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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)