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HomeMy WebLinkAbout53791 RESOLUTION NO. 5379 A RESOLUTION ADOPTING A MINORITY BUSINESS, DISADVANTAGED BUSINESS AND WOMEN'S BUSINESS ENTERPRISE PLAN REQUIRED AS A CONDITION OF RECEIPT BY THE CITY OF PUEBLO OF FEDERAL FUNDING THROUGH THE UNITED STATES DEPARTMENT OF TRANSPORTATION WHEREAS, the City of Pueblo receives federal funding under the Urban Mass Transportation Act and Surface Transportation Assistance Act at a current annual level of some $600,000; and, WHEREAS, submission of an approved Minority, Disadvantaged and Women's Business Enterprise Plan is a requirement for continuance of such funding; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF PUEBLO, COLORADO, that: The Minority Business Enterprise Plan is hereby adopted and on file with the City Clerk. INTRODUCED May 14 1984 By REIMAR VON KALBEN Councilman APPROVED: v ' Pr6sident of the" City Council ATTEST: City Clerk i MINORITY BUSINESS ENTERPRISE PLAN (REVISED) CITY OF PUEBLO, COLORADO Prepared by: The Urban Transportation Planning Division of The Pueblo Area Council of Governments DRAFT April, 1984 TABLE OF CONTENTS I. General ----------------------------------------- II. Policy Statement ------------------------------- III. Definitions ------------------------------------ IV. Liaison Officer -------------------------------- V. Procedures to Ensure MBE's Have an Equitable Opportunity------------------------------------ VI. MBE Directories -------------------------------- VII. MBE Eligibility /Certification --------------- - -- VIII. Standards of Determination of Social and Economic Disadvantaged ---------------------------------- A) Evidence of Social Disadvantage ------- - - - - -- B) Economic Disadvantaged ---------------------- C) Other Eligibility Requirements -------- - - - - -- IX. Challenge Procedure ---------------------------- A) Third Party Challenges ---------------------- B) Decertification ----------------------- - - - - -- X. Percentage Goals ------------------------- - - - - -- A) Goals --------------------------------------- B) Method of Counting MBE Participation -- - - - - -- XI. Contractors - Procedures and Responsibility - - -- A) Good -Faith Efforts -------------------------- B) Contractor Language ------------------------- C) Contractor Compliance ----------------------- XII. Minority of Women Owned Banks ------------------ XIII. Set Asides ------------------------------- - - - - -- XIV. Transit Vehicle Manufacturers ------------------ XV. Maintenance of Records and Reports ------- - - - - -- XVI. Compliance and Enforcement --------------------- XVII. Appendices A) Schedules A, B and C. B) Resolution C) MBE Utilization D) Reporting Forms E) FY1984 Annual Goals Page No. 1 2 4 7 9 10 11 14 15 15 16 17 17 18 19 19 20 22 22 23 24 25 26 27 28 29 I. GENERAL A. PURPOSE The purpose of this plan is to set forth the objectives for implementation of the Department of Transportation policy of supporting the fullest possible participation of firms owned and controlled by socially and economically disadvantaged individuals, (DBE's) in Department of Transportation programs. This includes assisting DBE's throughout the life of contracts in which they participate. B. APPLICABILITY This part applies to any Urban Mass Transportation Administration of the U.S. Department of Transportation program through which funds are made available to the City of Pueblo, Colorado for accomplishing DOT purposes. This plan will apply to contracts and grants as follows: 1. For funds in excess of $250,000 exclusive of transit vehicle purchases under Section 3, 5, 9, 9a, and 17 of the Urban Mass Transportation Act of 1964, as amended and Federal -Aid Urban Systems. This does not include planning funds under Section 9 and 9a. 2. For funds in excess of $100,000 under Section 6 and 8 of the Urban Mass Transportation Act of 1964, as amended. C. DISCRIMINATION PROHIBITED No persons shall be excluded from participation in, denied the benefits of, or otherwise discriminated against in connection with the award and performance of any contract covered by this part on the grounds of race, color, national origin or sex. -1- II. POLICY STATEMENT MINORITY BUSINESS ENTERPRISE PLAN CITY OF PUEBLO, COLORADO By the authority of the Federal Register - "49 CFR, Part 23," "Participation by Minority Business Enterprises in Department of Transportation Programs," and as elected and appointed officials of the City of Pueblo, Colorado, this policy statement expresses the City's committment to the Minority Business Enterprise Program to carry out the U.S. Department of Transportation's policy of supporting the fullest possible participation of firms owned and controlled by socially and economically disadvantaged individuals. This policy statement shall be circulated throughout the City of Pueblo and to minority, female, and nonminority community and business organizations. To this end, the City Council of the City of Pueblo, Colorado has appointed the Transportation Coordinator of the City of Pueblo to be the reponsible official to administer and enforce the plan. Policy Objectives [a] To insure that MBE's have an equitable opportunity to compete for contracts and subcontracts. [b] To publish a comprehensive MBE Directory to facilitate identifying MBE's with capabilities relevant to DOT contracting requirements and to particular solicitation. [c] Acertain eligibility of MBE's and joint ventures involving MBE's to insure that MBE program benefits only firms owned and controlled by minorities and women. [d] To establish reasonable percentage goals for the dollar value or work to be awarded to MBE's. Both overall annual goals for the MBE program and contract goals for specific prime contracts with subcontracting possibilities shall be established. -2- [e] To establish solicition, award and contract administration procedures that will insure either that goals are met or that sufficient reasonable efforts are taken to meet goals. ,A2 M e Sal r i o President of City Council Da te: Jl�__A- _._ / d4 ohn Bramble, City Manager 1 � Ma an D. Me d, City Clerk =19 III. DEFINITIONS 1. Act means the Surface Transportation Assistance Act of 1982. 2. Affirmative Action means taking specific steps to eliminate discrimination and its effects to ensure nondiscriminatory results and practices in the future and to involve disadvantaged business enterprises in contracts and programs funded by the Department. 3. Applicant means one who submits an application request or plan to be approved by a Department official or by a primary recipient as a condition to eligibility for DOT financial assistance; and "application" means such an application request or plan. 4. Compliance means the conditions existing when a recipient or contractor has met and implemented the requirements of this part. 5. Contract means the mutually binding legal relationship or any modification thereof obiligating the seller to furnish supplies or services including construction and the buyer to pay for them. For purposes of this part a lease is a contract. F. Contractor means one who participates through a contract or subcontract in any program covered by this part and included lessees. 7. Department of DOT means the Department of Transportation including its Urban Mass Transportation Administration. 8. Disadvantage Business means a small business concern: (a) Which is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or, in the case of a publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantated individuals; and (b) whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. 9. DOT- Assisted Contract means any contract or modification of a contract between a recipient and a contractor which is paid for in whole or in part with DOT financial assistance or any contract or modification of a contract between a recipient and a lessee. 10. DOT Financial Assistance means financial aid provided by the Department to a recipient but does not include a direct contract. The financial aid may be provided directly in the form of actual money, or indirectly in the form of guarantees authorized by statute as financial assistance services of Federal personnel title or other interest in real or personal property transferred for less than fair market value of any other arrangement through which the recipient benefits financially including licenses for the construction or operation of Deep Water Port. -4- 11. Department of Element means the following part of DOT: a. The Urban Mass Transportation Administration (UMTA). 12. Joint Venture means an association of two or more businesses to carry out a single business enterprise for profit for which purpose they combine their property, capital, efforts, skills and knowledge. 13. Lessee means a business or person that leases, or is negotiating to lease property from a recipient or the Department on the recipient's or Department's facility for the purpose of operating a transportation - related activity or for the provision of goods or services to the facility or to the public on the facility. 14. MBE Coordinator means the official designated by the head of the Department element to have overall responsibility for promotion of disadvantaged business enterprise in his /her Department element. 15. Noncompliance means the condition existing when a recipient or contractor has failed to implement the requirements of this part. 16. Primary recipien is a recipient who receives DOT financial assistance and passes some or all of this assistance on to another recipient. 17. Program means any undertaking by a recipient to use DOT financial assistance, and includes the entire activity any part of which received DOT financial assistance. 18. Recipient means any entity, public or private, to who DOT financial assistance is extended; directly or through another recipient for any program. 19. Secretary means the Secretary of Transportation or any person who he /she has designated to act for him /her. 20. Set Aside means a technique which limits consideration of bids for proposals to those submitted by DBE. 21. Small business concern means a small business as defined pursuant to Section 3 of the Small Business Act and regulations promulgated pursuant thereto. 22. Socially and economically di sadvantaged individuals means those individuals who are citizens of the United States (or lawfully admitted permanent residents) and who are Black Americans, Hispanic Americans, Native Americans, Asian - Pacific Americans, or Asian - Indian Americans and any other minorities or individuals found to be disadvantaged by the Small Business Administration pursuant to Section 8[a] of the Small BusinessAct. Recipients shall make a rebuttable presumption that -5- individuals in the following groups are socially and economically disadvantaged. It may also be determined, on a case -by -case basis, that individuals who are not a member of one of the following groups are socially and economically disadvanaged. [a] "Black American ", which includes persons having origins in any of the Black racial groups of Africa; [b] "Hispanic American ", which includes persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race; [c] "Native American ", which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; [d] "Asian- Pacific Americans ", which includes persons whose origins are from Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samora, Guam, the U.S. Trust Territories of the Pacific, and the Northern Marianas; and [e] "Asian- Indian Americans ", which includes persons whose origins are from India, Pakistan, and Bangladesh. -ti- IV. LIAISON OFFICER 2. MBE Liaison /Coordinator Officer The Transportation Coordinator, Mr. Eric L. Bracke, of the City of Pueblo's Department of Transportation has been designated the MBE Liaison Officer. The MBE Liaison Officer shall report directly to the Director of the Pueblo Department of Transportation, Harold E. Bastin, who in turn reports directly to the Pueblo City Manager, John Bramble. The Transportation Coordinator has been granted full authority and responsibility for developing, managing and implementing the MBE program on a day to day basis; and for disseminating information on available business opportunities so that MBE's are provided an EQUITABLE opportunity to bid on the applicant's contracts. The MBE Coordinator: - Maintains a current registry of minority businesses qualified or qualifiable to perform as contractors and subcontractors. - Submits to minority contractors formal "Invitations to Bid" on projects, goods and services as they become available. - Encourages bid solicition from MBEs; establish sufficient lead -time from the "request for bid" date to the date of bid opening with a 20 day spread being the minimum. - Advertises "Invitations to Bid" in various minority and female news media. - Meets with contractors, subcontractors and community action groups to discuss procedures and policies with regard to Minority Business Enterprise. - Participates in pre -award and pre - construction conferences to outline and review requirements and responsibilities of contractors as they relate to participation in federally funded projects. - Distributes list of minority businesses to construction contractors at pre -award and pre- construction conferences. - Provides assistance to MBEs in overcoming barriers such as the inability to obtain bonding, financing or technical assistance. - Provides information concerning insurance and bonding necessary to carry out City projects for both potential and actual contractors and subcontractors. -7- Monitors purchasing activities and initiates steps to modify purchasing regulations as required to achieve MBE goals and objectives. Where allowable, encourages prime contractors to waive separate subcontractors bonding /insurance requirements. Assures the legitimacy of MBEs for participation as bidders, in partnerships and joint ventures. This procedure complies with instructions of 49 CFR, Part 23. Convenes seminars for small businesses and minority businesses on a semi - annual basis to discuss MBE requirements and respond to questions and concerns. Maintain records indicating special efforts used to identify and award contracts to MBEs. Tracks MBE participation until work is completed and final payment made. Prepares quarterly MBE reports and other forms, as required, by UMTA. Makes available to UMTA pertinent records and reports, as required. Shall ensure that appropriate staff are familiar with the requirements of 49 CFR Part 23 and the City's MBE plan. The Director of Pueblo Department of Transportation shall meet periodically with the MBE Coordinator to: (1) review implementation of the Plan, (2) ascertain the progress and achievements of the program, (3) identify problems and /or deficiencies, and (4) make recommendations to the City Council concerning changes and improvements in the program. IM V. PROCEDURES TO ENSURE MBE'S HAVE AN EQUITABLE OPPORTUNITY In addition to the procedures listed in Section IV - Liaison Officer, the City of Pueblo shall implement the following procedures to ensure MBE maximum opportunity: 1. Provide to MBE's projected procurement information or contracting schedules. 2. Allow MBE's to review and evaluate successful bids and /or documents of similar procurements. 3. Use briefing sessions to explain why certain bids or proposals were successful or unsuccessful. 4. Provide instruction on job performance requirements. 5. Identify bidders and proposers to MBE community in a timely manner. VI. MBE DIRECTORIES The City of Pueblo will maintain a current MBE vendor file with information as to date of certification, type of business, and business size. The existing City of Pueblo MBE Directory of contractors and subcontractors will be revised when needed. In addition, the City of Pueblo will utilize national, State and local resources, such as the Minority Contractors Directory, Program Management Centers, SBA's Minority Business Development Centers, Directory of Minority and Women -Owned Architectural and Engineering Firms. The MBE Coordinator will share these directories and resources with all contractors and any other agency upon request for their use in soliciting bids from MBE subcontractors. -10- VII. MBE ELIGIBILITY /CERTIFICATION The City of Pueblo shall use Schedules A, B, and C (Appendix 1) to certify firms for participation as MBE in projects and /or procurements. The schedule shall be signed and notarized. MBE's or prime contractors shall submit the required schedule with the bid or proposal. The following standards shall be used by the City of Pueblo indetermining whether a firm is owned and controlled by one or more socially and economically disadvantaged individuals or women and whether it shall be eligible to be certified. 1. The City of Pueblo presumes that bona fide disadvantaged group membership as a Black American, Hispanic American, Native American Indian, Asian - Indian American constitutes social and economic disadvantage. Persons certified under Section 8[a] of the Small Business Act are also defined as socially and economically disadvantaged. 2. Bona fide disadvantaged group membership shall be established on the basis of the individual's claim that he or she is a member of a disadvantaged group and is so regarded by that particular disadvantaged community. However, the City of Pueblo is not required to accept this claim if it determines the claim to be invalid. 3. An eligible DBE or WBE under this part shall be an independent business. The ownership and control by socially and economically disadvantaged individuals or women shall be real, substantial and continuing and shall go beyond the pro forma ownership of the firm as reflected in its ownership documents. The disadvantaged or women owners shall enjoy the customary incidents of ownership and shall share in the risks and profits comensurate 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 disadvantaged or women's business. In determining whether an applicant is an independent business, the City of Pueblo shall consider 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 - disadvantaged firms vary from industry practice. 4. The disadvantaged or women owners shall also possess the power to direct or cause the direction of the management and policies of the firms and to make day -to -day as well as major decisions on matters of management, policy, and operations. The firm shall not be subject to any formal or informal restrictions which limit the customary discretion -11- of the disadvantaged or women owners. There shall be no restrictions through, for example, bylaw provisions, partnership agreements, or charter requirements for cumulative voting rights or otherwise that prevent the disadvantaged or women owners, without the cooperation or vote of an owner who is not disadvantaged or a woman, from making a business decision of the firm. 5. If the owners of the firm who are not disadvantaged individuals or women are disproportionately responsible for the operation of the firm, then the firm is not controlled by disadvantage persons or women and shall not be considered a DBE or WBE within the meaning of this part. Where the actual management of the firm is contracted out to individuals other than the owner, those persons who have the ultimate power to hire and fire the managers can, for the purposes of this part, be considered as controlling the business. 6. All securities which constitute ownership and /or control of a corporation for purpose of establishing it as a DBE or WBE under this part shall be held directly by disadvantaged persons or women. No securities held in trust, or by any guardian for a minor shall be considered as held by disadvantaged persons or women in determining the ownership or control of a corporation. 7. The contributions of capital or expertise by the disadvantaged or women owners to acquire their interests in the firm shall be real and substantial. Examples of insufficient contributions include a promise to contribute capital, a note payable to the firm or its owner who are not socially and economically disadvantaged, or the mere participation as an employee rather than as a manager. In addition to the above standards, the City of Pueblo will give special consideration to the following circumstances in determining eligibility under this part. [a] Newly formed firms and firms whose ownership and/ or control has recently changed are closely scrutinized to determine the reasons for the timing of the formation of or change in the firm. [b] A previous and /or continuing employer- employee relationship between or among present owners or owners' family members is carefully reviewed to ensure that the employee -owner has management responsibilities and capabilities discussed in this section. -12- [c] Any relationship between a DBE or WBE and another business which is not a DBE or WBE which has an interest in the DBE /WBE is carefully reviewed to determine if the interest of the other business conflicts with the ownership and control requirements of this section. A joint venture is eligible under this part if the DBE /WBE partner of the joint venture meets the standards for an eligible DBE /WBE set forth above and the DBE /WBE partner is responsible for a clearly defined portion of the work to be performed and shares in the ownership, control, management responsibilities, risks and profits of the joint venture. A business wishing to be certified as a DBE /WBE or joint venture by the Department shall cooperate with the City of Pueblo in supplying additional information which may be requested in order to make a determination. Other small business concerns may be certified as disadvantaged businesses if the individuals owning and controlling such firms are determined by the City of Pueblo to be socially and economically disadvantaged. Once certified, a MBE shall update its submission with a new MBE form when any time there is a change in ownership or control of the firm. -13- VIII. STANDARDS OF DETERMINATION OF SOCIAL AND ECONOMIC DISADVANTAGED The following standards will be used by the City of Pueblo in: [a] Cases where the individual(s) have made application for certification as a Disadvantaged Business Enterprise and the individual(s) are not members of any of the minority groups enumerated in the definition of "socially and economically disadvantaged individuals," or [b] Cases where a third party has challenged the eligibility of individuals who have been certified by the City of Pueblo or who have requested such certification, or [c] Cases where a City of Pueblo field audit of a firm's DBE or WBE certification has revealed new or previously undisclosed information relating to the social and economic disadvantage of the owner(s). In making determination of social and economic disadvantage, the City of Pueblo will be guided by the following standards: [a] The individual's social disadvantage must stem from his or her color, national origin , gender, physical handicap, long -term residence in an environment isolated from the mainstream of American society, or other similar cause beyond the individual's control. The individual cannot establish social disadvantage on the basis of factors which are common to small business persons who are not socially disadvantaged. [b] The individual must demonstrate that he or she has personally suffered social disadvantage, not merely claim membership in non - designated groups which could be considered socially disadvantaged. In assessing such facts, the City of Pueblo will consider prior administrative or judicial findings of discrimination experienced by the individual. Such findings, however, are not necessarily conclusive evidence of an individual's social disadvantage; nor are they a prerequisite for establishing social disadvantaged. [c] The individual's social disadvantage must be rooted in treatment which he or she has experienced in American society, not in other countries. [d] The individual's social disadvantage must be chronic, long- standing, and substantial, not fleeting or insignificant. Typically, a number of incidents illustrating a person's social disadvantaged, occurring over a substantial period of time, would be necessary to make a successful claim. -14- [e] The individual's social disadvantaged must have negatively affected his or her entry into, and /or advancement in, the business world. A. EVIDENCE OF SOCIAL DISADVANTAGE The City of Pueblo will accept any relevant evidence in support of an individual's claim of social disadvantage. In addition to a personal statement from the individual claiming to be socially disadvantaged, such evidence may include, but is not limited to: third party statements; copies of administrative or judicial findings of discrimination; and other documentation in support of matters discussed in the personal statement. The City of Pueblo will particularly consider and place emphasis on the following experiences of the individual, where relevant; education, employment, and business history. However, the individual may present evidence relating to other matters as well. [1] Education: The City of Pueblo will consider, as evidence of an individual's social disadvantage, denial of equal access to business or professional schools; denial of equal access to curricula; exclusion from social and professional association with students and teachers; denial of education honors; social patterns or pressures which have discouraged the individual from pursuing a professional or business education; and other similar factors. [2] Employment: The City of Pueblo will consider, as evidence of an individual's social disadvantage, discrimination in hiring; discrimination in promotions and other aspects of professional advancement; discrimination other terms and conditions of employment; retaliatory behavior by an employer; social patterns or pressures which have channeled the individual into non - professional or non - busines fields; and other similar factors. [3] Business History: The City of Pueblo will consider, as evidence of an individual's social disadvantage, unequal access to credit or capital; acquistion of credit under unfavorable circumstances; discrimination in receipt (award and /or bid) of government contracts; discrimination by potential clients; exclusion from business or professional organizations; and other similar factors which have retarded the individual's business development. -15- B. ECONOMIC DISADVANTAGE The City of Pueblo will make a determination of social disadvantage before proceeding to make a determination of economic disadvantage. As a general rule, economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities, as compared to others in the same or similar line of business and competitive market area who are not socially disadvantaged. In determining the degree of diminished credit and capital opportunities of a socially disadvantaged individual, consideration will be given to both the disadvantaged individual and the applicant firm with which he or she is affiliated. The test is disadvantaged as compared to bueinss owners who are not socially disadvantaged individuals and firms owned by such individuals. It is the responsibility of applicant firms and their owners to provide information to the City of Pueblo about their economic situation when they seek eligibility as disadvantaged businesses. The City of Pueblo will make a basic judgement about whether the applicant firm and its socially disadvantaged owner(s) are in a more difficult economic situation than most firms (including established firms) and owners who are not socially disadvantaged. C. OTHER ELIGIBILITY CONSIDERATIONS It is very important for applicants to realize that making a determination of social and eocnomic disadvantage, standing alone, does not mean that a firm is eligible. The City of Pueblo must also determine that the firm is 51 percent owned by socially and economically disadvantaged individuals and that these individuals control the firm. -16- IX. CHALLENGE PROCEDURE A. THIRD PARTY CHALLENGES 1. Any third party may challenge the socially and economically disadvantaged status of any individual (except an individual who has a current 8[a] certification from the Small Business Administration) presumed to be socially and economically disadvantaged if that individual is an owner of a firm certified by or seeking certification from the City of Pueblo as a disadvantaged business. The challenge shall be made in writing to the City of Pueblo. 2. With its letter, the challenging party shall include all information available to it relevant to a determiniation, of whether the challenged party is in fact socially and economically disadvantaged. 3. The City of Pueblo shall determine, on the basis of the information provided by the challenging party, whether there is reason to believe that the challenged party is in fact not socially and economically disadvantaged. a] If the City of Pueblo determines that there is not reason to believe that the challenged party is not socially and economically disadvantaged the City of Pueblo shall inform the challenging party in writing. This terminates the proceeding. b] If the City of Pueblo determines that there is reason to believe that the challenged party is not socially and economically disadvantaged, the City of Pueblo shall begin a proceeding as provided in paragraphs [4], [5], and [6] of this section. 4. The City of Pueblo shall notify the challenged party in writing that his or her status as a socially and economically disadvantaged individual has been challenged. The notice shall identify the challenging party and summarize the grounds for the challenge. The notice shall also require the challenged party to provide to the recipient, within a reasonable time, information sufficient to permit the recipient to evaluate his or her status as a socially and economically disadvantaged individual. 5. The City of Pueblo shall evaluate the information available to it and make a proposed determination of the social and economic disadvantage of the challenged party. The City of Pueblo shall notify both parties of this proposed determination in writing, setting forth the reasons for its proposal. The City of Pueblo shall provide an opportunity to the parties for an informal hearing, at which they can respond to this proposed determination in writing and in person. -17- 6. Following the informal hearing, the City of Pueblo shall make a final determination. The City of Pueblo shall inform the parties in writing of the final determination, setting forth the reasons for its decision. The City of Pueblo will also inform the parties of their right to appeal the decision to the U.S. DOT. 7. In making the determinations called for in the above paragraphs the City of Pueblo shall use the standards set forth in Part VIII. 8. During the pendancy of a challenge under this section, the presumption that the challenge party is a socially and economicblly disadvantaged individual shall remain in effect. B. DECERTIFICATION The City of Pueblo may also decertify a previously certified minority or women's business. This decertification process will be based on field audits of minority or women's businessess or other information which indicate one or more of the following conditions exist: 1. The business is not, in fact, owned or controlled by minorities or women. 2. Misstatements or misrepresentations are found to have been made on Schedule A, B, C or on supporting documents which accompany Schedule A or B . 3. Unreported or unacceptable changes in ownership or control of the firm have been made since the original certification. Upon a finding by the City of Pueblo that a firm is no longer eligible for certification as a minority or women's business, the City of Pueblo will notify the firm in writing of its intention to revoke certification. Such notification will include an explanation of the reasons for this decision. The firm will also be notified of its opportunity to request an informal hearing relative to the finding and determination. Failure of the business to request a hearing within ten (10) days will be viewed as concurrence in the City of Pueblo's decision. A final decision regarding decertification will be made within five (5) days of the informal hearing or within fifteen (15) days of the first written notification if there has been no response. The final decision will be in writing and effective upon issuance. A copy of the final decision will be provided to the affected firm, appropriate Department and U.S. DOT officials, affected prime contractors, contractors associations, and others as deemed necessary. A firm that has been decertified will also be informed of its right to appeal the decision to the Secretary, U.S. DOT per 49 CFR Part 23, Section 23.55 - Appeals of Denials of Certification as an MBE. X. PERCENTAGE GOALS A. GOALS The City of Pueblo will establish two (2) types of MBE goals: 1. Overall annual DBE /WBE goals for its entire MBE program for a specified period of time for a specific project, and 2. Contract goals on each specific prime contract with subcontracting possibilities, which the bidder or proposer must meet or exceed or demonstrate that it could not meet despite its best efforts. At the time the City of Pueblo submits its overall goals to the Department for approval, the City shall publish a notice announcing these goals, informing the public that the goals and descriptions of how they were selected are available for inspection during normal business hours at the City Clerk's office for 30 days following the date of the notice and that the Department and City will accept comments on the goals for a period of 45 days from the date of the notice. The notice shall include addresses to which comments may be sent, and shall be published in general circulation media and available minority focus media and trade association publications and shall state that comments are for informational purposes only. The City shall meet separate overall and contract goals for firms owned and controlled by socially and economically disadvantaged individuals and firms owned and controlled by women. The City shall consider the following factors in setting overall goals: 1. Overall goals shall be based on projections of the number and type of contracts to be awarded and the number and types of DBE's likely to be available to compete for contracts from the City over the period during which the goals will be in effect. 2. Overall goals shall also be based on past results of the applicants /City's efforts to contract with DBEs and the reasons for the high or low level of those results. The City shall review the overall goals at least annually. The review process shall analyze projected versus actual DBE participation during the previous year. Revisions of the overall goals shall be made based on the analysis and submitted to the Department by August 1 of each year. Goals shall be set for specific contracts based on the known availability of qualified MBEs. The City shall seek DBE's in the same geographic area in which they seek contractors or subcontractors generally for a given solicitions and if necessary as part of its efforts to meet the goal shall expand its search to a reasonable wider geographic area. The resolution adopting the overall goals is found in Appendix B. B. METHOD OF COUNTING MBE PARTICIPATION 1. All MBEs are subject to the certification procedure prior to the award of contract. In order to facilitate this process it is advisable for the bidder to furnish names or purposed MBEs to the MBE Liaison Officer, the total dollar value of the contract awarded to the MBE is counted toward the applicable DBE goals. 2. The total dollar value of a contract to an MBE owned and controlled by both minority males and nonminority female is counted toward the goals for minorities and women, respectively, in proportion to the percentage of ownership and control of each group in the business. The total dollar value of a contract with an MBE owned and controlled by minority women is counted toward either the minority goal or the goal for women, but not to both. The bidder employing the firm may choose the goal to which the contract value is applied. 3. The bidder may count toward its MBE goal a portion of the total dollar value of a contract with a joint venture eligible under the standards described above equal to the percentage of the ownership and controls of the MBE partner in the joint venture. 4. [a] The bidder may count toward its MBE goal only expenditures to MBE's that perform a commercially useful function in the work of a contract. An MBE is considered to perform a commercially useful function when it is responsible for execution of a distinct element of the work of managing and supervising the work involved. To determine whether bidder shall evaluate the amount of work subcontracted, industry practices and other relevant factors will be utilized. [b] Consistent with normal industry practices, a MBE may not enter into subcontracts a significantly greater portion of the work of the contract than would be expected on the basis of normal industry practices. In occurances of the foregoing the MBE shall be presumed not be performing a commercially useful function. The MBE may present evidence to rebut this presumption to the MBE Liaison Officer. The same decision on the rebuttal of this presumption is subject to review by the Department of Transportation. 5. The bidder may count toward its MBE goals expenditures for materials and supplies obtained from DBE suppliers and manufacturers, provided that the DBEs assume the actual and contractual responsibility for the provision of the materials and supplies. [a] The bidder may count its entire expenditures to an MBE manufacturer (i.e., supplier that produces goods from raw materials or substantially alters them before resales). [b] The bidder may count 20 percent of its expenditures to MBE suppliers that are not manufacturers, provided that the MBE supplier performs a commercially useful function in the supply process. -20- h. The contractor is advised that failure to carry out the requirements set forth in the applicable Federal Reegulations shall constitute a breach of contract and, after the notification of the City of Pueblo, may result in termination of the agreement or contract by the City of Pueblo or such remedy as the MBE Liaison Officer deems appropriate. 7. A MBE Liaison Officer must be designated by the Contractor to be responsible for implementation of the Contractors MBE Program. The name and qualification (resume) are to accompany the bid. 8. See Appendix C for more details on counting MBE participation. -21- XI. CONTRACTORS- PROCEDURES AND RESPONSIBILITY For all contracts for which contract goals are established, the City of Pueblo will, in the solicitation, inform competitors that the apparent successful competitor will be required to submit MBE participation information to the City of Pueblo in accordance with the requirements established by the City of Pueblo. The apparent successful competitor's submission will include the following information. 1. The names and addresses of MBE firms that will participate in the contract. 2. A description of work each named MBE firm will perform. 3. The dollar amount of participation by each named MBE firm. If the MBE participation submitted does not meet the City of Pueblo MBE contract goals, the apparent successful competitor shall satisfy the City of Pueblo that the competitor has made good faith efforts to meet the goals, by completing the Certification of Good Faith Efforts. A. GOOD FAITH EFFORTS The following factors are used to make determination of good faith efforts by a contractor: 1. Whether the contractor attended any pre - solicition or pre - bid meetings that were scheduled by the recipient to inform MBEs of contracting and subcontracting opportunities. 2. Whether the contractor advertised in general circulation, trade association, and minority -focus media concerning the subcontracting opportunities. 3. Whether the contractor provided written notice to a reasonable number of specific MBEs that their interest in the contract was being solicited, in sufficient time to allow the MBEs to participate effectively. 4. Whether the contractor followed up initial solicitations of interest by contracting MBEs to determine with certainty whether the MBEs were interested. 5. Whether the contractor selected portions of the work to be performed by MBEs in order to increase the likelihood of meeting the MBE goals (including, where appropriate, breaking down contracts into economically feasible units to facilitate MBE participation). -22- 6. Whether the contractor provided interested MBEs with adquate information about the plans, specifications and requirements of the contract. 7. Whether the contractor negotiated in good faith with interested MBEs not rejecting MBEs unqualified without sound reasons based on a thorough investigation of their specifications. 8. Whether the contractor made efforts to assist interested MBEs in obtaining bonding, lines of credit, or insurance required by the recipients or contractor, and 9. Whether the contractor effectively used the services of available minority community organizations: minority contractors' groups; local, state and federal minority business assistance offices; and other organizations that provide assistance in the recruitment and placement of MBEs. The MBE Coordinator will review the data submitted under this section, to determine whether the MBE requirements have been satisfied through good faith efforts. B. CONTRACTOR LANGUAGE The City of Pueblo will include the following paragraphs in agreements between the City of Pueblo and any subrecipient, and in all subsequent UMTA assisted contracts and subcontracts: (Copy of contract(s) is shown in Appendix C). 1. "Policy. It is the policy of the Department of Transportation that minority business enterprises are defined in 49 CFR 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 MBE requirements of 49 CFR Part 23 apply to this agreement." 2. "MBE Obligation. The City of Pueblo or its contractor agrees to ensure that minority business enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard the City of Pueblo and its subrecipients, contractors, and subcontractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure that minority business enterprises have the maximum opportunity to compete for and perform contracts. The City of Pueblo and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of DOT- assisted contracts." -23- The City of Pueblo MBE Plan is hereby incorporated by reference. This program shall be treated as a legal obligation and failure to carry out the MBE program requirements shall be treated as a violation of this financial agreement, and may result in termination of the agreement or contracts, or such remedy as the City of Pueblo deems appropriate. C. CONTRACTOR COMPLIANCE The City of Pueblo shall require all contractors to submit MBE participation and award of the contract shall be conditioned upon satisfaction of the requirements. The apparent successful competitor's submission shall include the following information: 1. The names and addresses of MBE firms that will participate in the contract. 2. A description of the work each named MBE firm will perform. 3. The dollar amount of participation by each named MBE firm. If the apparent successful competitor does not meet the specified goals, he /she will submit the required documentation of good faith effort within five days after bids have been opened. -2.4- XII. MINORITY OR WOMEN OWNED BANKS To date no minority or women owned banks are located in the State of Colorado. If the City of Pueblo locates a minority or women owned bank, all efforts will be made to utilize their services. -25- XIII. SET ASIDES It has been determined that current State and local law preclude the use of set - asides since the lowest and most responsive bid must be accepted. This conclusion is based on Section 7 -29 of the Charter of the City of Pueblo and Section 31 -15 -712 C.R.S. -26- XIV. TRANSIT VEHICLE MANUFACTURERS (TVM) The City of Pueblo agrees to require each transit vehicle manufacturer, as a condition to being authorized to bid on transit vehicle procurements in which UMTA funds are utilized, a certification that it has complied with the requirements of 49 CFR Part 23, Section 23.67, and in accordance it has submitted to UMTA annual percentage overall goals for DBE /WBE, and to date these goals have not been disapproved. -27- XV. MAINTENANCE OF RECORDS AND REPORTS The City of Pueblo, in order to monitor the progress of its MBE program shall develop a record keeping system which will identify and assess MBE contract awards, prime contractors' progress in achieving MBE subcontract goals and other MBE affirmative actions efforts. The City shall maintain records showing: 1. Procedures which have been adopted to comply with the requirements; 2. Awards to MBEs. These awards shall be measured against projected MBE awards or MBE goals. To assist in this effort, the City shall obtain regular reports from prime contractors on their progress in meeting contractual MBE obligations; 3. Specific efforts to identify and award contracts to MBEs; 4. Records shall be available upon the request of an authorized officer or employee of the government; and 5. The City shall submit reports conforming in frequency and format to existing contract reporting requirements of the applicable departmental element. Where no such contract reporting requirement exist, MBE reports shall be submitted quarterly. These reports shall include as a minimum: [a] The number of contracts awarded to MBEs; [b] Description of the general categories of contracts awarded to MBEs; [c] The UMTA dollar value of contracts awarded to MBEs; [d] The percentage of the dollar value of all contracts awarded during this period which were awarded to MBEs; and [e] Indication of whether and the extent of which the percentage met or exceeded the goals specified in the application. The records and reports required by this section provide information relating to firms owned and controlled by DBE's spearately from information relating to firms owned and controlled by women. If records and reports include any contractors that are not DBE and women, information concerning these contractors shall also be recorded and reported separately. Quarterly report forms are found in Appendix D. CKM XVI. COMPLIANCE AND ENFORCEMENT A. COMPLAINTS Any person who believes himself or herself, another person or any specific class of individuals to be subjected to a violation of this policy may file a complaint in writing, signed and dated with the Department. The complaint shall be filed no later than 180 days after the date of an alleged violation or the dates on which continuing course of conduct in violation of this policy was disclosed. No recipient, contractor or other person shall intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by this part orbecause he or she made a complaint, testified, assisted or participated in any manner in an investigation, proceeding or hearing under this part. The identity of complaints shall be kept confidential at their election during the conduct of any investigation, proceeding or hearing under this part. But when such confidentiallity is likely to hinder the investigation, the complainant shall be advised for the purpose of waiving the privilege. B. COMPLIANCE REVIEWS All compliance reviews conducted after financial assistance has been approved or contracts have been awarded begin with a desk audit. The desk audit is a review of all material and information concerning the City's DBE performance. An on site review includes interviews, visits to projects or facility sites receiving DOT funds and inspection of any statistical or documentary materials relevant to the City's performance which were not available during the desk audit. The City shall cooperate fully with these reviews. Failure or refusal to furnish requested information or failure to cooperate is a violation of this part. -29- APPENDIX A Certification Forms -A -1- Schedule A - Information for Determining Disadvantaged Business Enterprise Eligibility 1. Name of Firm 2. Address of Firm 3. Phone Number of Firm 4. Indicate whether firm is sole proprietorship, partnership, joint venture, corporation or other business entity (please specify) 5. Nature of firm's business 6. Years firm has been in business 7. Ownership of firm: Identify those who own 5 percent or more of the firm's ownership. Columns e and f need be filled out only if the firm is less than 100 percent minority owned. a b c d e f Name Race Sex Years of Ownership Voting Ownership percentage percentage With firms less than 100 percent minority owned,list the contributions of money, equipment, real estate, or expertise of each of the owners. 8. Control of firm: [a] Identify by name, race, sex, and title in the firm those individuals (including owners and nonowners) who are responsible for day -to -day management and policy decisionmaking, including but not limited to, those with prime responsibility for: (1) Financial decisions (2) Management decisions, such as - a. Estimating b. Marketing and sales C. Hiring and firing of management personnel d. Purchase of major items or supplies (3) Supervision of field operations 9. For each of those listed in question 8, provide a brief summary of the person's experience and number of years with the firm, indicating the person's qualifica- tions for the responsibilities given him or her. 10. Describe or attach a copy of any stock options or other ownership options that are outstanding, and any agreement between owners or and third parties which restrict ownership or control of minority owners. 11. Identify any owner (see item 7) or management official (see item 8) of the named firm who is or has been an employee of another firm that has an ownership in or a present business relationship with the name firm. Present business relationships include shared space, equipment, financing, or employees as well as both firms having some of the same owners. low Imi 12. What are the gross receipts of the firm of each of the last two years? Year ending Year ending 13. Name of bonding company, if any: Bonding limit: Source of letters of credit, if any: 14. Are you authorized to do business in the State as well as locally, including all necessary business licenses? 15. Indicate if this firm or other firms with any of the same officers have previously received or been denied certification or participation as an DBE and describe the circumstances. Indicate the name of the certifying authority and the date of such certification or denial. Affidavit "The undersigned swears that the foregoing statements are true and correct and include all material information necessary to identify and explain the operation of (name of firm) as well as the ownership thereof. Further, the undersigned agrees to provide through the prime contractor or, if no prime, directly to the grantee i current, complete and accurate information regarding actual work performed on the project, the payment thereof and any proposed changes, if any, of audit and examination of books, records and files of the named firm. Any material misrepresentation will be grounds for terminating any contract which may be awarded and for initiating action under Federal or State law concerning false statements." Note - If, after filing this Schedule A and before the work of this firm is completed on the contract covered by this regulation, there is any significant change in the information submitted, you must inform the grantee of the change through the prime contractor, if no prime contractor, inform the grantee directly. Signature Name Title Date Corporate Seal [where appropriate] Date State of County of On this day of , 19 _, before me appeared [Name] , to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by [Name of firm] to execute the affidavit and did so as his or her free act and deed. [Seal] Notary Public Commission Expires Schedule B- Information For Determining Joint Venture Eligibility (This form need not be filled in if all joint venture firms are minority owned) 1. Name of joint venture 2. Address of joint venture 3. Phone number of joint venture 4. Identify the firms which comprise the joint venture. (The DBE partner must complete Schedule A) (a) Describe the role of the DBE firm in the joint venture (b) Describe very briefly the experience and business qualifications of each non -DBE joint venture 5. Nature of the joint venture's business 6. Provide a copy of the joint venture agreement. 7. What is the claimed percentage of DBE ownership? 8. Ownership of joint venture. (This need not be filled in if described in the joint venture agreement, provided by question 6.) (a) Profit and loss sharing (b) Capital contributions, including equipment (c) Other applicable ownership interests 9. Control and participation in this contract. Identify by name, race, sex and "firm" those individuals (and their titles) who are responsible for day -to- day management and policy decisionmaking, including, but not limited to, those with prime responsibility for: (a) Financial decisions (b) Management decisions, such as: (1) Estimating (2) Marketing and Sales (3) Hiring and Firing of management personnel (4) Purchasing of major items or supplies (c) Supervision of field operations Note - if, after filing this Schedule B and before the completion of the joint venture's work on the contract covered by this regulation, there is any significant change in the information submitted, the joint venture must inform the grantee, either directly or through the prime contractor if the 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 participation by each joint venturer in the undertaking. Further, the undersigned covenant and agree to provide to the grantee current, complete and accurate information regarding actual joint venture work and the payment therefore any proposed changes in any of the joint venture arrangements and to permit the audit and examination of the books, records and files of the joint venture, or those of each joint venturer relevant to the joint venture, by authorized representatives of the grantee or the Federal funding agency. Any material misrepresentation will be grounds for terminating any contract which may be awarded and for initiating action under Federal or State laws concerning false statements." Name of Firm Name of Firm Signature Signature Name Name Title Title Date Date Date State of County of On this day of , 19 , before me appeared (Name) to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of Firm) to execute the affidavit and did so as his or her free act and deed. Notary Public Commission Expires (Seal) . I Idll�l IIILII �11I Date State of County of On this day of , 19 , before me appeared (Name) , to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of Firm) to execute the affidavit and did so as his or her free act and deed. Notary Public Commission Expires (Seal) SCHEDULE C DBE OR WBE AFFIDAVIT THIS PAGE MUST BE COMPLETED BY DISADVANTAGED OR WOMEN BUSINESS ENTERPRISE CONTRACTOR (OFFEROR) I HEREBY DECLARE AND AFFIRM that I am the and duly authorized representative of the firm of whose address is I hereby declare and affirm that I am a Disadvantaged Business Enterprise(DBE) or Women -Owned Enterprise (WBE) as defined in the Minority Business Enterprise Program of the City of Pueblo, Colorado, and that I will provide information if requested by the City of Pueblo to document this fact. I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THE FOREGOING DOCUMENT ARE TRUE AND CORRECT, AND THAT I AM AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT. (Date) State of City and County of On this day of ,19 officer, personally appeared person described in the foregoing Affidavi executed the same in the capacity therein contained. (Affiant) ,before me, the . undersigned , known to me to be the t, and acknowledged that he (she) stated and for the purposed therin In witness thereof, I hereunto set my hand and official seal. My Commission Expires: Notary Public: (SEAL) .:IJ�VIIIWWI APPENDIX B A Resolution Adopting the Overall Goals for the City of Pueblo's MBE Plan and adoption of the City of Pueblo's MBE Plan. APPENDIX C MBE Utilization -C -1- APPENDIX C DISADVANTAGED /WOMEN BUSINESS ENTERPRISE UTILIZATION The City of Pueblo will annually set overall DBE /WBE goals for work and goods purchased under the City of Pueblo contracts. While the expected percentage of DBE or WBE participation may vary from contract to contract due to availability of DBEs or WBEs, the City of Pueblo believes the overall goals to be realistically obtainable over the year. In order to meet Federal requirements and to provide for maximum practical participation of DBEs, the City of Pueblo may specify a minimum required percentage of participation in selected contracts. CONTRACT GOALS The City of Pueblo has specified a DBE goal of % and WBE goal of % for the work to be performed under this contract. The amount of DBE /WBE participation will be determined by the dollar value of the work subcontracted to DBEs /WBEs as compared to the total value of all work performed under this contract and /or by the percentage of the net profit which the parties agree will be shared by DBEs /WBEs where a joint venture is entered into for the completion of the project. INSTRUCTIONS TO BIDDERS AND PROPOSERS It is the policy of the City of Pueblo that equal opportunity to participate in its procurements will be provided to DBEs /WBEs. To accomplish this objective the City of Pueblo requires, as applicable, all bidders and proposers to complete and return this Attachment (enclosures 1 thru 9) which obligates the Contractor to assert a good faith effort to attain the specified goal for DBE /WBE participation. A bidder /proposer may satisfy the requirements of this Attachment by having DBE /WBE status, by subcontracting portions of the work to DBEs /WBEs, and /or by entering into a joint venture with DBEs /WBEs. REQUIREMENTS, TERMS AND CONDITIONS OF ATTACHMENT A 1. A DBE /WBE is defined as a small business concern that is owned and controlled by socially and economically disadvantaged individuals. These socially and economically disadvantaged individuals must own 51% of the business, and they must control the management of the business. Socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Asian - Pacific Americans, Native Americans, Asian - Indian Americans, or any other minorities or individuals found to be disadvantaged by the Small Business Administration (SBA) pursuant to Section 8[a] of the Small Business Act. -C -2- 2., A bidder or proposer who fails or refuses to complete and return the applicable enclosures to this Attachment shall be deemed non- responsive and will not be awarded the contract. Where a bidder proposer intends to attain its goal for DBE /WBE participation by subcontracting or use of a joint venture, it shall complete and submit the following enclosures (1) MBE Affidavit; (2) Schedule of DBE /WBE participation; and (3) the Letter of Intent to Perform as a Subcontractor; (4) Unavailability Certification. 3. All bidders or proposers are required to submit written assurance of meeting contract goals in their bid or proposals and will submit: (1) names of DBE /WBE subcontractors; (2) a description of the work they are to perform; and (3) the dollar value of each proposed DBE/WBE subcontract. In order to be a responsive bidder /proposer, a contractor must meet the specified DBE /WBEcontract goal(s) or demonstrate sufficient good faith efforts to do so. Meeting the contract goals or making sufficient good faith efforts to do so, no less than meeting technical specifications or complying with bid or proposal procedures, is a necessary condition of responsiveness. Among responsible and responsive 'bidders - that is, those bidders that meet the DBE /WBE requirements or demonstrate good faith efforts to do so among other things - the bidder offering- the lowest price, if that price is reasonable will be awarded the contract. 4. The contractor's expressed goal stated in the DBE /WBE Affidavit shall express the contractor's commitment to the percentage of DBE and WBE utilization during the term of this contract. 5. The contractor's commitment to a specific goal is to meet DBE and WBE objectives and is not intended and shall not be used to discriminate against any qualified company or group of companies. 6. The contractor's attainment of the Specific Contract Goal for DBE and WBE utilization is required by this Attachment. The signing of the attachment shall constitute a commitment to make a good faith effort to meet the specific City of Pueblo specified goal and has failed to do so, it will furnish docurientation of its good faith efforts to jUS'lify a grant of relief from the goal set forth in this ,At tac4hm.en`, Tn.e contractor shall complete Enclosure (4) , DBE _Fnavailability Certification as evidence of its good faits efforts .,:hick documentation will also include assurances that the contractor is done the following as a minimum: (NOTE: MBE is used inc?usive DBE /WBE1 . [a] Whittier the contractor attended any pre - solicitation or pre -bid meetings that were scheduled by the recipient to inform MBEs of contracting and subcontracting opportunities; s , ] Whether the contractor advertised in general circulation, trade association, and minority -focus media concerning the subcontracting opportunties; -C -3- [c] Whether the contractor provided written notice to a reasonable number of specific MBEs that their interest in the contract was being solicited, in sufficient time to allow the MBEs to participate effectively; [d] Whether the contractor followed up initial solicitation of interest by contacting MBEs to determine with certainty whether the MBEs were interested; [e] Whether the contractor selected portions of the work to be performed by MBEs in order to increase the likelihood of meeting the MBE goals (including, where appropriate, breaking down contracts into economically feasible units to facilitate MBE participation); [f] Whether the contractor provided interested MBEs with adequate information about the plans, specifications and requirements of the contract; [g] Whether the contractor negotiated in good faith with interested MBEs, not rejecting as unqualified without sound reasons based on a thorough investigation of their capabilities; [h] Whether the contractor made efforts to assist interested MBEs in obtaining bonding, lines of credit, or insurance required by the recipient or contractor, and [i] Whether the contractor effectively used the services of available minority community organizations; minority contractor's groups; local, state and Federal minority business assistance offices; and other organizations that provide assistance in the recruitment and placement of MBEs. For further guidance and additional steps to take concerning the good faith efforts, see 49 CFR 23, Federal Register, Vol. 46, No. 80, final rule 4/27/81, as amended by Vol 48, No. 141, final rule, 8/22/83. 7. A prime contractor must make a good faith effort to replace a defaulting MBE with another MBE. The prime contractor must notify the City immediately of the MBE's inability to perform and the contractor's intent to obtain a substitute MBE. If the contractor obtains a substitute MBE, the contractor will notify the City and provide copies or descriptions of new or amended contracts and a completed certification form for each new MBE and any applicable certificate of good faith effort as stated in item 7 of this section. 8. The City, through its Disadvantaged Business Coordinator, will review the contractor's MBE efforts during performance of the contract. If the contractor meets it goals of if the contractor shall be presumed to be in compliance. -C -4- APPENDIX D Reporting Form -D -1- APPENDIX E FY84 Annual Goals -E -1- CITY OF PUEBLO'S ANNUAL OVERALL GOALS FOR FY84 The geographical area in which bids or proposals will be solicited consists of the City and County of Pueblo, the State of Colorado, and a wider geographical area when necessary. According to the U.S. Department of Commerce, Bureau of the Census, within the Pueblo SMSA, the minority population total is 36.010. The following page exhibits the efforts by the City of Pueblo during FY1983 to solicit DBE /WBE participation. Despite numerous attempts and meetings with the Latino Chamber of Commerce, the City has fallen short of its goal. Preliminary analysis by the Urban Transportation Planning Division indicates that very few minorities are in a private business that offer the goods and services the bus company desires. Rather than amend the goals, City staff has recommended that the existing goals of 15% DBE and 5% WBE be maintained and local efforts be intensified to achieve these goals. -E -2- DBE QUARTERLY REPORT City of Pueblo, Colorado Pueblo Transportation Company Reporting Period: January 1, 1983 - December 31, 1983 Number of Procurements: 597 Number of DBE's Participating: 52 Percentage of DBE's Participating: 9% Total Value of Awards: $577,491 Amount to DBE's: $18,512 WBE's: $2953 Percentage to DBE's: 3% WBE's: .51% Grant Numbers: CO -05- 0020 -01 Co -05 -4024 Current Goals: 15% DBE 5% WBE Budget Category Insurance Supplies Advertising Parts Fringe Benefits Professional Services Capital Projects Building Upkeep Other Services TOTAL Amount Spent $ 88,290 146,487 8,278 159,218 114,771 3,460 7,942 5,334 43,711 $ 577,491 -E -3- DBE Participation WBE $ 0 $ 0 0 0 3,038 0 8,802 0 0 2,953 436 0 3,635 0 2,530 0 71 _ 0 $ 18,612 $ 2,953 CALCULATION OF FUND AMOUNTS SUBJECT TO DBE /WBE Capital and Operating Step 1. Determine the proposed agency annual budget for $ 1,449,675 Capital and Operating expenses. Step 2. Estimate that portion which is Federally funded. $ 618,800 Include funds estimated to be received from Sections 3, 5, 9, 9A, 16(b)(2) and 18 as appropriate. Step 3. Determine if your agency receives sufficient Federal Yes X Assistance to put it over the threshold. For No Capital and Operating expenses, the thrshold is $250,000 in Federal funds, exclusive of transit vehicle purchase. Step 4. If your agency is covered by the program, determine the present of Federal participation in the overall agency budget (i.e., divide the number from Step 2 by the number from Step 1 Step 5 Estimate that portion of your agencies total budget which is not available for contracting. Subtract those funds which are used for staff salaries, utilities, land purchases, rental of real property, etc. Also, remember to subtract those funds which will be used for transit vehicle purchases. Step 6 Determine the portion of your total agency budget which is available for contracting. Subtract the number determined in Step 5 from the number shown in Step 1. Step 7. 42.6 % $741,653 S70R.099 Determine that portion of the total amount avail- $301,617 able for contracting which is attributable to Federal sources. Multiply the amount determined in Step 4. The resulting dollar figure is the amount to which your DBE /WBE goals will apply. -E -4- NOTE: If your agency receives Section 8, 9, or 9A funds for Planning and /or Technical Assistance activities, the calculation steps would be exactly the same. If your agency receives both Planning /Technical Assistance funds, and Capital /Operating Assistance funds, special care should be taken in the determination of the amount subject to the DBE /WBE goals. If the threshold amount for either type of fund is triggered (i.e., if the agency receives more than $250,000 in Federal funds - exclusive of transit vehicle purchases, or more than $100,000 in Planning Assistance), then the goals apply to both types of funds. In this type of situation, you would determine the amounts in Step 7 for both Planning /Technical Assistance, and Capital /Operating Assistance, and add the two. The resultant amount is the base to which the goals apply. Application of DBE /WBE Goals to Agency Contract Opportunities Step 8. Use figure determined in Step 7 Step 9. Include the DBE /WBE goal percentages Step 10. Determine the contracting amounts for DBE /WBE goals. Multimply the figure in Step 8 by first DBE% in Step 9 and then by the WBE% in Step 9. Step 11. $301,615 DBE 150 WBE 50 DBE $ 45,242 WBE $ 15,080 Determine the actual dollar value of various types of contracts which must be placed with DBE /WBE firms in order to come up with the amounts determined in Step 10. First estimate that portion of the contracting amount determined in Step 10 to be placed in the following categories: Construction Professional Services Supplies /services Other (The total should add Step 10) DBE WBE $12,000 $ 11,000 8,000 11,000 1,300 11,242 5,780 to the numbers from Total $45,242 $15,080 -E -5- Second decide within the four categories if the proposed expenditures will be counted toward the goal at 1000 or 200 of the contract amount. Generally, construction would be a 100% item, professional services would be a 100% item, supplies and services are likely to be 200 items (but could be a 100% item if purchased from DBE/ WBE manufacturers, refiners or underwriters, rather than dealers or brokers) and the other category could be either 100% or 20% items DBE WBE Construction %100 %100 Professional Services 100 100 Supplies /services 20 20 Other 100/20 100/20 Third determine the actual amounts that must be placed with DBE /WBE firms in order to meet the dollar value as determined in Step 10. To do this, you divide the estimated amounts to be placed (first part of Step 11) by the applicable percent- age, (i.e., 100% or 20%, as determined by the second part of Step 11) O Construction $12,000 = $12,000 $ 100% Professional services Supplies /services Other Total % 11,000 = 11,000 8,000 8,000 100% 100% 11,000 = 55,000 1,300 = 6,500 20% 20% 11,242 = 18,737 5,780 9,633 100/20% 100/20% CQF 717 c ') n_1gq This method of calculation and the form was developed by the Urban Mass Transportation Administration. [fie a -E -6- DBE /WBE PERCENTAGES FOR 1984 Name of Grantee: City of Pueblo Overall DBE Goal: 15% Address: 350 South Elizabeth Overall MBE Goal: 5% City /State: Pu eblo, Colorado 81001 The above chart and projected figures indicate the intent of the City of Pueblo to make a good faith effort to attain a goal of 150 DBE and 5% WBE on all contracts awarded with UMTA funds. -E -7- TOTAL UMTA FUNDS ($) UMTA FUNDS ($) PERCENTAGE OF AWARDED CONTRACT(s) AWARDED PARTICIPATION CONTRACT SUBCONTRACT (s) DBE(s) WBE(s) TOTAL UMTA FUNDS CATEGORIES DBE(s) WBE(s) CONSTRUCTION 20,000 12,000 60% PROFESSIONAL SERVICES 25,000 11,000 8,000 440 32% SUPPLIES EQUIPMENT 171,283 11,000 8,000 6% .7% OTHER SERVICES 85,332 11,242 5,780 130 7% TOTAL 301,615 45,242 15,080 15% 50 The above chart and projected figures indicate the intent of the City of Pueblo to make a good faith effort to attain a goal of 150 DBE and 5% WBE on all contracts awarded with UMTA funds. -E -7- Ny Nyy O C3 u .• . {R. V? Y Y v v dP dP I p 0 5 v a", o " M •• Q_J fD co c� C+1 C+7 a a dP' dP r N v N v .rte N .. b N ro ro N r� N v o " M •• Q_J fD co c� C+1 C+7 a a dP' dP