HomeMy WebLinkAboutRES NO 183-93 183-93
R~SOLUTION NO.
RESOLUTION ADOPTING THE CITY OF BA/~ERFIELD DISADVANTAGED
BUSINESS ENTERPRISE (DBE) PRO~RAM FOR USE ON FEDERALLY FUNDED
HIGHWAY IMPROVEMENT PROJECTS IN CITY OF BAKERFSIELD FOR FISCAL
YEAR 1993-94.
WHEREAS, the Federal Highway Administration issued
regulations on April 27, 1981, regarding the use of minority and
woman-owned businesses on contracts funded with Federal monies; and
WHEREAS, these regulations require that all recipients of
United State Department of Transportation funds develop specific
plans for the use of Disadvantaged Business Enterprise 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, 1993;
BE IT FURTHER RESOLVED that the Public Works Director is
hereby authorized to sign and submit the Program to Caltrans.
......... o0o .........
I HEREBY CERTIFY that the foregoing Resolution was Dassed and
adopted by the Council of the City of Bakersfield at a regular
meeting thereof held on DSC 0 I ~ , by
the following vote:
~YES: COUNC[LMF-US[=R5 UcO~R~O'I'~, EDWARD~,.0,~0, ~41TH, BRUNNt, ROW.ES, ~ALVAGGtO
NOES: COUNCILMEMBERS /~O ~
ABSTAIN: COUHCILMEM~i, ER$ /~'~ ~
ABSENT; COUNCILMEMBERS /~]'? ~ ~-
CITY CLERK AND EX OFFICIO CLERK of
the Council of the City of Bakersfield
DEC 0 .t 1~
APPROVED
BOB PR
MAYOR of the ~ity of Bakersfield
APPROVED as to form:
SKOUSEN ~1
G CITY A~RNEY of the City of Bakersfield
ORIGINAL
BAKERSFIELD DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
CITY OF BAKERSFIELD CALIFORNIA
Policy Statement
It is the policy of the City of Bakersfield to utilize Disad-
vantaged Business Enterprises in all aspects of contracting to
the maximum extent feasible and consistent with law for any
program or facility funded wholly or in part with Federal
Government funds. This policy is fully described in the attached
Bakersfield Disadvantaged Business Enterprise program ("DBE")
which constitutes the City's policy and commitment to sub-
stantially increase Disadvantaged Business participation and
utilization.
The City of Bakersfield, its contractors and subcontractors,
which are the recipients of Federal-aid funds, agree to ensure
that "DBE's" have full opportunity to participate in the
performance of contracts and subcontracts. In this regard,
Bakersfield and all of its contractors will take all reasonable
steps in accordance with 49CFR, Section 23 to insure that DBE's
have full opportunity to compete for and perform contracts.
E. W. SCHULZ ~
Public Works Director ~
Business Manager
1
OR;G;NAL
BAKERSFIELD DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
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 49CFR, Section
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.
2 ~
OR;G)NAL
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 1993-94 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.
III. Procedures to Assure DBE's ODDortunit¥ to Compete
The following actions will be taken by the City of Bakersfield
to help a DBE secure a contract.
Provide information on the sponsor organization and its
range of contractual needs.
Develop a carry out technical assistance program for DBEs
providing information on certification procedures,
subcontracting practices, bonding requirements, bid
specifications, procurement policies, procedures and
general bidding requirements.
Provide assistance to DBEs in overcoming barriers such as
inability to obtain bonding or financing.
Carry out information and communication programs on
contracting opportunities in a timely manner.
Provide detailed instructions on job performance
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
contract specifications.
in the
The City of
Bakersfield contacted the local banks and
3
savings &
ORIGINA£
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.
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 per-
forming 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:
2
' 3
4
5
6
7
8.
Company Name
Type of Contractor
Address
Telephone Number
Owned by Woman, Minority, other DBE
Contact Person
Certified by City, $BA, U.S. DOT
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.
4
The Directory is made available to bidders ~nd 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
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.
VII. 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~%~K~
5
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" 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;
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.
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.
Determinations 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.
OR
However, no firm is considered small if, including its
affiliates, it averages annual gross receipts in excess of
$15,370 million over the previous three fiscal years
(Section 505(d)(2), Airport and Airway Improvement Act of
1982, as Amended). Thus, a general contractor must
"graduate" from the program once its gross receipts exceed
the $15,370 million ceiling, even though the SBA standard
for general contractors is $17 million.
*The Department has stated that the $15,370 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 $15,370
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.
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 $15,370 million ceiling, governs in
size determinations of these contractors.
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 $15,370 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).
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,
XI.
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.
OR~G ~,~L
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.
XII. 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, 1993, is shown on Attachments "B" and "C".
XIII.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 juris-
dictions.
* 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. 1993-94 City of Bakersfield DBE goal
update is shown on Attachment "C" with supporting documentation.
Bid documents for contracts which do not contain specific goals
will contain the following provisions:
(1)
"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."
10
(2)
"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".
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.
XIV. 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 Transporta-
tion 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.
XV.
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 v~4~te~of
0,, ~, ~,~L
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.
XVI. 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.
XVII.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.
XVII1.Countinq 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.
XIX. 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
DBEs.
categories of contracts
12
awarded to
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.
13
CITY OF BAKERSFIELD "CBE" ORGANIZATIftNAL CqART
MANAGER
PUBLIC ~DRKS CIRECTCR
BUSINESS ~,tANAGER
"DBE" LIASC~ OFFICER
STAFF
At tacrtraent "A"
CITY OF BAKERSFIELD
DISADVANTAGED BUSINESS ENTERPRISES
1993-94 OVERALL GOALS
CITY OF BAKERSFIELD
MINORITY POPULATION
FEMALE 54.3%
BLACK 9.7%
HISPANIC 21.7%
OTHER 14.3%
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"
14
0R ~,~,~L
BID TABULATION FOR LOW BIDDER MAY 3, 1993
COLD SURFACE RECYCLING AND RESURFACING
VARIOUS STREETS IN NORTHEAST BAKERSFIELD
BID OPENING DATE: APRIL 30, 1993
ITEM DESCRIPTION
NO.
2 A~JUST SURVEY MONUMENT AND ENCASE MENT
4 ADJUST WATER VALVE BOX
5 COLD PLANE AS=HALT CONCRETE PAVEMENT
6 ROADWAY EXCAVATION
7 FINISHING ROADWAY
19 PAVEMENT M~KJNGS ('~ELLOW)
21 STRIPING (DETAIL g)
29 IPAVEMENT MAR K~=I (R EELECTIVE, TWO-WAY Y~LLOW}
..~.,~., OT-ALS
:~iOTAL PARTICIPATING
~PERCENTAGE DBE
$11,172.00!
s9.57e.ooI
$~ 3,,.~o.oo I I
$1,219,930 $112,763
11.33%
Attachment "C"
OR G,,,!,~ L
BID TABULATION FOR LOW BIDDER APRIl _23, !993
COLD SURFACE RECYCLING AND RESURFACING
VARIOUS STREETS IN SOUTHWEST BAKERSFIELD
BID OPENING DATE: APRIL 9, 1993
ITEM ! DESCRIPTION
~ 32 'TRN=FIC SIGNAL INTERCONNECT
~1~1[~O TAL PARTICIPATING
~PERCENTAGE DBE
24gO EA $3.20
DeE
ITEM
$118,420
11.56%
DBE LEASING GOALS
CITY OF BAKERSFIELD
This attachment is made part of the City of Bakersfield DBE Program
for 1993-94 through 1995-96.
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.
FISCAL YEAR 1993-94
NAME TERMS GROSS REVENUE DBE REVENUE
KL Aviation 8/3/85/ mo. to mo. 5,400/yrs -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. 9,000
Service
The Airpark Galley
& Grill Restaurant
7/01/91 - 5
TOTAL
years
12,000/vr.
28,800/vr**
12,000
21,000/vr
(72.92%)*
FISCAL YEAR 1994-95
NAME TERMS GROSS REVENUE DBE REVENUE
KL Aviation 8/3/85/ mo. to mo. 5,400/yrs -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. 9,000
Service
The Airpark Galley 7/01/91 - 5 years 12,000/vr.
& Grill Restaurant
12,000
TOTAL 28,800/¥r**
21,000/vr
(72.92%)*
FISCAL YEAR 1995-96
NAME TERMS GROSS REVENUE DBE REVENUE
KL Aviation 8/3/85/ mo. to mo. 5,400/yrs -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. 9,000
Service
The Airpark Galley
& Grill Restaurant
7/01/91 - 5 years 12,000/¥r.
TOTAL 28,800/vr**
Attachment "D"
15
12,000
21,000/¥r
(72.92 .j
O~',~,~'!,'~L
The total DBE percentage of 72.9% 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 year 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"
16
SAMPLE LANGUAGE FOR BID SOLICITATIONS
(49 CFR 23.45(b))
The bidder shall make good faith efforts, as defined in Appendix
A or 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"
17
SCHEDULE A
Appendix
INFORMATION FOR DET~.RM!NIHG DISADVANTAGED ~U$IN~$S E.~CF~F3RISE ELIGIBILIT?
If, at any time, the Department or a recipient has reason to believe thac
any person or firm has willfully and ~nowingly provided incorrect
information or made false ~:atements, or acted in a manner prohibited by 49
CFR Part 29, the responsible official shall refer the matter to the General
Counsel of the Department. He/she may initiate proceduree for guapension or
debarment as provided in 49 CFR 29.i7 and/or refer the matter to the
Department of 3ustice under 12 U.S.C. i001, as deemed appropriate.
!. Name of fLrm
2. Address of fi:-~
3. Phone humoar of firm
4. Contact Person
up .... ~ ms]or services/products.
6 Geogrspni:al Area Served:
States
7. Years firm has been
8. Type of o~'nership:
(Check one)
Appendix I
Coun~iee
Partnership
Other (Specify)
Sole
Propr:etorsnin
Schedule A
Pa~e 2 of 6
9. Ownership of firm: Identify those who own 5 percent or more of the
flrm's ownership. Columns (e; and (f) need to be filled out only if one or
more owners is not a socially and economically disadvantaged individuai.
Race
C
Sex
D
Years of
O~nership
E
Ownership
Percentage
PercenK i
if one or more cwn ers is not !isacvantaged, list the contributions of ~rnev,
e~uLmment~ real estate, :Dr expertise o~ sack of .he owner~. ~t.~z~ a
3sparate sheet ~f necessary.)
10. Control of firm: Identify by name, race, sex, and title in the firm
those individuals (including ow~aers and non-owners) who are responsible for
day-to-day management and polic!! decision ma~ing including, but not iimi~ec
to, those with prime responsibility for:
a. Financial Decisions
Management Decisions, SUCh as:
Schedule A
?e~e 3 of 6
(3)
Hiring and F£ring of ~anagement ?ersonnei
c. Supervision of Field Operaclone
II. For each of those [[~ted in number 10, provide a brief summacry of the
per~on'a experience and hUmDer of years with the firm, indicating the
person's quailrice,ions f~r the resoon~ibili:ies given him or her. (Attach
a separate sheet if necessary.)
12. Describe or attach a copy cf any stock options or other ownership
options that are outstanding, an~ any agreement~ between oweacrs or between
owners and third par ties which restrict ownership or control of the
disaevantaged owners. (Attach a separate sheet if necessary.)
Appennix i
Schedule A
Page & o~ 6
13. Identify any owner (see Item 9) or management official (see Item 10) of
the named firm who is or has been an employee of another firm that has an
ownership interest in or a present businees relationship with the named
firm. Present business relationships include shareo spece, equipment,
financing, or employees as well as both firms havLng some of ~he same
!4.
years?
'fear ending
Year ending
Year ending
15. Name of bonding company,
What are the ~ross receipts of the firm for each cf ~he last three
Gross Receipts
Gross Receipts
Gross Receipts
if any:
Bonding Limit:
Source of letters of credit, if any:
16. Are you authorized to do business in the state as well
including all necessary busknees licenses? Yes No
as locally,
Attach one copy of the operating license, if any.
Type of 5us~ness
Appendix
Schedule
Page 5 of
17. Specify the major it:eros of equil~zenc o~med and/or leased by the firm.
£~uipment Orbed
Equipment Leased
Name and Address
of Owner
i8. Has the fi~-m ever avpiied for cr been denied DBE/MME/WBE certification
wi:h the City, Department of ?ran~portation, or eisewnere?
Yes No
Application Pending
if yes, name the certifying autho..~., date, and state cir:'~mstances cf ~ucn
certification or denial.
Schedule A
Page 6 of 6
AFFIDAVIT
"The undersigned eveare thac the foregoing statements are true and correct
and include all material information necessary to identify and explain the
operations of (name of firm) as veil ae the
ownership thereo£. ~urt~er, ~ne un=ersigneo agrees to provide, through the
prime con:factor or, if no prime directly to .the grantee, current, complete,
and accurate information regarding actual work performed on the project, the
payment therefore, and any proposed changes, if any, of the foregoing
arrangements and to permit the audit and examination of books, records, and
files of the named firm. Any materiai misrepresentation wil~ be grounds for
terminating any contract which may be awarded and for initlat~ng action
under Federal and State taws concerning false statements."
Note: If, after filing this Scheduie A and before ~he wor~ of this firn is
~ompieted on the contract covered bv ~his regulation, there in any
~ignificant change in the information suPmi~ted, you must in~arm the grantee
of the change ~hrougn ~he prime contractor or, if no prime contractor.
inform ~he grantee directly.
Signature
Name (Print or Type)
Title
Corporate Seai (where appropriate).
State of
County of
On this -- day of 19__, before me appeared
(name) to me personally known, wno,
being du~y sworn, d~d execu[e the toregoing'affidavit, and did state that he
or she was properly authorized by (name o( firm;
to execute the affidavit and did so as hi~ or her free act ann aee~.
(Sea1)
Notary Public
Commission expires
(This
raged 5usiness enterprises.)
1. Name of joint venture
2. Address of joint venture
3.
&.
must complete Schedule A)
form need not be filled £n if all joint venture
SCHEDULE B
INFORMATION FOR DETERMINING 3OIMT VENTURE ELIGIBILITY
firms are disadvan-
Phone number of joint venture
Identify the firms which comprise the joint venture.
(The DBE partner
a. Describe the role of the DBE firra in the joint venture
b. Describe very briefly the experience and businese qualifications of
each non-DBE joint venture:
5. Nature of joint venture's business
6. Provide a copy of the joint venture agreement.
7. ~at is the claimed peroenta~e of DBE ownership?
8. Ownership of joint venture: (This need not be filled in if described
the joint venture agreement, provided by question 6.)
a. Profit and loss sharing.
b. Capital contributions, including equipment.
o. Other applicable ownership interests.
9. Control of and participation in this contract. Identify by name, race.
sex, and "firm" those individuals (and their titles), who are responsible
for day-to-day mana!ement and policy decision making, inciuding but not
limited to, those with primary res~onsibiiity for:
Appendix
a. Finaoc£a[ Decisions
Schedule B
Page 2 of 3
b. Management Decisions, such as:
(1) 5suima~iu~
(2) Marketing and Sales
Hiring and Firing af Management Personnel
(4) Purchasing of maior items or supplies
c. Supervision of Field Operations
Note: If, after filing :his Schedule B and before the comoietion ~f the
joint venture's work on the contract covered bv this regulation, there is
any s:gnificant change in the infor'mation submitted, the joint venture must
inform the grantee, ezther directly or through the prime contractor if :he
joint venture is a subcontractor.
Affidavit
"The undersigned swear that the foregoing statements are correct and include
all material information necessary to identify and explain the terms and
operation of our joint venture and the intended participatzon by each joint
Venturer in the undertaking. Further, the undersigned covenant and agree :o
provide to the grantee current, comolete, and accurate ~nformation regarding
actual joint venture ~or~ and the payment therelots, and any proposed
changes in any of :he joint venture arrangements an~ to permit the audit an~
examination of the books, records, and files of the joint venture, or those
to each joint venture relevant to the joint venture, by authorized
representatives of the grantee or the Federal funding agency. Any ma~eriai
misrepresentation will be grounds for terminating any contract which may be
awarded for initiating action under Federal or S~ace laws concerning false
Appendix
Schedule
Page 3 of
Name o~ Firm
$1gna[ure Signature
Name Name
TitLe
Date
State of
County of
On this __ day cf !9__, before me appeared
%name; , 5o me personally known, who, being
sworn, did execute the fnre~in~ aff{dav~, and did sta~e that he or she
properly authorized by (name cf fir-m;
to execute the affidavit an= did so as his or ~rer free act ant deen.
Notary Publ:-
Co~-~[ssion Expires
(Seal)
State o~
County of
On this __ day of , 19__, before me appeared
~name~,, to me pereonally known, who, being duly ~worn,
d~n execute the rorego~ng affidavit, and did etate that he or she was
properly authorized by (name o( firm}
to execute the affidavit and did ~o a~ his or her free act ant ~eec.
Notary Public
Co~-~iseion Expires
(Seal)