performing work, labor, service, or supplying materials or equipment. The bidder shall comply with “ONE” of the following requirements:

1. BIDDER MEETS OR EXCEEDS THE SPECIFIC SBE and DVBE CONTRACT GOAL

(No GFE Documentation Required) Pursuant to the Article titled "Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity Program" in SECTION TWO of this RFP, “if” the bidder meets or exceeds the specific SBE and DVBE Contract Goals for this bidding opportunity, the bidder shall list below all subcontractors and the estimated dollar amount to be paid to each subcontractor, regardless of amount, if the bidder wishes to have the subcontract amount credited towards meeting or exceeding the Contract Specific SBE and DVBE level of participation. To earn credit under this provision, the bidder shall submit a ”Letter of Intent” from each SBE and DVBE Subcontractor that is listed for the achievement of the Contract-specific SBE and DVBE participation goals.

SBE PARTICIPATION ACHIEVED: ______%

DVBE PARTICIPATION ACHIEVED: ______% 2. BIDDER IS UNABLE TO MEET THE SPECIFIC SBE and DVBE CONTRACT GOAL

(GFE DOCUMENTATION IS REQUIRED) Pursuant to the Articles titled "Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity Program" in SECTION TWO of this RFP and the forms titled “Good Faith Effort (GFE) Documentation Forms” provided in Appendix I (with applicable attachments), if the bidder is unable to meet the specific SBE and DVBE Contract Goals for this bidding opportunity, the bidder shall list below all selected subcontractors after the conclusion of its outreach efforts including estimated dollar amount to be paid to each subcontractor, regardless of amount. To earn credit under this provision, the bidder shall submit complete GFE documentation (Factors 1 through 8) to demonstrate its outreach efforts to available subcontractors.

1

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and

Subcontractor Information

Contractor’s License No. (if applicable)

Certification Agency (1)

(For statistical purposes only)

[Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Is the Subcontractor a Broker? (Check Yes or No)

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

SBE

MBE

DBE

DVBE

WBE

Federal SBA 8(a)

Description of work: (Work area and NAICS code)

(1) Certifying Agencies:

City of Los Angeles - Bureau of Contract Administration State of California - Office of Small Business and Disabled Veterans Business Enterprise Services Los Angeles County Metropolitan Transportation Authority (Metro) State of California - California Unified Certification Program (CUCP) – CalTrans (DBE) Federal SBA 8(a) - Federal Small Business Administration (SBA)

(2) Certification Status:

SBE - Small Business Enterprise DVBE - Disabled Veteran Business Enterprise DBE - Disadvantaged Business Enterprise Federal 8(a) - Federal SBA 8(a) MBE - Minority Business Enterprise WBE - Women Business Enterprise

LIST OF PROPOSED SUBCONTRACTORS (continued)

2

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

Description of work: (Work area and NAICS code)

3

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

Description of work: (Work area and NAICS code)

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

LIST OF PROPOSED SUBCONTRACTORS (continued)

4

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

Description of work: (Work area and NAICS code)

5

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

Description of work: (Work area and NAICS code)

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

LIST OF PROPOSED SUBCONTRACTORS (continued) Bidder is advised to print extra copies of this page to “number” and list additional subcontractors. Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

Description of work: (Work area and NAICS code)

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

Description of work: (Work area and NAICS code)

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

LIST OF PROPOSED SUBCONTRACTORS (continued) Bidder is advised to print extra copies of this page to “number” and list additional subcontractors. Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

Description of work: (Work area and NAICS code)

Subcontractor Name, Business Address, Contact Person, Telephone Number, E-mail Address, and Contractor’s License No. (if applicable)

Subcontractor Information (For statistical purposes only)

Certification Agency (1) [Check applicable box(es)]

Percentage of Contract Amount for Subcontracting

(Percentage of Contract Amount or Numerical Dollar Value of Subcontract)

%

City of Los Angeles for SLB, SBE (LA), and EBE certifications.

Gender:

State of California for SB, Micro-business, and DBE certifications.

Los Angeles County Metropolitan Transportation Authority for SBE Metro

Ethnicity:

Is the Subcontractor a Broker? (Check Yes or No)

Yes

No

certification.

Federal SBA 8(a) State of California for DVBE certification.

Certification Status of Subcontractor (2)

[Check all that apply]

Description of work: (Work area and NAICS code)

SBE

MBE

DBE

DVBE

WBE

Federal 8(a)

If the answer to the above question is “YES”, what is the Broker’s fee or commission? (in percent)

______%

APPENDIX K LETTER OF INTENT (between a Bidder/Proposer and an SBE/DVBE Subcontractor)

 

 

 

 

 

 

 

 

 

 

 

SCS LOI Form004 

LETTER OF INTENT   BETWEEN  

A BIDDER AND AN SBE/DVBE SUBCONTRACTOR  On or before the Bid/Proposal opening date and time, the Bidder/Proposer shall submit a completed and  signed copy of this letter for each SBE/DVBE Subcontractor that is listed for the achievement of the Contract‐ specific SBE/DVBE participation goals.   

Specifications/RFP Number:   

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Bidder’s Authorized Representative:     

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name of Subcontractor’s Authorized Representative:     

 

 

 

 

 

 

 

 

 

 

 

  

 

Title of Specifications/RFP:         

Name of Bidder:   

 

 

     

Name of SBE/DVBE Subcontractor:    

 

   

Phone No. and E‐mail Address of Subcontractor:   

 

 

TERMS:  A. This is a letter of intent between the Bidder and an SBE/DVBE Subcontractor that is listed for the achievement  of the Contract‐specific SBE and DVBE participation goals.  B. By signing below, the Bidder is committing to utilize the above‐named SBE/DVBE Subcontractor to perform  the work shown below.  C. By signing below, the above‐named SBE/DVBE Subcontractor is confirming that it is willing to participate in the  Contract for the work area shown below. 

SUBCONTRACTING WORK AREA   Description 

NAICS* Code 

 

 

 

 

Estimated Subcontract Amount or % of Contract Amount         

   

AFFIRMATION:  I hereby affirm that the information above is true and correct.   

Bidder’s Authorized Representative:         

    (Signature) 

   

   

   

   

    (Title)   

   

   

   

    (Date) 

   

   

   

    (Date) 

SBE/DVBE Subcontractor’s Authorized Representative:       

    (Signature) 

   

   

   

   

    (Title)   

 

*Visit http://www.census.gov/cgi‐bin/sssd/naics/naicsrch to search. Match type of work with NAICS code as closely as possible.  *To be provided only when the solicitation requires that bidder include a dollar amount in its bid‐offer. In the event the bidder does not receive award of the prime contract, any and all representations in this Letter of Intent and  Affirmation shall be null and void.   

APPENDIX L GOOD FAITH EFFORT (GFE) DOCUMENTATION FORMS

GOOD FAITH EFFORT (GFE) DOCUMENTATION FORMS Required “ONLY” if the bidder is NOT able to meet the specific “SBE/DVBE Contract Goals” identified in this bidding opportunity. In accordance with the Article titled "Small Business Enterprise (SBE) and Disabled Veteran Business Enterprise (DVBE) Opportunity Program" in SECTION TWO of this RFP, if the bidder is unable to meet the specific SBE and DVBE Contract Goals for this bidding opportunity, the bidder shall submit the complete GFE documentation shown herein including all applicable attachments for Factors 1 through 8 to demonstrate its outreach efforts to available subcontractors. In addition, at the conclusion of these outreach efforts the bidder shall list all “selected” subcontractors (if any) in the form titled “List of Proposed Subcontractors” (Appendix J).

FACTOR 1 (Weight = 5 points) Bidder attended the “Bidder’s Conference” scheduled by the Department to ask questions regarding the bidding opportunity and to receive information on the Department’s SBE/DVBE Opportunity Program. Yes __________

No ___________

FACTOR 2 (Weight = 10 points) Identify selected portions of the project to be performed by Subcontractors to provide opportunities to available SBEs, DVBEs, MBEs, WBEs, and OBEs. Bidders shall, when economically feasible, divide total contract requirements into small portions or quantities to permit maximum participation of SBEs, DVBEs, MBEs, WBEs, and OBEs. Work Area # 1 2 3 4 5 6 7 8 9 10

NAICS Code

Description of Work Area (Portions of project to be performed by subcontractors)

FACTOR 3 (Weight = 5 points) List all interested potential subcontractors that were provided with information about the plans, specifications, and requirements for the selected work area. Attach all necessary documentation and correspondence.

Names of Potential Subcontractors that Received Information and Assistance

Bidders are advised to print extra copies of this page if necessary.

FACTOR 4 (Weight = 5 points) Documentation of efforts made in advising and assisting interested potential subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs in obtaining bonds, lines of credit, or required insurance. Attach all necessary documentation and correspondence.

Names of Potential Subcontractors that received Information and Assistance

Bidders are advised to print extra copies of this page if necessary.

FACTOR 5 (Weight = 15 points) State name(s) of publication(s) and the date of the advertisement(s) placed for bids from interested subcontractors. The advertisement(s) shall be placed not less than 7 calendar days prior to the submission of bids or proposals in newspapers, trade association publications, minority or trade oriented publications, trade journals, or other appropriate media. Attach copies of publications

Name of Publication

Date of Advertisement

FACTOR 6 (Weight = 20 points) Provide copies of notices such as Letters or e-mails that were sent to potential subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs, having an interest in participating in such contract. Such notices shall be sent to prospective subcontractors not less than 5 calendar days prior to the bid submittal date. Bidders shall document that invitations for subcontracting bids were sent to available SBEs, DVBEs, MBEs, WBEs, and OBEs for each portion of the work AND documenting efforts to followup initial solicitations of interest by contacting the business enterprises to determine whether the enterprises are interested in participating in the project work. Complete the log shown below indicating names of firms/individuals contacted, dates of contact, and follow-up discussion notes. Attach all necessary documentation and correspondence. LOG OF BUSINESS ENTERPRISES TO WHICH WRITTEN NOTICES WERE SENT and FOLLOW-UP NOTES

Name of Contacted Potential Subcontractor

Date of Invitation

Work Area

Date of Follow-up Contact

Discussion Notes

Bidders are advised to print extra copies of this page if necessary.

FACTOR 7 (Weight = 10 points) Provide proof of participation in a Vendor Fair, SBE Advocate Group, or Local Agency outreach, networking, or match-making event within the last 365 days prior to the bid/proposal due date. Proof of participation shall meet the following requirement: (a) Minimum of 1 event if estimated contract amount is less than $500,000; and (b) Minimum of 2 events if estimated contract amount is greater than $500,000. Attach proof of participation.

Name(s) of Outreach Event(s)

Date of Event

Location of Event

FACTOR 8 (Weight = 30 points) Negotiating in Good Faith – Outreach Summary Sheet Provide a list of all subcontractors including SBEs, DVBEs, MBEs, WBEs, and OBEs that negotiations were conducted with in good faith. As documentation, the bidder shall complete the tables below with all sub-bidders for each portion of work solicited. Bidders shall also submit documentation of correspondence regarding subcontract bids from interested subcontractors including, but not limited to: (a) Requests by bidder to obtain subcontract bids from enterprises expressing interest. (b) Responding letters of interest, subcontract bids, or declinations to offer a bid. (c) Acceptance by bidder of subcontract bids. (d) Rejections of subcontractor bids including explanations for non-selection. NOTE: Selected subcontractors shall be listed in the form titled “List of Proposed subcontractors” (Appendix J).

WORK AREA #1:

Name of Potential Subcontractor

Sent Letter? (Yes/No)

Certification SBE/DVBE/ MBE/WBE

Estimated Dollar Amount

Certifying Agency

Reason for Selection Selected? or (Yes/No) Nonselection

WORK AREA #2:

Name of Potential Subcontractor

Sent Letter? (Yes/No)

Certification SBE/DVBE/ MBE/WBE

Estimated Dollar Amount

Certifying Agency

Reason for Selection Selected? or (Yes/No) Nonselection

Certifying Agency

Reason for Selection Selected? or (Yes/No) Nonselection

WORK AREA #3:

Name of Potential Subcontractor

Sent Letter? (Yes/No)

Certification SBE/DVBE/ MBE/WBE

Estimated Dollar Amount

WORK AREA #4:

Name of Potential Subcontractor

Sent Letter? (Yes/No)

Certification SBE/DVBE/ MBE/WBE

Estimated Dollar Amount

Certifying Agency

Reason for Selection Selected? or (Yes/No) Nonselection

Certifying Agency

Reason for Selection Selected? or (Yes/No) Nonselection

WORK AREA #5:

Name of Potential Subcontractor

Sent Letter? (Yes/No)

Certification SBE/DVBE/ MBE/WBE

Estimated Dollar Amount

Bidders are advised to print extra copies of this page if additional subcontractors are to be listed.

APPENDIX M1 AFFIRMATIVE ACTION PLAN [if the contract is for Non-Construction services and is estimated at $100,000 or more]

City of Los Angeles Department of Public Works Bureau of Contract Administration Office of Contract Compliance 1149 S. Broadway, Suite 300, Los Angeles, CA 90015 Phone: (213) 847-2625 E-mail: [email protected]

AFFIRMATIVE ACTION PLAN NON-CONSTRUCTION CONTRACTOR The following contracts are subject to the City of Los Angeles Affirmative Action Program as required by the Los Angeles Administrative Code (LAAC) Section 10.8.4 et seq.: •

Every non-construction contract of $100,000 or more;

•

Every construction contract of $5,000 or more.

Purpose - An affirmative action program is a management tool designed to ensure equal employment opportunity. A central premise underlying affirmative action is that, absent discrimination, over time a contractor's workforce, generally, will reflect the gender, racial and ethnic profile of the available labor pools. Therefore, as part of its affirmative action program, a contractor monitors and examines its employment decisions and compensation systems to ensure equal employment practices, and takes steps to correct underutilization of women and minorities. Contractors are subject to all provisions contained in LAAC Section 10.8.4 et seq. which can be found at http://bca.lacity.org. The excerpts below are provided to serve as a starting point for satisfying these requirements: LAAC Section 10.8.4 (B) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to their race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status or medical condition. LAAC Section 10.8.4(K) The plan shall be subject to approval by the Office of Contract Compliance prior to award of the contract. LAAC Section 10.8.4(M) The Affirmative Action Plan required to be submitted shall, without limitation as to the subject or nature of employment activity, be concerned with such employment practices as: 1.

Apprenticeship where approved programs are functioning, and other on-the-job training for non-apprenticeable occupations;

2.

Classroom preparation for the job when not apprenticeable;

3.

Pre-apprenticeship education and preparation;

4.

Upgrading training and opportunities;

5.

Encouraging the use of contractors, subcontractors, and suppliers of all racial and ethnic groups, provided, however that any contract subject to this ordinance shall require the contractor, subcontractor or supplier to provide not less than the prevailing wage;

6.

The entry of qualified women, minority and all other journeymen into the industry; and

7.

The provision of needed supplies or job conditions to permit persons with disabilities to be employed, and minimize the impact of any disability.

LAAC Section 10.8.4(Q) All contractors subject to the provisions of the section shall include a like provision in all subcontracts awarded for work to be performed under the contract with the City and shall impose the same obligations, including but not limited to filing and reporting obligations, on the subcontractors as are applicable to the contractor. OCC-AA-1 (Rev 6-26-12)

1 of 2

CONTRACTOR DECLARATION In pursuit of accomplishing the intent of the City’s Affirmative Action Program, the contractor certifies and agrees to immediately implement good faith efforts, measures to recruit and employ minority, women, and other potential staff in a nondiscriminatory manner including, but not limited to, the following actions. The contractor shall: (a) (b)

(c) (d)

(e)

Recruit and make efforts to obtain such employees. Continually evaluate personnel practices to assure that hiring, upgrading, promotions, transfers, demotions and layoffs are made in a nondiscriminatory manner so as to achieve and maintain a diverse work force. Utilize training programs and assist minority, women and other employees in locating, qualifying for and engaging in such training programs to enhance their skills and advancement. Maintain such records as are necessary to determine compliance with equal employment and affirmative action obligations, and make such records available to City, State and Federal authorities upon request. Said policies shall be provided to all employees, subcontractors, vendors, unions and all others with whom the contractor may become involved in fulfilling any of its contracts.

By its execution hereof, the contractor accepts and submits the foregoing as its Affirmative Action Plan. I certify under penalty of perjury under the laws of the State of California that I have read and understood the foregoing requirements of LAAC Section 10.8 et seq. and agree to comply with them while under contract as set forth therein. Executed this

day of

, in the year 20

, at

, (City)

COMPANY NAME

TELEPHONE/E-MAIL

AUTHORIZED SIGNATURE

ADDRESS

NAME AND TITLE (TYPE OR PRINT)

CITY, COUNTY, STATE, ZIP

OCC-AA-1 (Rev 6-26-12)

. (State)

2 of 2

                APPENDIX N  CEC FORM 55 – PROHIBITED CONTRIBUTORS (BIDDERS)   

-

-

-

APPENDIX O LOCAL BUSINESS PREFERENCE PROGRAM

Los Angeles Department of Water and Power

Appendix O – Local Business Preference Documentation

APPENDIX O LOCAL BUSINESS PREFERENCE PROGRAM DOCUMENTATION Instructions:

In accordance with the Article titled Local Business Preference Program in SECTION TWO of this RFP, qualified proposers shall furnish all required information and include it with any proposal in response to this RFP to be eligible for a proposal preference. A proposal preference will be granted under ONLY one of the following three qualifications.

A. If the proposer is qualified and is registered on the LABAVN system to be certified as a Local Business, the proposer shall state its BAVN ID Number. BAVN ID: __________________ The LADWP will use the BAVN ID Number to verify the registration and certification status of the proposer. B. If the proposer is NOT qualified as a Local Business and it identifies qualifying Local Subcontractor(s) to perform work under the contract, the proposer shall list each proposed Local Subcontractor’s name, the corresponding estimated dollar amount, and BAVN ID Number on the table shown below. Each Local Subcontractor shall register on the LABAVN system to be certified as a Local Business. The BAVN ID Numbers of Local Subcontractors will be used by the LADWP to verify the registration and certification status of each Local Subcontractor. LIST OF LOCAL SUBCONTRACTORS Name of Local Subcontractor

Estimated Dollar Amount

BAVN ID No.

NOTE: To list more Local Subcontractors, attach additional sheets with identical table headings.

C. If the proposer is participating as a Provisionally Qualified Local Business, the proposer shall download, complete, and submit a "Provisionally Qualified Local Business - Affidavit of Eligibility" form as part of its proposal submittal. The form is available for download at the City of Los Angeles, Bureau of Contract Administration’s website located at: http://bca.lacity.org/site/pdf/general/PQLBP_Affidavit.pdf. O-1

                APPENDIX P  RESERVED   

Revised 02.14.14 

APPENDIX Q IRAN CONTRACTING ACT OF 2010

IRAN CONTRACTING ACT OF 2010 COMPLIANCE AFFIDAVIT (California Public Contract Code Sections 2200-2208) The California Legislature adopted the Iran Contracting Act of 2010 to respond to policies of Iran in a uniform fashion (PCC § 2201(q)). The Iran Contracting Act prohibits proposers engaged in investment activities in Iran from bidding on, submitting proposals for, or entering into or renewing contracts with public entities for goods and services of one million dollars ($1,000,000) or more (PCC § 2203(a)). A proposer who “engages in investment activities in Iran” is defined as either: 1. A proposer providing goods or services of twenty million dollars ($20,000,000) or more in the energy sector of Iran, including provision of oil or liquefied natural gas tankers, or products used to construct or maintain pipelines used to transport oil or liquefied natural gas, for the energy sector of Iran; or 2. A proposer that is a financial institution (as that term is defined in 50 U.S.C. § 1701) that extends twenty million dollars ($20,000,000) or more in credit to another person, for 45 days or more, if that person will use the credit to provide goods or services in the energy sector in Iran and is identified on a list created by the California Department of General Services (DGS) pursuant to PCC § 2203(b) as a person engaging in the investment activities in Iran. The proposer shall certify that at the time of submitting a proposal for new contract or renewal of an existing contract, he or she is not identified on the DGS list of ineligible businesses or persons and that the proposer is not engaged in investment activities in Iran in violation of the Iran Contracting Act of 2010. California law establishes penalties for providing false certifications, including civil penalties equal to the greater of $250,000 or twice the amount of the contract for which the false certification was made; contract termination; and three-year ineligibility to bid on contracts (PCC § 2205). To comply with the Iran Contracting Act of 2010, the proposer shall complete and sign ONE of the options shown below.

OPTION #1: CERTIFICATION I, the official named below, certify that I am duly authorized to execute this certification on behalf of the proposer or financial institution identified below, and that the proposer or financial institution identified below is not on the current DGS list of persons engaged in investment activities in Iran and is not a financial institution extending twenty million dollars ($20,000,000) or more in credit to another person or vendor, for 45 days or more, if that other person or vendor will use the credit to provide goods or services in the energy sector in Iran and is identified on the current DSG list of persons engaged in investment activities in Iran. Name of Proposer/Financial Institution (Printed): ___________________________________________________ Signed by: _______________________________________________________________ (Authorized Signature) _____________________________________________________________________ (Printed Name) ______________________________________________________________(Title of Person Signing)

OPTION #2: EXEMPTION Pursuant to PCC § 2203(c) and (d), a public entity may permit a proposer or financial institution engaged in investment activities in Iran, on a case-by-case basis, to be eligible for, or to bid on, submit a proposal for, or enter into, or renew, a contract for goods and services. If the proposer or financial institution identified below has obtained an exemption from the certification requirement under the Iran Contracting Act of 2010, the proposer or financial institution shall complete and sign below and attach documentation demonstrating the exemption approval. Name of Proposer/Financial Institution (Printed): ___________________________________________________ Signed by: _______________________________________________________________ (Authorized Signature) _____________________________________________________________________ (Printed Name) ______________________________________________________________(Title of Person Signing)

APPENDIX R BACKGROUND CHECK CERTIFICATION

                APPENDIX S  RESERVED     

                  APPENDIX T  SAFETY COMPLIANCE CERTIFICATE   

Revised 11.12.13 

APPENDIX T  SAFETY COMPLIANCE CERTIFICATE   

I.     the undersigned,     (Print Company Representative Name)              of    (Print Company Representative Title)              hereby certify the    (Print Company Name)      information contained herein and that undersigned is duly authorized to certify that:    A. Contractor has an effective Injury and Illness Prevention Program which  meets the requirements of all applicable laws and regulations, including, but  not limited to, California Labor Code Section 6401.7. (This section does not  apply if Contractor does not perform any work under this agreement within  the State of California.) and    http://www.leginfo.ca.gov/cgi‐bin/displaycode?section=lab&group=06001‐ 07000&file=6400‐6413.5    B. Contractor agrees that it is fully responsible for the acts and omissions of its  subcontractors and all persons either directly or indirectly employed by  Contractor.    C. The above‐named person has the authority and responsibility for  implementing and administering Contractor’s Injury and Illness Prevention  Program.    IN WITNESS WHEREOF, the undersigned has executed this Safety Compliance Certificate  under the penalty of perjury of the laws of the State of California on:      Signed:      Print Name:      Date:     

Revised 11.12.13 

                  APPENDIX U  AUTHORIZED RESELLER STATUS   

APPENDIX U AUTHORIZED RESELLER STATUS

The Proposer must indicate all manufacturer(s) for which they have authorized reseller status and include documentation from each manufacturer to verify status.

ITEM A B C D E F G H I J K L M N O P Q R S

MANUFACTURER RESELLER Y/N Cisco MDS Authorized Reseller Dell Authorized Reseller for State and Local Government Hewlett Packard Platinum Partner One Program and Authorized Reseller IBM Premier Business Partner and Authorized Reseller IBM Authorized Z-Series Reseller in Los Angeles Lenovo Premier Reseller and Authorized Reseller Network Appliance National Star Authorized Reseller Oracle Partner Advantage Reseller GE Multilin Product Line Reseller IBM Mainframe Reseller Ricoh/Infoprint Mainframe Printer Reseller Lasermax Mainframe Printer Pre and Post Equipment Reseller Panasonic Toughbook Authorized Reseller Xerox Authorized Reseller Juniper Authorized Reseller NetScout Authorized Reseller Authorized F5 Reseller Symantec Netbackup Appliance Authorized Reseller McAfee Security Alliance Elite Reseller

U-1