HomeMy WebLinkAboutRES NO 179-94 RESOLUTION NO. 1 T 9" 9 4
RESOLUTION ADOPTING THE CITY OF BAKERSFIELD DISADVANTAGED
BUSINESS ENTERPRISE (DBE) PROGRAM FOR USE ON FEDERALLY FUNDED HIGHWAY
IMPROVEMENT PROJECTS IN THE CITY OF BAKERSFIELD FOR FISCAL YEAR 1994-95.
WHEREAS, the Federal Highway Administration issued
regulations on April 27, 1981, regarding the use of minority and
women-owned businesses on contracts funded with Federal monies; and
WHEREAS, these regulations require that all recipients of
United States Department of Transportation funds develop specific
plans for the use of Disadvantaged Business Enterprises on Federally
funded projects; and
WHEREAS, City of Bakersfield has recently completed the
required review and calculated a revised Disadvantaged Business
Enterprise minimum goal of 10% based upon the previous year's
experience with the plan;
NOW, THEREFORE, BE IT RESOLVED that the Council of the
City of Bakersfield hereby adopts the revised City of Bakersfield
Disadvantaged Business Enterprise Program for use on Federally
funded highway improvement projects administered by City of
Bakersfield during the year beginning October 1, 1994;
BE IT FURTHER RESOLVED that the Public Works Director is
hereby authorized to sign and submit the Program to Caltrans.
......... ooooo ..........
ORIGINAL
I HEREBY CERTIFY that the foregoing Resolution was
passed and adopted by the Council of the City of Bakersfield at a
regular meeting thereof held on ~NV 15 ~9% , by
the following vote:
AYES: COUNCILMEMBERS McDERMOTT, EDWARDS, DeMONO, SMITH, BRUNNI, ROWLES, SALVAGGIO
NOES: COUNCILMEMBERS ~4)/3 &:
ABSTAIN: COUNCILMEMBERS j~/~ ~
ABSENT: C.,OUNCILMEMBEF~
Assistant CITY CLERK and Tdf the
Council of the e
APPROVED/~ ~0¥ 1 6 ~9%
MAYOR of the City of Bakersfield
APPROVED as to form:
JUDY SKOUSEN
CITY ATTORNEY of the City of Bakersfield
ROBERT M. SHERFY ~' f
ASSISTANT CITY ATTORNEY /f
RMS:dh
11/94
resolutions\DBE.94
ORiGI~,!AL
BAKERSFIELD DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
CITY OF BAKERSFIELD CALIFORNIA
Policy Statement
It is the policy of the City of Bakersfield that DBE's, as defined
in 49 CFR Part 23, shall have the maximum opportunity to
participate in the performance of contracts assisted in whole or in
part by funds granted by the DOT.
The City of Bakersfield policies prohibit discrimination against
any person because of race, color, sex, or national origin, in the
award or performance of any contract subject to the requirements of
49 CFR Part 23.
The City of Bakersfield will require its employees, agents, and
contractors to adhere to the provisions of this program.
This policy statement is disseminated to the Airport Commissioners
and all departments of the commission, to organizations of minority
and disadvantaged businesses and non minority business and
community organizations of the City of Bakersfield.
Raul ~R~a'/~~
Public Works Director
Darnell W. Ha¥~
Business Manager
ORiGI~-IAL
BAKERSFIELD DISADVANTAGED BUSINESS ENTERPRISE ?ROGRAM
Disadvantaged Business Enterprise ("DBE") Liaison Officer
Disadvantaged Business Enterprises ("DBE"). Darnell Haynes,
Public Works Business Manager, (805) 326-3724, is the DBE
Liaison Officer for the City of Bakersfield and shall report to
the Public Works Director on all matters pertaining to his
duties as DBE Liaison Officer. Mr. Haynes will be assigned such
staff as is necessary to implement the provisions of 49CFR
Section 23 and such other DBE programs as may be required. The
reporting structure of staff is shown on Attachment "A". Mr.
Haynes will be available to City Hall during normal business
hours (8:00 a.m. to 5:00 p.m.), Monday through Friday, or in
writing, to him at the Public Works Department, 1501 Truxtun
Avenue, Bakersfield, California 93301.
II. Duties of the DBE Liaison Officer
The DBE Liaison Officer shall develop, manage and implement
the DBE Program on a day-to-day basis. The Liaison Officer
shall:
Be responsible for keeping current the program outlined
in this document and ensuring that the program complies
with the letter of the law and the intent of 49 CFR Part
23.
In consultation and cooperation with the functional unit
involved, arrange solicitations, time for the presentation
of bids, quantities, specifications, and delivery
schedules, so as to facilitate the participation of DBEs.
Serve as coordinating officer for the financial, legal,
engineering and purchasing functions on items pertaining
to DBE matters.
Investigate the full extent of services offered by banks
owned and controlled by Disadvantaged Business Enterprises
and ensure that where appropriate, Bakersfield utilizes
said banks.
Maintain an updated listing of DBEs certified by California
Department of Transportation.
Utilize the listing of DBEs certified by California
Department of Transportation. Said listing to be made
available to all bidders on federally funded projects.
listing shall include, at a minimum, the following
information: Name, address, telephone number, DBE
ownership, type of work performed by firm.
Such
Evaluate, and verify as necessary, the eligibility of all
firms and joint ventures who either claim to be or others
claiming to be DBE owned and operated.
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III.
Approve any removal and/or substitution of a Disadvantaged
Business Enterprise during contract performance subject to
limitations of state law, and prior to approval of
substitution and/or removal of DBE, required to the extent
permitted by law, prime contractors to prove performance of
good faith efforts to replace the DBE with another eligible
DBE.
Establish overall Bakersfield goals for Disadvantaged
Business Enterprises. Goals shall be evaluated on September
30 of each year and adjusted as necessary. Establish
individual project goals for Disadvantaged Business
Enterprises. All federally funded projects will be evaluated
for the appropriateness of goals. The City of Bakersfield
1994-95 DBE goal update is shown on Attachment "C" with
supporting documentation.
Maintain such documentation as is necessary to verify
Bakersfield's performance of the above activities.
Procedures to ensure DBE's have an Equitable Opportunity to
Compete for Contracts and Subcontracts
The City of Bakersfield will develop and use affirmative action
techniques to facilitate DBE participation in FAA-assisted
contracting. These techniques will include carrying out
information and communication programs on contracting procedures
and specific opportunities in a timely manner, with such
programs being bilingual where appropriate.
The following are other affirmative actions the City of
Bakersfield may take in order to facilitate DBE participation:
1. Provide information to DBE firms about the sponsor's
organization, functions, and full range of contractual
needs·
Offer instructions and clarification on bid specifications,
the sponsor's procurement policy, procedures, and general
bidding requirements.
Maintain a file of successful bid documents from past
procurements and permit DBE's to review and evaluate these
documents.
Conduct debriefing sessions to explain why certain bids were
unsuccessful.
Provide DBE firms with information on future procurements and
contracting schedules.
6. Provide detailed instructions about job performance
requirements.
Provide information on certification
subcontracting,and bonding requirements.
procedures,
Place bid notices in the Commerce Business Daily, Dodge
Bulletin, DBE trade association newsletters, major local
newspaper, as well as periodicals of interest to the
disadvantaged community.
Develop mailing lists for newsletters that include DBE's and
their associations.
Send bid notices to DBE trade associations, technical
assistance agencies, DBE economic development groups, and to
DBE's with capabilities relevant to the bid notice, as
identified by the sponsor's DBE directory.
11. Make bid specifications available to DBE contractor
associations and technical assistance agencies.
12. Provide DBE's and DBE organizations with lists of majority
firms bidding as prime contractors.
13. Use a lead time of at least 20 days, if allowable, for
advertisement of all invitations for bid so that all firms
have ample time to develop a complete bid package or proposal
and secure necessary assistance.
14.
Hold pre-bid conferences to provide firms with an opportunity
to inquire about the DBE requirements.
IV. Disadvantaged Business Enterprises
The City of Bakersfield encourages all contractors to use the
services of banks owned and controlled by Disadvantaged Business
Enterprises.
This policy will be disseminated during pre-bid and
preconstruction conference (if scheduled) and noted in the
contract specifications.
The City of Bakersfield contacted the local banks and savings &
loans to determine if any were DBE owned or controlled. City
staff also contacted the locally operated Minority Business
Development Center to utilize that resource in determining
ownership and/or control.
As of this date there is no Disadvantaged Business Enterprise
owned or controlled bank in the Bakersfield area.
The City will continue to monitor the situation through
contact in the DBE program and appropriate changes to
policy will be made if the situation changes.
4
DBE Directory
The City of Bakersfield will maintain and update a DBE Directory,
which is located in the DBE Liaison officer's possession in the
Public Works Department.
The State Department of Transportation Directory will be
used to supplement the City's Directory. Directories of
other agencies may also be used when a project requires a
search for DBE's beyond the normal recruiting area. The
City's Directory lists firms that are capable of performing
general contracting and particular solicitations. The
Directory is organized by type of work the contractor
desires to perform, i.e., general construction, lighting,
marking, engineering, etc.
The Directory indicates which firms have passed the City's own
certification process, those certified by the Small Business
Administration (SBA) under the Section 8 (a) program, those
certified by the State Department of Transportation and some
firms that do not have current certification.
This listing will be developed and maintained in accordance with
Section 23.51, 23.53, 23.55 and 23.87 of 49 CFR. This listing
shall be made available to prospective contractors at no charge.
The following information is shown for each firm:
1. Company Name
2. Type of Contractor
3. Address
4. Telephone Number
5. Owned by Woman, Minority, other DBE
6. Contact Person
7. Certified by City, $BA, U.S. DOT
8. Bonding Capability
The City will update the Directory annually. The update will
include any additional DBE's certified during that period.
In the event a bidder names other DBE's it desires to use, these
firms will be included in the Directory if they can be certified.
Other DBE's that desire to be listed will also be included, upon
request.
The Directory is made available to bidders and proposers in their
efforts to meet the DBE goals established by the City of
Bakersfield and made a part of bid specifications. The Directory is
a primary source for locating potential DBE contractors.
VI.
Selection Criteria for Contracts with DBE Goals
Every contract containing DBE goals shall be evaluated by the DBE
Liaison Officer or his/her designee to ascertain bidding
contractors' efforts to attain the DBE goals and verify all DBEs
5
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VII.
named as contractors or subcontractors to be acceptable DBEs by
DOT standards.
The award of any project with DBE goals must be submitted to the
DBE Liaison Officer for review before said contract may be awarded.
Should there be disagreement between City of Bakersfield's
functional units concerning contractor's efforts to attain contract
goals for DBE participation, the matter shall be referred to the
City Manager or his/her designee, for final determination.
Procedures to Ascertain the Eligibility of DBE's and Joint
Ventures Involving DBE's
The City of Bakersfield will certify the eligibility of DBE's and
joint ventures involving DBE's that are named by competitors for
FAA-assisted contracts to be let by the City. The City may also
accept the certifications made by other DOT recipients.
The City of Bakersfield requires prime contractors to make good
faith efforts to replace a DBE subcontractor that is unable to
perform the contract successfully with another DBE. Substitu-
tions of DBE subcontractors after bid opening and during
contract performance must be approved by the City of
Bakersfield. In these instances, the City of Bakersfield
verifies the eligibility of the substitute firm.
Any business that desires to participate as a DBE will be
required to complete and submit Schedule A (Appendix 1) to
the City of Bakersfield. Any business that desires to
participate as a joint venture DBE will, in addition, be
required to complete Schedule B (Appendix 2). The
schedules must be signed and notarized by the authorized
representative of the business.
The required schedule must accompany the DBE participation
information submitted to the City of Bakersfield by competitors.
A firm seeking certification as a DBE will not be required to
submit schedule A or B if either of the following applies:
The potential DBE contractor states in writing that it has
submitted the same information to or has been certified by
the City of Bakersfield, any DOT element, or other Federal
agency that uses essentially the same definition and
ownership and control criteria as the DOT. In this case,
the potential DBE must obtain the information and
certification (if made) from the other agency and submit it
to the City; or
The potential DBE contractor has been determined by the
Small Business Administration to be owned and controlled by
socially and economically disadvantaged individuals under
section 8 (a) of the Small Business Act, as amended.
Note 1: In addition to the above circumstances, a Schedule A or
B is not required if the sponsor has established a different
certification process that has been approved by DOT. In these
instances, the firm must submit the information required by that
process.
Note 2: The Section 8(a) program provides disadvantaged
businesses with opportunities to participate in Federal
Government contracting. The part 23 regulations incorporate the
definition of a "small business concern" concern" contained in
the Small Business Act, subject to the statutory $15,370 million
cap. The regulations also incorporate the definition of
"socially and economically disadvantaged individual used in the
Small Business Act, except that women are included in the
definition for purposes of Part 23.
VIII.Uniform Certification Standards
The City of Bakersfield will take at least the following steps
in determining whether a firm may be certified as a DBE:
Perform an on-site visit to the offices of the firm and to any
job sites on which the firm is working at the time of the
eligibility investigation.*
Obtain the resumes or work histories of the principal owners
of the firm and personally interview those
individuals.
3. Analyze the ownership of stock in the firm, if it is a
corporation;
4. Analyze the bonding and financial capacity of the firm.
Determine the work history of the firm, including contracts
it has received and work it has completed.
Obtain or compile a list of equipment owned or available to
the firm and the licenses of the firm and its key personnel
to perform the work it seeks to do as part of the DBE program;
7. Obtain a statement from the firm of the type of work it
prefers to perform as part of the DBE program.
IX. On-site Certification Visits
*Per guidance from the FAA, office and job site visits may
be omitted from the investigation in any of these
situations'
When the City, at its discretion, accepts the certification
of another DOT recipient, which included visits conforming
to the regulations.
When the City obtains the report of a site visit completed
by another DOT recipient, which the City relies on. A firm
applying for certification may be required to supply such
report or cause the other recipient to supply it. The City
will then draw its own conclusions regarding eligibility.
When the City recertifies a firm that it previously reviewed
on-site, and eligibility issues (e.g., change in ownership)
have not arisen that make a second visit necessary. In the
absence of such issues, an on-site visit need be conducted
only once.
Decertification Procedures
Whenever the City of Bakersfield comes to believe that a firm
with a current certification is no longer eligible, the firm
will be afforded the rudiments of due process prior to revoking
its eligibility. The steps to be used are:
A letter will be sent to the firm, stating that the City of
Bakersfield is contemplating decertification. A brief
description of the reasons for the proposed action will be
included.
The firm will be given an opportunity to respond in person
and in writing to present information and arguments. An
informal meeting or hearing may be part of the process, but
a formal adversary proceeding will not be used.
While these procedures are not a regulatory requirement, the DOT
has recommended them to make the process fair and to prevent
unnecessary procedural litigation.
Note 1: When a sponsor denies certification or completes a
decertification, it may advise the firm that an appeal may be
filed within 180 days of the decision with the office named
below. An appeal must be in writing, dated and signed, and
should be made after all appeal procedures of the airport
sponsor have been exhausted.
Departmental Office of Civil Rights
Department of Transportation
400 7th Street, Southwest
Washington, D.C. 20590
Note 2: The FAA may disseminate to all recipients copies of the
certification decisions rendered by the Departmental Office of
Civil Rights (DOCR). Often, the same firm applies for
certification or is certified by more than one recipient. The
decisions are in response to appeals of certification denials or
SO-called "third-party complaints" brought under 49 CFR 23.55.
The DOCR decisions apply only to the actions that were contested
and do not bind other recipients to make the same judgement
XI.
concerning a firm's eligibility. Other recipients, who have
granted certification to a firm that is adversely affected by a
DOCR decision, are advised to reexamine their records to
determine if the decision raises a certification issue. Each
recipient must make its own decision based on the record, since
firms sometimes reorganize or otherwise restructure their
ownership and control. At any time that the recipient considers
decertifying a firm, the "Decertification Procedures" outlined
in this plan should be followed.
DBE Definition
To qualify for certification, a firm must meet
the definition of a disadvantaged business
enterprise (DBE). The definition used by the City
of Bakersfield is as follows:
A small business concern:
Which is at least 51 percent owned by one or more socially
and economically disadvantaged individuals, or, in the case
of any publicly owned business, at least 51 percent of the
stock of which is owned by one or more socially and
economically disadvantaged individuals; and
Whose management and daily business operations are
controlled by one or more of the socially and economically
disadvantaged individuals who own it.
XII. Determination of Business Size
The first step in the certification process is to make a
determination of business size. If the applicant is not a "small
business concern," as defined below, it will not be certified by
the City of Bakersfield even though it may be owned and
controlled by socially and economically disadvantaged
individuals and eligible in all other respects. Even a firm
certified by the Small Business Administration (SBA) under the
8(a) program is not eligible if it is not small.*
The size standards established by the SBA in 13 CFR Part
121, as revised on February 14, 1990, are used for making
size determinations.
However, no firm is considered small if, including its
affiliates, it averages annual gross receipts in excess of
$30 million over the previous three fiscal years (Section
505(d)(2), Airport and Airway Improvement Act of 1982, as
amended, has been amended further by the Airport and Airway
Safety, Capacity, Noise Improvement, and Intermodal
Transportation Act of 1982. Thus, a general contractor must
"graduate" from the program once its gross receipts exceed
the $30 million ceiling, even though the SBA standard for
general contractors is $17 million.
*The Department has stated that the $30 million limit for
small business concerns, which is discussed below, applies
to Section 8(a) firms. Sponsors have the authority and
obligation to require a Section 8(a) firm applying for
certification or recertification to submit financial
figures indicating its average annual gross receipts for
the three years prior to the date of the application. If a
firm has earned gross receipts in excess of the $30 million
standard, the firm must be denied certification or
decertified by the sponsor. A firm that refuses to supply
information to enable the sponsor to make this determi-
nation may be either denied certification or decertified by
the sponsor. Neither the DOT nor a sponsor may require a
Section 8(a) firm to submit other eligibility information,
including any pertaining to ownership and control, or
social and economic disadvantage. A sponsor who believes
that the Section 8(a) status of a firm is questionable
should communicate the information to the Small Business
Administration, which is solely empowered to grant or
revoke 8(a) certifications.
3 o
Contractors are still subject to applicable lower limits
established by the SBA. For example, the SBA size limit for
electrical contractors is $7 million (average of annual
gross receipts for three-year period). The $7 million
limit, rather than the $30 million ceiling, governs in size
determinations of these contractors.
o
For AIP-funded subcontracts over $10,000 or less,
small under the SBA regulations if, including its
affiliates, it has no more than 500 employees.
a firm is
For AIP-funded subcontracts over $10,000 and prime
contracts, a firm is small under the SBA regulations if,
including its affiliates, it meets the applicable standard
in terms of average gross receipts, number of employees, or
other measure.
While for many of the businesses used in AIP projects, the SBA
standard is measured in gross receipts, this may not always be
so. For example, a manufacturer of concrete products (SIC 3272)
is small if it has no more than 500 employees. If one of these
businesses earns gross receipts in excess of the $30 million
cap, it would not qualify as small and hence for eligibility as
a DBE, even though it may have less than 500 employees.
All affiliates of a firm, as well as the firm itself, are
considered when determining gross receipts earned or number
of persons employed. Affiliation exists if one firm
controls or has the power to control the other, or a third
party or parties controls or has the power to control both
firms.
Information on gross receipts earned by an applicant is
obtained from its submission of Schedule A (Appendix 1).
10
If a firm applies for certification in more than one
category (e.g., general construction and special trade
subcontractor), the applicable SBA standard is the one that
describes the work the firm will perform under the AIP -
funded contract.
Size determinations will be reviewed annually in connection
with the recertification process.
XIII.Socially and Economically Disadvantaqed Individuals
Any person having a current 8(a) certification from the
Small Business Administration is considered to be socially
and economically disadvantaged.
The City of Bakersfield makes a "rebuttable presumption"
that individuals in the following groups who are citizens of
the United States (or lawfully permanent residents) are
socially and economically disadvantaged:
a. Women;
b. Black Americans, which includes persons having
origins in any of the Black racial groups of Africa;
c. Hispanic Americans, which include persons of Mexican,
Puerto Rican, Cuban, Central, or South American, or
other Spanish or Portuguese culture or origin,
regardless of race;
d. Native Americans, which includes persons who are
American Indians, Eskimos, Aleuts, or Native Hawaiians;
e. Asian-Pacific Americans, which includes persons whose
origins are from Japan, China, Taiwan, Korea, Vietnam,
Laos, Cambodia, the Philippines, Samoa, Guam, the U.S.
Trust Territories of the Pacific, and the Northern
Marianas; and
f. Asian-Indian Americans, which include persons whose
origins are from India, Pakistan, Bangladesh, and $ri
Lanka.
The City of Bakersfield will generally assume that business
owners who fall into one of these groups are socially and
economically disadvantaged. Their disadvantaged status will
not generally be investigated, unless a third-party
challenge is made.
Other individuals may be found to be socially and
economically disadvantaged on a case-by-case basis. For
example, a disable Vietnam veteran, an Appalachian white
male, or another person may claim to be disadvantaged.
If such individual requests that his or her firm be
certified as a DBE, the City of Bakersfield, as part of
11
the certification process, will determine whether the
individual is
socially and economically disadvantaged under the criteria
in Appendix C of Subpart D. These owners must demonstrate
that their disadvantaged status arose from individual
circumstances, rather than by virtue of membership in a
group.
XIV. Challenge Procedures
Any third party may present evidence challenging whether a
firm's owners who are presumed to be socially and economically
disadvantaged are truly disadvantaged. Individuals certified as
8(a), however, are not subject to these challenges.*
When the City of Bakersfield receives a written challenge to the
disadvantaged status of a business owner that is certified or
seeking certification, the City will make a determination of
social and economic disadvantage. The City itself may also
initiate an inquiry.
The guidelines in 49 CFR 23.69 will be used for these actions.
The procedures are informal; strict rules of evidence do not
apply.
while a challenge is in progress, the presumption of social and
economic disadvantage continues, and if the firm has been
certified, it will continue to be eligible as a DBE.
*If a challenge is made to the owners of an 8(a) firm, the
sponsor should refer the information or question to the
SBA for resolution, as indicated on page 16.
Any contracts that contain DBE goals, pursuant to this policy,
will be monitored on an ongoing basis by project personnel
during the course of construction. The DBE Liaison Officer is to
be immediately advised of any circumstances wherein contractor
compliance with the DBE provision is questionable. The
contractor shall submit a final report for each project with DBE
goals which includes total payments to the prime contractor as
well as payments the prime contractor has made to DBE subcon-
tractors, vendors and suppliers. If the report indicates the
prime contractor has not achieved the project goals, project
personnel shall attach an evaluation, in narrative form, of the
reasons for failure to attain the goals and any corrective
action that was taken.
Prime contractors will be required to notify Bakersfield
personnel of any situation in which regularly scheduled progress
payments are not made to DBE subcontractors, vendors or
suppliers.
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XV.
Eligibility Standards
The City of Bakersfield will use the following standards to
determine whether a firm is owned and controlled by one or more
socially and economically disadvantaged individuals.
Bona fide membership in a group of socially and economically
disadvantaged individuals must be established on the basis
of the applicant's claim that he or she is a member of such
group and is so regarded by that particular disadvantaged
community. However, the City of Bakersfield is not required
to accept the claim if it is determined to be invalid.
Proof of ancestry alone is not conclusive evidence of
membership in a group of socially and economically
disadvantaged individuals. The fact that a person's
grandfather or other relative belonged to one of these
groups does not necessarily qualify the applicant as a
member for purposes of DBE certification.
If the individual has not held himself or herself out to be
a member of the community of disadvantaged individuals, has
not acted as a member of that community, and would not be
identified by persons in the population at large as a member
of the group, the individual is not considered as belonging
to that disadvantaged group for purposed of DBE
certification.
An eligible DBE must be an independent business. The
ownership and control by disadvantaged persons must be real,
substantial, and continuing and must go beyond the pro forma
ownership of the firm as reflected in its ownership
documents. The disadvantaged owners must enjoy the customary
incidents of ownership and must share in the risks and
profits commensurate with their ownership interests, as
demonstrated by an examination of the substance rather than
form of arrangements. Recognition of the business as a
separate entity for tax or corporate purposes is not
necessarily sufficient for recognition as a DBE. In
determining whether a potential DBE is an independent
business, the City of Bakersfield considers all relevant
factors, including the date the business was established,
the adequacy of its resources for the work of the contract,
and the degree to which financial, equipment leasing, and
other relationships with non-DBE firms vary from industry
practice.
XVI. Establishment of Overall Bakersfield Goal
The City of Bakersfield will establish an overall goal for its
use of DBEs. This goal will be updated annually as of September
30, of each year. Bakersfield's overall goal and the methodology
used to determine the goal for the fiscal year beginning October
1, 1994, is shown on Attachments "B" and "C".
13
XVII.
Contract Goals
All projects receiving U.S. Department of Transportation funds
will be evaluated for the appropriateness of DBE goals. Projects
will be evaluated and goals established utilizing the following
criteria:
Size of Project.
Opportunities for DBEs as subcontractors, vendors,
suppliers.
Minority population of county in which work is to be
performed. This information is shown on Attachment "B".
Existing DBE goals being utilized in the project area
by other State, Federal or local jurisdictions.
* Availability of DBEs.
Past experience on projects similar to the project
being evaluated.
* Such other factors as may effect the utilization of DBEs.
Each project will be evaluated in conformance with the above
criteria. Completed documentation will be retained of every
project so evaluated. 1994-95 City of Bakersfield DBE goal
update is shown on Attachment "C" with supporting documentation.
will
(1)
Bid documents for contracts which do not contain specific goals
contain the following provisions:
(2)
"Policy. It is the policy of the City of Bakersfield that
Disadvantaged Business Enterprises as defined in 49CFR Part
23 shall have the maximum opportunity to participate in the
performance of contracts financed in whole or in part with
Federal funds under this Agreement. Consequently, the DBE
requirements of 49CFR Part 23 apply to this project."
"DBE Obligation, (i) The successful bidder certifies that
Disadvantaged Business Enterprises as defined in 49CFR Part
23 were given the maximum opportunity to participate in the
performance of subcontractors financed in whole or in part
with Federal funds provided under this Agreement. In this
regard, all bidders shall certify that the bidder took all
necessary and reasonable steps in accordance with 49CFR Part
23 to ensure that Disadvantaged Business Enterprise had the
maximum opportunity to compete for and perform subcontracts.
Bidders shall not discriminate on the basis of race,
religion, color, national origin, or sex in the award and
performance of Department of Transportation assisted
contracts."
"Refer to sample language for bid solicitations shown on
Attachment "E".
14
DBE use on projects without goals will be reported to the
Liaison Officer and will be included in Bakersfield's reports to
Caltrans and to the appropriate Department of Transportation
element. DBE's use on such projects will be counted toward
attainment of the overall Bakersfield goal.
XVIll.Public Notification
At the time of submittal of this program to the U.S. Department
of Transportation, the City of Bakersfield will publish a notice
in both minority and majority local newspapers. Said publication
shall:
Announce Bakersfield's overall goals.
Inform the public that the goals and a description of how they
were set are available for public inspection for a period of
thirty (30) days.
Inform the public that both U.S. Department of Transportation
and the City of Bakersfield will accept comments on the goals
for forty-five (45) days from the date of the notice.
The notice shall advise interested parties that comments are
for informational purposes only.
In addition to the foregoing, interested DBE and other
contractor organizations will receive direct mailings of
the complete program with a request that they provide
written comments to the City of Bakersfield on this
program.
XIX. Contract Procedure
This plan shall be implemented through the utilization of a
special contract provision. These procedures require bidders to
submit the names of DBE subcontractors and suppliers utilized in
preparation of the bid, a description of the work each is to
perform or material each is to furnish, and the dollar value of
each DBE subcontract. Further, the contractor as a condition of
receiving the contract, must meet the goals or demonstrate that
it has made good efforts to achieve them.
XX. DBE Notification
All DBEs on the California Department of Transportation's
certified DBE listing will receive, appropriate notification of
projects scheduled to be advertised. DBE assistance centers will
also receive notification. All assistance centers funded by the
U.S. Department of Commerce (Disadvantaged Business Development
Administration) and designated as State Plan Rooms will receive
complimentary plans and specifications for projects within their
geographical area of responsibility.
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XXI. Set-Asides
If determined necessary by the DBE Liaison Officer, the City of
Bakersfield will consider the use, to the extent legally
permissible, of DBE set-asides as a tool to achieve the overall
City of Bakersfield goal.
xxII.Counting DBE Participants
The City of Bakersfield, its contractors and subcontractors
shall count DBE participation in accordance with the provisions
of Section 23.47, Title 49, of the Code of Federal Regulations.
xxIII.Records and Reports
The DBE Liaison Officer shall maintain such records, and provide
such reports, as are necessary to ensure full compliance with
this policy. Such records and reports shall include, as a
minimum, the following information:
Procedures which have been adopted to comply with this DBE
policy.
* Awards to DBEs.
* Awards to non-DBE contractors.
Final project reports concerning DBE utilization
Such other data as is needed to fully evaluate
Bakersfield's compliance with this program.
The DBE Liaison Officer shall submit reports to Caltrans and to
U.S. Department of Transportation elements as required. These
reports will include:
* Number and dollar value of contracts awarded to DBEs.
Description of general categories of contracts awarded to
DBEs.
The percentage of the dollar value of all contracts awarded
during the year which were awarded to DBEs.
Indication as to the extent of which the
percentage met or exceeded the overall
Bakersfield goal.
* Reports shall be broken down separately as required.
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CITY OF BAKERSFIELD
DISADVANTAGED BUSINESS ENTERPRISES
1994-95 OVERALL GOALS
CITY OF BAKERSFIELD
MINORITY POPULATION
FEMALE 54.3%
BLACK 9.8%
HISPANIC 21.7%
OTHER 14.2%
The City of Bakersfield has utilized federal aid funds mostly
for projects involving prime contractors only. This has
traditionally limited DBE participation. Project analysis would
indicate a lower goal for the City of Bakersfield than is
recommended by the Federal Government. The City, however,
continues to set its current goal at the minimum goal set by the
Federal Government of 10%
As the nature of projects, utilizing federal funds change with
increased activity, participation should increase as shown in
Appendix "C". Adjustments reflecting such changes will be made
in response to sustained increases.
Attachment "B"
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DBE LEASING GOALS
CITY OF BAKERSFIELD
This attachment is made part of the City of Bakersfield DBE Program
for 1994-95.
The City of Bakersfield, as sponsor of Bakersfield Municipal Airport,
has calculated leasing goals as per Section 23.5, standards 23.51 and
23.52 on the basis of a percentage of the revenues expected to be
generated by all lessees.
NAME TERMS
GROSS REVENUE DBE REVENUE
KL Aviation 8/3/85/ mo. to mo. 5,400/yr. -0-
C & B Flying
7/19/85/ mo.to mo. 2,400/yr.
-0-
S & S Flight 12/19/91 - 5 years 9,000/yr. -0
Service
The Airpark Galley 7/01/91 - 5 years $ 144,000/yr
& Grill Restaurant
$ 144,000/yr
TOTAL
$ 160,800/yr** $ 144,000/yr
(86.33%)*
The total DBE percentage of 86.33% is representative of the
DBE participation at the airport. This participation is in
excess of the overall City of Bakersfield DBE goal of 10@
percent.
** The amount represents actual gross revenues, not a gross
percentage of the flat monthly fee from the lessees.
K L Aviation and C & B Flying Lease Agreements are short term and do
not contain exclusive clauses.
S & S has a 5 year lease with options to renew for three consecutive
5 years periods.
The Airport Galley & Grill Restaurant has a 5 year lease which
includes an option to renew the lease for 5 additional years.
*The definition Disadvantaged Business Enterprises
included in 49 CFR Section 23.5 applies to funds
granted by the Federal Aviation Administration. The
definition of a Disadvantaged Business in Subpart D
applies to assistance provided by UMTA and FHWA, as
well as the FAA.
Attachment 'D"
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SAMPLE LANGUAGE FOR BID SOLICITATIONS
(49 CFR 23.45(b))
The bidder shall make good faith efforts, as defined in 49 CFR
Part 23, Regulations of the Office of the Secretary of
Transportation,to subcontract 10 percent of the dollar value of
this prime contract to small business concerns owned and
controlled by socially and economically disadvantaged
individuals (DBE). In the event that the bidder for this
solicitation qualifies as a DBE, the contract goal shall be
needed to have been met. Individuals who are rebuttably presumed
to be socially and economically disadvantaged include women,
Blacks, Hispanics, Native Americans, Asian-Pacific Americans,
and Asian-Indian Americans. The apparent successful competitor
will be required to submit information concerning the DBE's that
will participate in this contract. The information will include
the name and address of each DBE, a description of the work to
be performed by each named firm, and the dollar value of the
contract. If the bidder fails to achieve the contract goal
stated herein, it will be required to provide documentation
demonstrating that it made good faith efforts in attempting to
do so. A bid that fails to meet these requirements will be
considered nonresponsive.
Attachment "E"
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