HomeMy WebLinkAbout1983-09-20; City Council; 7501; Minority Business Enterprise SystemI
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MTG.. 9/20/83
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cIT'�F CARLSBAD.—.AGEN
TITLE ADOPTION OF THE SAN DIEGO REGION
MINORITY BUSINESS ENTERPRISE SYSTEM
RECOMMENDED ACTION:
DEPT. KUL
CITY ATTYyFP
CITY MQR.,
Adopt Resolution No-2 adopting the San Diego Region, Minority
Business Enterprise Program for use on Federal Transportation Funded
projects.
ITEM EXPLANATION:
Federal regulations require each local,government entity receiving
Federal Transportation Funds to implement a Minority Business
Enterprise Program (MBE). The City has included in its Capital
Improvement Program a project for the reconstruction of Agua
Hed,ionda Bridge and Carlsbad Boulevard widening to be funded by
Federal Transportation Funds.
The San Diego Region, Federal Aid'Urban Advisory Committee, of which
the City of Carlsbad is a member, has established a Regional
Minority Business Enterprise Program for use by all the local public
agencies. The program is designed to ensure that minority business
enterprises have the maximum opportunity to complete for and perform
contracts involving Federal Transportation Funds.
Basically the program requires the establishment of project,goals
for minority and female business enterprises, local agency
assistance to minority business in obtaining contracts, and
monitoring of Contractor compliance with the MBE goals and contract
requirements. The Federal Governement requires that each local
government appoint a Liaison Officer to be responsible for the
implementation of the Minority Business Enterprise Program. The
City Engineer wil,l'be the Liaison Officer for the City,
FISCAL IMPACT:
Funding for the ,proposed Agua Hedionda Bridge Replacemennt and
w Carlsbad Boulevard Widening Project will be from Federal Highway
5 Bridge Replacement and Rehabilitation (HBRR) Funds, Federal Aid to
01 Urban Highways (FAU), and participation by the City through the
a
Capital Improvement Program. Staff administrative costs to
CL implement the program will be eligible for Federal reimbursement,
City expenditures should, therefore, be of a minor nature.
Z
0 EXHIBITS:
JI. Copy of San Diego County Region Minority Business Program
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= 2. Resolution No.adopting the San Diego Region, Minority
o Business Enterpr se Program
I
Page 1 of 7
June 8, 1981
SAN DIEGO COUNTY REGION
MINORITY BUSINESS PROGRAM
I. Policy Statement
It 'is the policy of local government in the San Diego region tg ytilize
Minority Business Enterprises in all aspects of mtrocting tg th@ v_ximum
extent feasible.
This policy is fully described in the San Diego County region Minority
Business Program which constitutes a regional government policy and a
commitment to substantially increase Minority Business and Femille Business
Utilization. This policy includes any program or facility funded wholly or
in -part by any Federal agency which requires a Minority Ousjness Program.
The local governments., their contractors and subcontractors, jflg-� are
the recipients -of Federal -aid funds agree to ensure that minority
business enterprises have the maximum opportunity to participate in the
.performance of contracts and subcontracts. In this regard local govern-
ment and all of its contractors and subcontractors will take all reason-
able steps in accordance with 49CFR23 to ensure that minority business
enterprises have the maximum opportunity to compete for and perform
contracts.
- -; � 9 / ;6; z �1
Chairma , San Diego Regiori
Federal Aid Urban Advisory Committee
t 14- 4
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II. Minority Rusiness Enterprises (MBE) Liaison Officer
Each local government will appoint an MBE Liaison Officer. This Officer will
be -assigned such staff as is necessary to fully implement the provisions of(
49CFR Part 23 and such other MBE programs as may be required. The reporting
structure, and duties of support staff shall be available upon r�zgyvat from
local government. -
III. Duties of the, MBE Liaison Officer
The M8E Liaison Officer shall develop, manage and implement the MBE program
on a day-to-day basis. The Liaison Officer shall:
Develop and carry out technical assistance programs for MBE's.
Arrange solicitations, time for the presentation of bids, quantities,
specifications, and delivery schedules so as to facilitate the parti-
cipation of MBE's.
Provide -assistance to MBE's in overcoming barriers such as inability
to obtain bonding or financing.
Carry out information and communication programs on contracting oppor-
'tunities in a-tiinely manner.
Investigate the full extent of services offered by banks owned and
controlled by minorities or women. Ensure that, where possible, local
government utilizes said banks.
Use Caltrans listing of Certified MBE's. Said listing to be made
available to all bidders on local government projects.
Accept Caltrans' evaluation and verification of the eligibility of all
firms and joint ventures who either claim to be or others claim to be
minority owned.
Approve any removal and/or substitution of a Minority Business Enter-
prise during contract performance. Prior to approval of substitution
and/or removal of MBE, prime contractors will be required to prove
performance of good faith efforts to replace the MBE with another
eligible MBE.
Develop such reporting systems as are necessary for local government
to report on activities/ results of efforts in this program.
Report quarterly if necessary progress and results of MBE program.
Establish individual project goals for minority and female business
enterprises. All projects with an estimated cost of $100,000 or more,
shall be evaluated for the appropriateness of goals.
Maintain such documentat',i as is necessary to verify local government
performance of the above activities.
IV. Establishment of Overall Regional Goal
1. The Region will establish an overall goal for its use of MBE's and
1
-3-
WBE's. These goals will be updated annually as of September 30 of
each year.
2.. The overall goal and rationale for the period October 1, 1980
through September 30, 1981 is attached herewith as Appendix A.
V. Contract Coals
-A11 projects with an estimated value of $100,000, or more, mpi vipg
Federal Funds requiring an MBE Program will be evaluated for tjt' 4pgre-
priateness of MBE goals. Projects will be evaluated, apd gpajs e#4b-
lished, utilizing the following criteria:
Size of project.
Opportunities for MBE's as subcontractors, vendors, suppliers,
Minority population of San Diego County .
Existing MBE goals being utilized in the project area by other state,
federal or local jurisdictions.
Availability of MBE's.
Past experience on projects similar to the project being evaluated.
Such other factors as may effect the utilization of MBE's such as
bonding capacity and gross annual income.
Each project will be evaluated in conformance with the above criteria.
Complete documentation will be retained of every project so evaluated.
Contracts which do not contain specific goals will contain the following
provisions:
(4 "Policy. It is the policy of the region's local governments that
hmminority business enterprises as 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
apply to this agreement. �
(2) "MBE Obligation. (i) Th rec_i or its contractor agrees to
ensure that nt ority basin 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 all recipients or dontractors shall take all necess-
aryland 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. Recipients
and their contractors shall not discriminate on the basis of
race, color, national origin, or sex in the award and perform-
ance of DOT -assisted contracts."
MBE use on projects without goals will be reported to the Laison Officer
and will be included in local government reports. MBE use on such projects
7
.� • Vic. ?' >
it
will be counted toward attainment of the overall Regional goal.
VI. Leasing -Goals
In order to encourage MBE's to participate in the leasing opportunities
with local government the followjng is proposed as part of the M8g priarr: 3
1. Advertise leasing oppnrtu/nities with iccal gpverr�irent is a t43@itY
and minority media newspaper.
i
Z. Participate in communication programs to inform MBE's of local govern- #
ment leasing opportunities and requirements.
3. The MBE leasing goal for the period October 1, 1980 through September
30,1981 is attached herewith as Appendix B.
VII. Public Notification
At the. time of submittal of this program to the applicable federal agency
local government will publish a notice in both minority and -majority media
throughout -the region. Said publication shall:
Announce the overall Regional goals.
Inform the public that the goals and a description of how they were 1
set, are available for public inspection for a period of 30 days.
Infothe public that both applicable federal agency and local.
government will accept comments on the goals for 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 minority and majority contractor
organizations will receive direct mailings of this complete program with a
request that they provide written comments to local government on this
program.
VIII. Contract Procedure -
This plan shall be implemented through the utilization of a contract special
provision which is attached herewith as Appendix C. These procedures
require:
Bidders to submit the names of MBE subcontractors and suppliers.
A description of the work each is to perform or material to be '
furnished.
The dollar value of each MBE subcontract.
IX. Minority and Female Owned Banks
Local Government will encourage all contractors to use the services of
banks owned and controlled by minorities or females. This encouragement
will be disseminated during pre -bid and pre -construction conferences (if
scheduled) and the contract specifications.
-5- ---,4
X. MBE Notification
All assistance centers funded by the U. S. Department of Commerce Minority
Business Development Administration) will receive complimentary plans and ;
specifications for projects within their geographical area of responsibil-
ity (San Diego County). ,
iXT. Selection Criteria for Contracts with MBE Goals.
Every local government contract containing MBE goals shall be ey4lu4g4 by
the MBE Liaison Officer or his/her designee to ascertain bidding cgntrac-
tors' efforts to attain the MBE goals. The award of any project with MBE
goals must be concurred with by the MBE Liaison Officer or his/her- designee
-before said contract may be awarded. Should there be disagreement between
local government's functional units concerning contractors' efforts to
attain contract goals for MBE participation, the matter shall be referred
to the local governments' City Engineer/ Public Works Director/pi rector of
Engineering or his/her designee, for final determination.
Competitors that fail to meet the MBE goals and fail to demonstrate suffi-
cient reasonable efforts shall not be eligible to be awarded the contract.
Any contracts that contain MBE goals, pursuant to this policy, will be
monitored on an ongoing basis by project personnel during the course of
construction. The MBE Liaison Officer is to be immediately advised of any
circumstances wherein contractor compliance with the MBE provision is
questionable. The contractor shall submit a final report for each project
with MBE goals which includes total payments to the prime contractor as
} well as payments the prime contractor has made to MBE subcontractors,
vendors end suppliers. If the report indicates the prime contractor has
not achieved the project goals, project personnel shall attach an evalua-
tion, in narrative form, of the reasons for failure to attain the goals and
any corrective action that was taken.
Prime contractors will be required to notify local government personnel of
any situation in which regularly scheduled progress payments are not made
to MBE subcontractors, vendors or suppliers.
XI1. MBE Set Asides
Local government at this time does not plan to use the "set asides" concept
to encourage MBE's -to bid local government projects.
XIII.Counting MBE -Participants
Local government, its contractors, subcontractors and recipients shall
count MBE partifi ation in accordance with the provisions of Section
23.47, Tit e 49 -of the Code of Federal Regulations.
t
XIV. Records and Reports
The MBE 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 MBE policy.
Awards to MBE's.
r
Awards to majority contractors.
r
? Final project reports concerning MBE utilization.
Such other data as is needed to fully evaluate local government i
compliance with this program.
The -MBE Liaison Officer shall submit, as required, rapgrtg tg Opy F@dafal
agencies requesting same. Copies of reports to FHWA wi11 bg �ernt' 0 CAL: -
TRANS. These reports will include:
Number and dollar value of contracts awarded to MBE's.
Description of general categories of contracts awarded to MBE's.
The percentage of the dollar value of all contracts awarded during the
quarter which were awarded to MBE's.
•i
Indication as to the -extent of which the percentage met or exceeded
_the overall departmental goal.
Reports shall be broken down separately by ethnic grouping and sex.
1 ,
Any contractors qualifying as Small Businesses will be reported
separately.
XV. MBE Directory
' The State of California, Department of Transportation (Caltrans), maintains
a listing of firms certified to be Minority Businesses in accordance with
the DOT Order. This listing is in accordance with Sections 23.51, 23.53, i
23.55, and 23.87,of 49 CFR.
Local government will use CALTRANS' MBE listing in lieu of preparing the
maintaining its own separate directory. Local government will also utilize
CALTRANS' certification services for contractors and subcontractors who 1
desire to be counted as MBE's and are not currently included in the CAL -
TRANS' certified directory.
Local government contractors will be permitted to rely upon the authen-
ticity of firms listed in this directory. A contractor desiring to use an
MBE not included in the CALTRANS' certified listing will be allowed to do
so, but will be required to provide the appropriate certification from the
MBE before such participation is counted towards award of the project.
XVI. Complaints
Any complaints, received by local government concerning this program will be
j investigated by local government. Local government will endeavor to resolve
said complaints within 90 days of receipt by the MBE Liaison Officer. The
appropriate Federal agency will be furnished a copy of the complaint and }
invited to participate in 'the investigation/resolution. The Federal agency
will receive a complete investigative report on the complaint and will be
I requested to concur in the proposed disposition of said complaint.
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Contractors and subrecipients will be directed to notify local government
of any complaints they may receive concerning this program. ,
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XVII. Federal Mandate
This policy and its conte
United States Department
any or all of said regula
competent jurisdiction, t
extent be void, unenforce
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III. Rationale
1. Establish a one year year goal, look at who is providing work, from
• what location. At end of one year re-establish goal based on new MBE
sub -contractors and updated figures.
2. Our goal for the long term will be based on the popul4tipn di§ F��y ace
subtracting the prime contractors from the goal.
3. In establishing this year's goal, the followiq methgd has *9 9s0:
(1) Only Federal O.O.T. revenue was considered for funding as the primary
.purpose will be to establish federal D.O.T. project goals. If more
prcgrams•are added (i.e. County projects) those revenues will be
added.
(2) No firm out of the County was considered as available. The trade
off between firm coming into the County and firms leaving the
County was assumed equal.
(3) Only those types of work normally used in Federal D.O.T. projects
were considered. Other firms will be considered if the MBE
contractors are expanded to include other types of work.
(4) The firms on the list -are all firms submitting interest in County
contracts at this time. They come from CalTrans list which was
sent to all state contractors. We will add for next year all
interested firms.
(5) When there was no bonding it was assumed some work could be done
by the prime picking up the sub -contractor's bond. We assume only
25% of last year's gross in those cases.
(6) Using all available MBE divided by total Federal O.O.T. funding the
results come out 8%.
(7) We should discount for:
(a) M.B.E. successful as primes of federal Q.O.T. work..."t
(b) M.B.E. as sub -contractors on work other than Federal D.O.T. work.
(c) M.B.E. successful as primes on work other than Fed. D.O.T. work.
(8) This program should account for approximately 50% of M.B.E. work.
(9) The port district has submitted a M.B.E. program for 5.0 percent
which has been successful.
(10) Therefore, use 5.0 percent.
(11) The breakdown of 4.9% MBEs and 0.1 04 WBEs is reflective of
the region's MBE list which has approximately one women
firm for every 50 minority firms.
• -
-1C
III. Rationale (Cont.)
i•
IV. Goal
The M.B.E. overall goal for the period October 1, 1980 through September 30,
1981 for the San Diego Region shall be 4.9 percent.
F
The W.B.E. overall goal for the period October 1, 1980 through SoUmbor 40,
1981 for the San Diego Region shall be 0.1 percent. }
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APPr'VDIY 3
SAN DIEGO RrGICN '
IMMORITY BUSINESS ENVTERs RISE GOAL
FOR LEASES
The overall_ goal for local government leases is 3 percent. This
is based on the total income received by the
pence Cage
San Diego Unifie4 Pgrt District
from Lindbergh Field tenants, other than airlines, and the income the parking
concessionaire receives from the District for his services.
The goal covers the period
Depending of the actual
from October 1, 1980 through Septmeber 30, 7981.
percentage
fiscal year, -the Region reserves
of -ME participation in the
the right to adjust the
specified corning -
necessary,to reflect actual
above
conditions.
goal as
�
GOAL CALCULATION:
4
Calculation of the goal was
Linderbergh Field tennats:
based on monthly income received by the following = ;
,
f
#
Firm Name
Service Provided
,
Document
!
Expiration Date ,
.�i
Air Support rAc.
Air Freight Terminal
61-30/99
Allied Aviation Service
Sky Cap
10/31/80
Atlantic Richfield
Gas/Oil
11/30/80
Cabrillo Travel Service
Ticket Delivery
5/31/81
Calif. First Bank '
Branch Office
9/30/61
Chervon USA, Inc.
Aviation Fuel
1.1/30/80
Consolidated Leasing
Car Rental
7/31/87
Jack Douglas,
Car Rental
6/30/82
Jack W. Dawdle,
Aircraft Tiedown
4/30/81
Grand Rent-A-Car
Car Rental
7/31/87
Hart and Johnson
•�
Advertising Displa;•
7/31/87 '
Hertz Corporation
Car Rental
7/31/87
Host International
Food/Rest./Bars/Gifts
•2/28/89
Jimsair Aviation*
FBO
9/30/92
Evan B, Jones
Parking Lots
1/31/81
Lee -Al, Inc.
Car Rental
6/30/82
Lockheed Air Terminal
Grnd. Serv./Fuel/Waste Disp.
9/30/95
S.D. Fed. Savings S Loan
Branch Office
12/31/80
Shell Oil Co.
Fuel
11/30/80
Teledyne Ryan
Sky Chefs Food Dist.
3/31/89
Tele-Trip Co., Ihc:
Air Travel Insurance
6/30/80
Texac^, Inc.
Gas/Oil
11/30/80
*MBE
r
j
E
i
- 17
{
Ir
-2-
Trans Rent-A-Car Car Rental** 6/30/80
Ilacken Hut, Corp. Security 4/30/81
Ifesmar Contractor 5/31/81
"Replaced by Dollar Rent-A-Car on 7/1/80.
Average total monthly income o 3730632
ME monthly income ■ 10,109
Existing percentage 10,109
973,85Y X 100 = 2.70%
Appendix C
SAN DIEGO COUNTY REGION
SPECIAL PROVISIONS
SECTION 1. SPECIFICATIONS AND PLANS
The work embraced herein shall be done in accordance with th? ypjicagje §td,R-
dard Plans, except as modified in the following Special Proyisions.
SECTION 2. PROPOSAL REQUIREMENTS AND CONDITIONS
2-1.01 General
The bidder's attention is directed to the provisions in Section 2, "Proposal
Requirements and Conditions", of the Standard Specifications for the require-
ments and conditions which he must observe in the preparation of the proposal
form and the submission of the bid.
2-al.02 Minority Business Enterprise
This project is subject to Part 23, Title 49, Code of Federal Regulations en, -
titled "Participation by Minority Business Enterprise in Department of Public
Works Programs" Portions of the Regulations are set forth in Section 6-1.05,
of these Special Provisions, and the Regulations in their entirety are incor-
porated.herein by this reference.
Bidders shall be fully informed respecting the requirements of the Regulations;
particular attention is directed to the following matters:
(a) A Minority Business Enterprise (MBE) must be a small business concern
as defined pursuant to Section 3 of the U.S. Small Business Act;
(b) An MBE may participate as a prime contractor, subcontractor, joint
venture partner with a prime or subcontractor, or vendor of material
or supplies;
(c) An MBE joint venture partner must be responsible for a clearly defined
portion of the work to be performed in addition to satisfying require-
ments for ownership and control. The MBE joint venturer must submit
Schedule B of the Regulations;
(d) An MBE must perform a commercially useful function, i.e., must be
responsible for the execution of a distinct element of the Work and
must carry out its responsibility by actually performing, managing,
and supervising the work;
(e) Credit for an MBE vendor of materials or supplies is limited to 20
percent of the price unless the vendor manufactures or substantially
alters the goods;
(f) An MBE must be certified before credit may be allowed toward the MBE
goal. The Department's MBE Directory identifies MBEs which have been
certified and others which may qu,lify for certification. Tile MBE
Directory may be obtained from
4-2
f/
(g) Noncompliance by the Contractor with the requirements of the regula-
tions constitutes a breach of this contract and may result in termina-
tion of the contract or other appropriate remedy for such breach.
(h) Bidders are encouraged to utilize services offered by banks owned and
controlled by minorities or women.
2-1.03 MBE Goals for this Project
The has established a total Minority Boinpp s
Enterprise MBE participation goal of percent for this project compq§ed
of _ percent to percent MBE's owned and controlled by minorities and
er pcent to percent owned and controlled by women.
It is the bidder's responsibility to make a sufficient portion of the work
available to subcontractors and suppliers and to select those portions of the
work or material needs consistent with the available MBE subcontractors and
suppliers,iso as to assure meeting the goal for MBE participation.
SECTION 3. SUBMISSION OF MINORITY BUSINESS ENTERPRISE
INFORMATION, AWARD, AND EXECUTION OF CONTRACT
3=1.01 General
The bidder's attention is directed to the provisions in Section 3, "Award and
Execution of Contract," of the Standard Sprcifications and these special provi-
sions for the requirements and conditions concerning submittal of MBE informa-
tion, award, and execution of contract. '
3-1.O1A MBE Information
The apparent successful bidder (low bidder) shall submit MBE information to the
office at which bids were received no later than ,
unless a later time is authroized by the Other
bidders need not submit MBE information unless requested to do so by the _
When such request is made, the MBE information
of such bidder shall be submitted within 5 days, unless a later time is author-
ized by the Department. The information shall include:
(1) Names of MBEs to be used, with a complete description of work or
supplies to be provided by each and the dollar value of each such MBE
transaction;
Note MBE subcontractors for signal and lighting items, if there are
such items of work, must have been named in the bid - See section
entitled "Subcontracting" of these special provisions)
(2) A "Minority and Female Business Enterprise Questionnaire" (Schedule A)
for each MBE not already certified;
(3) Schedule B for each MBE joint venturer.
Bidders whose submittal in (1) above indicates they will meet the stated MBE
goal need not submit any further MBE information, unless the Department in its
' 020
4-3
r
review finds that the goal has not been met, in which case additional informa-
tion will be requested by the Department. The additional information may be
requested to clarify claimed MBE participation, add MBE participation, or de-
monstrate that a good faith effort was made to meet the MBE goal. Such infor-
mation shall be submitted promptly upon request by the Department.
It is the bidder°s responsibility to meet the goal of MBE participation op p
provide information to establish food faith efforts to do so. Such info.rriidtion
should include the following:
(4) The names and dates of advertisement of each newsp4por, trade paper,
and minority -focus paper in which a request for MBE participation for
this project was placed by the bidder;
(5) The names and dates of notices of all certified MBEs solicited by
direct mail for this•project-,
(6) The items .of•work for which the bidder requested subbids or materials
to be supplied by MBEs;
(7) The names of MBEs who submitted bids for any of the work indicated in
(6) above which were not accepted, the name of the subcontractor or
supplier that was selected for that portion of work, and the reasons
for the bidder's choice. (If the reason was price, give the price bid
by the rejected MBE and the price bid by the selected subcontractor or
suppiers);
(8) Assistance that the bidder has extended to MBEs identified in (7)
above to remedy the deficiency in the MBEs subbids.
(9) Any additional data to support a demonstration of good faith effort,
such as contacts with MBE assistance agencies.
3-1.01B Award of Contract
The award of contract, if it be awarded, will be to the lowest responsible
bidder whose proposal complies with all the requirements prescribed and who has
met the goal for MBE participation or has demonstrated, to the satisfaction of
the Department, good faith effort to do so. Meeting the goal for MBE partici-
pation or demonstrating,• to the satisfaction of the Department, good faith
efforts to do so is a condition for being eligible for award of contract.
6-1.05 PtRTI CIPATi CV SY Mt N(Al TY SUSI `ESS WERPRI SES t N SUBOMIMACT1 W.-The
foliowing ors excerpts from Parr 23, Title 49, Code of Federal Regulations
C4entitled. "Part'icipatian By Minority Business Enterprise in Department of
� Transportation Programs."
any of tho b4WI Pwg$ rafpts l of AM00
(b) Hispania (a porsaft 9f %,ji}t;ll of
portupulm Ruitil•'+f With gnii R i$
Mexico. South gF Eept�} ri�i, pr
the t~aribbe.m hkaid r rp0A ill ai{
racg):
(c) Agart Amman ($ pR.gaa hic!
origins in any of the original peepes
the Far East. Southeast Asia. the Indian
subcontinent. or the PacWc Islands): a
(d) American Indian and Alaskan
Native (a person having origins i.•s any of
the original peoples of . bola Amz:!m)
(e) Membars of other groups, cr other
Individual& found to be aconptaically
and socially disadvantaged by the Small
Business Adatinistration unde►sectior.
8(s) of the Small Business Act &4
amended (id U.S.C. 8;7(a))•
"Minority business prit;rpfipe or
"MBIf'• means a sm4 bwinesf Foncern•
as defined pursunt to wtion 3 of the
Small Business Art aqd 1=aJi nsndq
regulations. which Is owned turd
controlled by one at tam minorities of
women. This definition applies only to
financial assistance programs. For the
purposes of this part. owned and
controlled means a business:
(a) Which is at Least 5I per centum
owned by one or more minorities or
women or. in the cane of a publicly
owned business. at Iemst 52 per centum
of the stock of whims Is owned by one or
more minorities or women: anti
(b) Whose management and daily
business operations are controlled by
one or more such individuals.
"NBE coordinator" means the official
designated by the head of the
Department element to have overall
responsibility for promotion of minority
business enterprise in his/her
Departmental element.
"Noncompliance" meens the
condition existing when a recipient or
contractor has failed to implement the
requirements of this part. ,
"Primary recipient" is a recipient who
receives DOT -financial assistance and
posses some ar Oil of this aasistaaca on
to another recipient.
"Program" means any undertaking by
a recipient to use DOT financial
assistan". and includes the entire
activity any part of which receives DOT
financial assistance.
"Recipient" means any entity, public
or private. to whom DOT financial
assistance is extended. directly or
through another recipient for say
I1SSSSSSSI15111S
=1 Purpose.
(a) The purpose of this pact is to catty
out the Department of Transportation's
policy of oupportiag the Fullest possible
participation of firms owned and
controlled by minorities and women.
(MBEs) in Deparraerti of Transportation
programs. Tids includes assiahctg MBEs
throughout the life of contracts in which
they participate.
S S S f 1 i•S 1 S 1 S S i S S i
¢ 21.2 AppflaioMtey.
This ptirt applies to any DOT prngrnm
through which funds are made available
to members of the public for
accomplishing DOT svirposes.
Contracts and __bcontracts which are to
be performed entirely outside the United
States. its possessions. Puerto Rica and
the North `fariana Isi--nd.% ate
exempted from this part.
f = Dettnitiona
"Af i-native action" means taking
specific steps to eliminate
discrimination and its effects. to ensure
nondiscriminatory results and practices
in the future. and to involve minority
business enterprises fully ire contracts
and programs funded by the
Department.
' Appli=nt" means one who submits
on application. request. or plan to be
approved by a Departmental official or
by a prim.arf recipient as a condition to
eligibility for DOT financial assistance:
and "application" means such an
application. request. or plan.
"Compliance" means the condition
existing when a recipient or runtractor
has met and implemented the
requirements of this part.
"Contract" means a mutually binding
legal relationship or any modification
thereof obligating the seller to furnish
supplies or services. including
construction. Sind the buyer to pay for
Lhem. For purposes of this part. a lease
Is a contract.
"Contractor" means one who
participates. through a contract or
con subtract. in any program covered by
this part, and includes lessees.
"Department" cr "DOT" means the
Department of Transportation. including
its operating elements.
"DOT•assiated contract" means any
contract or modification of a eant►act
between a recipient and a contractor
which is paid for in whole or lit part
with DOT financial assistance or sisy
contract or modifleation of a contract
between a recipient and a lessee.
"DOT financial assistance" means
financial aid provided by the
Department or the United States
Railroad Association 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 fora of guerantees authorized by
statute as fuwacial assistance services
of Federal,personael. Utla or other
_interest in real or personal property
transferred for less than fair market
value. or any other arrangement through
which the recipient benefits financially.
including licenses for the construction or
operation of a Deep Watpr Port.
Departmental element" means the
fullowin, parts of DOT:
(ai The Office of the Seeret4ry (OSTJ;
(b) The Federal Aviation
Administration (FAA);
(c) The United States Coast Guard
(USCG);
(d) The Federal Highway -
Administration (F'rIWA):
(e) The Federal Railroad
Administration (FrZA):
in The National Highway Traffic
Safety Administration (NHTSA);
(g) The Urban Mass Transportatioa
Administration (UMTA);
(h) The St. Lawrence Seaway
Development corporation (SLSDC); and
(i) The Research and Spetial
Programs Administration (RSPA).
")oint 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.
"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 trans portation•related
activity or for the provision of goods or
services to the facility or to the public
on the, facility. i
"Minority- means a person who is a
citizen or lawful permanent resident of
the United States and who is:
(a) Black (a person having origins in
FR-b
prow
"Sec:et:ry" means the Secretary of
transportation, or aay parson whom he/
she has designated to au for hits/her.
"Set -aside'• means a lac'.tnique whir'.%
limits consideration of bins or proposals
to those subautted by &MEs.
i =7 owa "Waco sr preHteptted.
No person shall be excluded from
participation in. denied the benefits of.
or atf:envtse di,afzn,iaated agttiast In
connecion with the &word and
pedormaaxof any cctttract earered by
this Pam on the pa ds of ram color.
national origin. or sax
ffII1Sif151151Sf
r+qufrewmft for
(a) Each recipient shall agues to abide
by the stataasents in paragraphs (a) (1)
slid (2) of this section. These► statements
shall be included is the recipienfi DOT
financial assistance agreement.and in
all subsequent agreements between the
recipient acid any subrecipient and in all
subsequent Dar -assisted contracoa
between recipients or subrecipients and
any coatractaa
(1) "Policy. It L- the polIC-1 of the
Deparcaent of Transportation that
minority business enterprises as defined
in 49 tR Part 23 shall have the
maxim= agpor maity to participate its
the periarmance of contracts financed in
whole or is part with Federal funds
under this agreement. Consequently the
MBE requirements of 49 QM Part 21
apply to this agreement.
(2) MSS Obligation. (1)1he recipient
or its contractor agrees to ensure that
minority business enterprises as defined
In 49 CM Pert 21 have the maxim=
opportunity to participate in the
performt ace of contracts and
subcontracts financed in whole or in
part with Federal funds provided under
this agtement. in this regard ail
recipients or contractors shall like all
aeutssary and reiianable steps in
accoidanea with 49e; eR Part 23 to
ensure that tminoaty business
enterprises have the maximum
opportunity to compete far and perfo=
contracts. Recipients and their
contrac:ars shall not di3ciminate an the
basis of mace. color. national origin. or
sex in the award and peron-nanca of
DCT•asaistad can'"mca.-
f51111115SIIIiII
/ ,, C
(c) The recipient shall advise each
subreeipient. contractor. or
subcontractor that !allure to carry out
the requirements set forth In i M-49(l)
shall constitute a breach of contract
and. &flat the nod4ration of apt
Department. msy result in teantinallug ,g(
the sgeaemttst or c�ntrtset by rho
recipient er such remedy as the regip.!%t
deems approp ate.
II1511111ff11fff
f 2US Rsoetand IUSZ program
1 5 f I I f 1 5 1 5 1 1 1 1 1 1
' (a) WZdirrrtory: (t) The recipient
Shall bare mailable a diteetoey or
source all to fadlitatse ideadfying WM
with capabditles tslmat to soxwral
contraetiag requirpsrsaats and to
partic scar vAidladons. TU recipie st
shall make the diredoty amiable to
bidden and proposers is their stforts to
meet the I'M requlremaats. It shall
specify which fires the Department.
recipient. or the Small Business
Administration has determined to be
eligible MBFs In eecordance with
preceduren set forth in Mrs suhpart.
(f) Proce rrl to ascertain the
eligibility of MM and iaint ventures
involving MBEs. (1) to ensure that its
MBE program benefits only firris owned
and controlled by minorities or womem
the recipient shall certify the eligibility
of MBEs and joint ventures Involving
NMF.s that are named by the competitors
In accortlance with this subpart.
Recipients may. at their own disc.--tion.
acr:pt certifications Wrack by other DOT
recipients.
(2) Recipients shall regrcm their prime
cont:actore to make good faith efforts to
replaces an WE subcontractor that is
unable to perform su=n fully with
another MBE— The recipient shall
approve all substitutions of
subcontractors before bid gpenir3 and
dej-; contractper=otmat+ee. in order to
ensure drat the substitute nir= at --
eligible MBEs.
IIIISIISSSSS1551
f :2 t7 Con1t1hj %toetsantetoauen
towed mvaUn9 MeE Qoata.
MBE participation shall be counted
toward meeting MBE goals set in
acconianca with this subpart as follows:
(Al Gnca a Firm Ss determined to be an
eligible M 3S in accordance with this
subpam the total dollar vaiva of the
contract awarded to the MDE Is counted
toward the appiicable IBE goals.
FR-7
(b) The total dollarvalue of a cone
to an ..MRE owned and controlled by
boot rdlo ittly Aliil41 If14 flonifi9lPdfity
f0R1Aj8313 F9NirEEfi 191ygce� !ltc gacia for
iit.►1t41 gsi }rsli ;yastcp~. rgspecttvely. in
Preporllei lg Iho p��c ffi go of
OwnemNe an cr.Btra ct e�rch group in
thg 8=jf!P9? p (gtal dolisr value of a
1TtFgcf'. t►}ownad anti
;ont{Oj(4d / rtasrm:rty tro:7an is
taunted toward either the rairadrygoal
or this goof fp; woman. but not to both.
The cpntr4gt4j or recipient- employing
the lira tf14y i*oase the goal to which
the g9dt7agt yajue is applied,.
(c) A m0pllnt or c."tractar may
cpwzt tgW4rd its L&ME goals a pardba cif
the lolal dotlgr value of a contract with
a joint vienitife eligible under the
stand&;¢S 9(1413 subpart equal to the
perrpBt4gs of ownership and
coalrp14 qt the MBE Partner in the joint
Yeatur3.
(d)(1) A rictpient or contracwr may
c04at 14w4rd its'VME goals only
exl2ndiluin to I CM that perform a
commerdally ttaa(ttl function in the
work of a contract. Aa MBE is
considered to perform a corunereially
useful function when it Is responsible for
ezi;rtlion of a distinct element of the
work of a contrac"i and iarrling out it ..•
nsi respobilities by actually pedo-3. iz
managing. and Supervising the work ``
Involved. To determine whether an NSS
Is performing a commercially uSaPal
function, the recipient or contractor
shall evaluate the amount of work
subcontracted industrypracdcm and
other relevant factors.
(2) Consistent wits normal industry
prAetiees. an MBE may.enter into
subcontracts. if an MBE contractor
subcontracts a significantly 3-.vster
pardon of the work of the contract than
would be expected on the basis of
normal Industry practices. the MBE shalt
be presumed not to be performing it
co:nmerctaily useful•funcdnn. The MBE
may present evidence to rebut !iris
presumption to the recipient. The
recipient's decision on the rebuttal of
this presumption is subject to review by
the Department.
(e) A recipient or contractor tnsy
count toward its NME goals
expenditures for materials and suppilas
obtained from.MBEsupplIers and
manufacturers, provided that the MBA
assume the actual and eontrpcmal
responsibility for the provision of the
materials and supplies.
(1) The recipient or contractor may
count its entire expenditure to an MBZ
wanufac~srer(Le,a supplier that .
,�3
(I
AfZ
produess goods from raw materials fir
substantially alters them before resale).
(ZI 1. a rest;ieni may count M percent
Of its expenditurrs to MBE suppliers that
are not marufac:urers. provided that the
=- supplierp.-rforns a coatatartially
rueful function in the supply proms
S 1 1 1 1 111 S S S I I I I I I
;225s Cardt7atfonafttfeaAgibWtyol
minority tniaireeta as+seepetaee.
(a) To enure that this pan benefits
only MBEs which are owned and
controlled is both form and substance
by one or mots minorities or women.
DOT:ecipients shall use Schedules A
cad 8 (reproduced at the end of this
Pant to certify ti.-us who with to
pardeipate as SMEs in DOT under this
part.
(b) Except as provided In paragraph
(c) of this section. each business.
including the MBE partner in a joint
venti:tt; wishing to partidpele as i':1ME
under this part In a DOrasslated
contract shall eamplate and submit
Schedus A. Each entity wishing to
participate as a joint venture MBE :fader
this part Lz DOT -assisted caatmc s shall
In addition complete and submit
Schedule B. The sahedul*(s) shall be
signed and nctati:rd by the autlic zed
representative of the business entity. A
business seeking ccrtlQcatlon as an Milli
shell submit the nn ulrml sch'ttulne with
Its bid or proposal for transmisslun to
the ccntmcUng agent/ Involved.
(c) Under the following ci=.=31ances.
a business seeking to participate as an
MB$ under this subpart need not submit
schedule A or 0:
(%I If a DOT recipient has established
a different certification process that
DOT has determined to bs as or more
effective than the process pr-v:ded for
by this section. Where such a process
exists. potential .MBEarntrectors shall
submit the informas:on required by the
redpienCs process.
(2) if the potential INME contractor
states in wnting that it has submitted
the same information to or was been
certified by the 00 ► tedpiint involved.
any DOT element. or another Federal
agency twat uses essentially the some
dZuuon and ownership and control
citeria as DOT. The potential MBE.
contractor shall obtain the infor e'don
and carufication (if any) 'rim the other
agency and submit It to the recipient or
cause the other agency to subsist IL The
recipient tray rely upon such a
certification. Where another agent/ has
collected :+for ration but nut made a
deternrciation cancar..ing eligibility, the
1
DOT recipient shall :take its own
determinnuon based an the information
It bias obtained from the other agency.
(3) It :he potential MBE contractor has
btzn determined by the Small Business
Administration to be owned sad
controlled by socially and economically
disadvantaged individuals uadar section
1(a) of the Sta911 Business ACC as
amended.
S =5.5 I El"My efststdsedst. ,
(a) The following standards shall be
used by recipients in determining
whether a rum is owned and contrulled
by onb or more minorities or women is
and +hall therefore be eligible to be
cer'fled as ua IVME Businesses
sUpieved by the datermination may
appeal in accordance with procedures
set forth in 123.=
(1) Ban& ride minority group
membership shall be established on the
basis of the Individuals claim that he or
she is a member of a minority group and
Is so -regarded by that particular
minority community. However. the
recipient is not required to accept this
claim if it determines the claict to be -
invalid.
(2) An eligible minority business
enterprise under this part shall be an
Independent business. The ownership
and control by minorities or women
shed be real, substantial. and continuing
-and shall go beyond the pre jcrm .
ownership of the Ci _- as m0eand to its
ownership doaimaau. T..e'"rarity or
women owners ahatl enjoy the
customary taddents of owarrsWis and
shall share in the rrlsa and pm!:ts
commensurate with t ;err ownMbip
interest.% as deasoasnatred by a
exmaination of the subataaco rather
than form of arrangeatents. Recognition
of the bwiness as a separate entity for
tax or co:porate purroaae is act
neccuarily sufficient for recognition as
sa MBE. In datarmiafng wheth►,e a
potential MBE is an tadepe_-%&nt
buatness. DOT recipients shell consider
all relevant factom including the data
the business wu established. the
adequacy of its resourtxs for the work
of the contract. and Lhe dai!ree to wirier
financaL equipment leasia& and other
telationabipa with aonminority lima
vary kam industry practice.
(a) The minanty or women owners
shall also p038433 the power to direct or
cause the direction of the management
and policies of the !?-r and to cake the
day -today as wed as major decsions
on matters of Waaagement policy, and
eperationa.'1 :•e fug shall not be subject
to any formal or informal re3uic:!ona
FR-8
which licit the customary discetioa of
the minority or women owa,ers.' were
shall be no restrictions through. far
example. bylaw prov.aions. parmarship
agreements. or charter requitemsau far
cumulative voltug tivisto sr Otherwise
that prtvaat thA a4apgW at women
ownste„ wjthau� ga?(ttioa or vote
Of nay gwpgf w.qo i; ny a Qr*arity or
wetp°n. hpsn I%fljiiu usjneaa
dacb aion pf the firm*
(A) It tlsg owtlaia oj; 4,3 lira who ors
not miitoritin•otworaill are
disproportionately rea;ansible for the
operation of the fim then the first is not
controlled by minorities or women and
shall not be considered aa.M3Z within.
the meaning of this par- Where the
actual managemscraf the fl.i* to
eonnictad out to individuals other waa
the owner. those perscas who have the
ultimate power to him and fire the
managers can. for the purposes of tfds
pam be eonsidemd as coatrodicS the
business.
(5) All securities whist constitute
ownership and/or control of a
corporation for purposes of eatabIl3hiig
It as an %M under this part s"ll be
held directly by mincrilts or women.
No securities held to t.-ust. or by any
guardian for a minor. shall be
considered as held by minority or
women in determining tee Ownership or
control of a corporation.
(a) The cam:ibutioas of capital or
expertise by the minority or women
owners to acquire their Interests in the
firs shall be real and substaatiaL
Examples of tasuf-Rcient coatribudocx
include a promisa to contribute capital.
a rote payable to the firm orIt-.owre:s
who ate not sodaUY and economically
disadvantaged. or the mere parsfdpauon
as an employee. rather than as a
manager.
(b) In addition to the above standards -
DOT recipienta shall give special
consideration to the following
eir-=Vances is dstermiaiag eligibility
under this part
(1) Newly formed firms and Einar
whose ownershio andinr canucl has
changed since the date of the
advertisement of the contract an
closely scrtttti:ed to determine the
reasons fcr the timing of the fotradom
of or change in the (Imi.
(2) A previous and/crcontin•dng
employer -employee relationship
between or among present owners is
carefully reviewed to ensue that In
employee -owner has management
responsibilities and espabilices
discussed in this section.
(3) Any relationship between an :fWE
e
and a busiaesa whictu is not an ivoz
which he&an interest In the M8E is
carefully revitived to determine if I%@
interest of L!ti ncm-h HE conflicts with
the ownership and control requirements
of this section.
(e) A joint venture is eligible ender
this part if Lice MBE partner of the joint
venture ;Heats the standards for an
ellgtbie ht3E set forth above and the
MBE partmler is responsible for a dearly
defined portion of the work to be
performed and sham in the ownership.
control. rsanageateat respottsibilitIV16
risks. and profits of the joint venture,
(d) A joint ventam is eligible to
compete in an MBE set -aide under this
part if the MBE partner of the joint
venture tweets the standards of as
eligible NNE set forth above sad the
..WE partners share im the owntrihip.
control. and manatement
responsibilities. risks. and profits of the
joint venture is at least 31 pttrceat and
the XM partner is responsible for a
clearly defused portion of the work to be
perfnrmed.
(e) A bu3inw wishfrut to be certified
as an MBE or joint venture NBE by a
DOT recipient shall cooptmt3 with the
recipient in supplying additional
informadca which may be requoited in
order to make a datermtrsstiaa.
(i) once esrArled. art MME shall
update its st;boiission annually by
submitting a new Schedule A or
.carolling that the Schedule A on file is
Still accurate• At any time there 13 a
change in ownership or control of the
11m. the NM shall submit a new
schedule A.
(S) Except as provided in section
an the denial of a certification by the
Depart --en t or a recipient ?hall be finaL
for that contract and other contracts
bein3 let by this recipient at the time of
the denial of ctrtiflcation. MBE& and
Joint ventures denied certification may
correct deficitacies in their ownership
and conrrat and apply for certification
only for future contracra.
(h) Redpienta shall safeguard from
disclosure to ..:authorized persons
lnfamistion that reasonably may be
regar%!ed 43 confidential business
Information. connivent with . edeml.
stale and local law.
1111111111111111
jt �.sT YWthai pravtaioet ol4toorrset
Intattmstmort.
Jr. at any time. the Department or a
recipient has reason to believi that nay
persoa or (Ira has willfully and
knowiagiy provided lar_:trect
4-30.40
�o
laformaition or marl.? false statements?. it
shall safer the matter to the Ga,neral
Counsel of the Depar=4,,L Ha/sha may
Initiate debarment proruluume in
accordance with 41 C R 1-1404 end % .+
1.002 and/or role? tun atatim to the
Department of jwlice;Mdor is (JAC,
loot. as he/she doansa appropriate.
Scbo" A-Waeas late for Datetmiaiai
Woolky evedttaM &Wpd" ail;:b8itr
L floors oLl1rn
i Addtsso of firm
4. L*dlaate wiatbor rime Is sale ,ztopr:ator-
ship. partatrVitlp. (oust venttstrs. Corfrotettcn
tie orber bstebtew etmmity (piesN s9eesfTJ --�-
fi.:fetmereof Ldntt's b4mete •-�•�••�
e Yeas Rent has bent ie tiveisoss -•..-+
e. 10--m-S-1±r of Am identify that* who
owe 3 Wonsan or mom of the f rWo
vwtlowbq►Wt—_ :: a wisi i novel brltiled east
eniy iftbe flea is tan thurttlo posseet
minority awtsed.
twee mw s. New awahr pra�rr
"No see
With Arms lose than 1oa peteont minority .
awned. list the aoaambutiore of mangy.
equipment. reel estate. or apertlso of each of
the. Coned of Gras (a) Idendyy br%mes►
face six. and title IQ des firm tho.e
Individual. (tacludlntj owners and an.
owner+) who era re+ooneibla foedaytodgr
eunatemsat and poUCI decsioesukir4
lncludtns• but not limited to thaw with ponces
msponabillty far.
(1) Financial ott»tlons
(a.211 M4044cment dectsions. mats' so-�
rimn
b. Markiiiiaa and selae
e lfinn+t and Rrutg of msoaavaent parson•
eel
d. Fet:rlaata,of senior iutas car pup?Uet--�
(3) SupwMelon of field operations
9. For each of hose Usted to go"con iL
provide a bnyf tummay of the Vw"o's
expar;enea and number of yoon wtsb the
Arta. Indicatt" t5.a persoa'a goaiiii aaoas far
We MooettbtUdeo givam !eta or het.
10• Describe at attsclh a copy of any store
options or other owntrtbip Otittons that ire
autstsndin;, sad any apvtmants between
owners or ben.een ovmers and thud parties
whin restrict ownership orcontroi of
minority owners.
11. Identfy am owner (tn Item 71 or
ctansfement oincal (star iota a) of the
auatd Arm woo is or ban b.ee as amplor"
of another Arta that has as owneahm
Intete.e to or a prestot btutaesa rsiaco+uhip
'with the named Ad= F twat buucasa
relationships iadado abartd space•
equipment. Aaancive or eamplaren as well
u both mirma hsvmnl so -no of we same
owners.
12.'Shot are the pints receipts of t4e fist
for each of We last two years?
FIR —9
h
,r
sgar rndiaq
Year tzchq
S
iL j+rseia � l+�rllili ptli�NH►t li NtiN �:. .
1{, � you �ptfi_ae)zr q ' btui,:ate is
01 tti~lp4�i�t?uhi� '..•pctttdLm4aii
other ;!=s with
tuUM0oa a
i dascrible the
nsoo of the
_hats of such
AMAt*
�9 ua¢Oai�ad awtees flat this fat~=
statM__" W ter sad correct sad include
all met. 21!aicir�ysttot e+!r�aaey a 1d.aaly
and ;hperaeloas of (ass e
of aria) u ,}�iha oweasaip:.�-_�C
)<unhu. the tutdaWpoelsore" is provide
thrown theariay+mnttsetsr or. I'sa :nee
ttirtcty A tbs.4tse atrrrm co=;Uis sad
.;,curate lydgrmail9R r evar3l.4 a=al watt
perforated oa oft.9 pro(am the paymwu
thenfor and any proposed e:aaitss. if any. cf
rho for"cifif artwn"meats and to permit the
audit and exambseacit of bewha records and
Riot of the named firm Aar aatwfal
+nistrpeeseetatloD will balm a foe
to minstin>j say contract wbichmay be
swateAd and for laitlatisy action under
Federal or Staw Lair's eonv rntng-Was ,
suttmenw*
Notes 4. after fiilnet this SeWele A and
before the work of this firm is complated on
the contract covered by We rertttsdan, Ware
Is any O1g1ul1cant cbattgrt in the W*rm-••ition
submitted. you rant inform the srenteo of the
change L1rauSh the pniao eantntnor or. L'so
prime contnctot. Inform the }rsntse d!mtctly.
Sltnattsra
Name
Title
Date
Corporsto Seol (whore apptvprttt*J
Date
State of
Cattnty of
Ott this -day is- before roe
appeared Nama) -% to =. p" naily
knowtu wbo. beta4 duly ?worm &d execute
the faremm slMdavit. sad did slut that be
or she war property outhar..sel by (; txme of
i =1- -- to execato the af^•davit and
did so as his or her free Oct and deed.
(Setlj
!votary pAlle
t~racmtsnon expue.
5e.4vdule Q-tafoamsadoo for Detrts iaias
Jont Yaattae EfyohWty
M..1s forts need not be UUed 4n if all )otat
venture Mans are minority owned.)
!.;Jame of joint ventwa••••----.�-�
'. Aeons of joint venntrtr---•-..- -.
3. Phone atmoae Wow vmt%-t�-•.•-•.--.
4. identify the Rx a witch, cemanse rho
Joint venture. tihe MM paitasr =art cr
c
plate Schedule 1.1 -
(s) Oes=be &he role Of the SGZ Am is the
^ Nos» o� l MA Nwa at Mrs
jo€nttieamn. - --
xa,r, 3laasrura
(b) 4escibe very bristly the experience
besinas "Cone Of each aaa-M"
Nana Name
TUU
sad gaal€f
(vial ventm•.r. — ----- -•—" �••••��•••
Title
ate a.ro•
S..Yature of the jatnt veatnrs's buaioees •»
Data
Stato
=toy of
a Provide a copy at the iow veseses
On this -• day of - 15" before ins
appeared112 me
e Wbit Isthe a eirued Pe+ti= of
who. bai vl duly swam did exec -its
ownership?
L Qwnship Of joint watorst fntis need not
the for"aing aMdavit. and did stars that he
or she was pmpet#y authorized by (Name of
be tilled In if descsbed is the to'uu "snout
to execute the affidavit and
Amen tot. provided by -,until= 6.)
did suit his or Ms I:ee act and deed.
(al P:•ofit and loss sharut;.
(b) GpiW
Notary Pablie -
expires -
"U19 lot.
(CI Cthtr appii-k Owtranhio iutatssu.
('evj
--
L Gaeoi of and partiripsdoa in this
Identify by name. race. sax. and
pate ^'r
State of -
=tract.
'ffw those tntlividusis (and theft titles) who
Guar. of
on—day of----.19• •. before me
are retpcnaible for day.laday raensgentent
and *cy dsdsiortr1ak4u4• laciud.n;, but not
.%is
appeared (Nance) to me personally
known. who. hair; duly awora. did execute
those.with;.ame reapone
limited to. ibility fart
al ��
lto.as
the forgoing aMdavtt. sad did state that he
f
(b) Ntaaa4estent deealose. such, a�,�,�
proerty
Mstlor e w--'--po execute s affidavit and,
(1) stim.uaq
titsritadn; and sal.a
did so as big or her ere act and dead.
g1
) .yirt,; and first; of msmagernent person,
Notuy Nblic -
ae)
(41 Ptuchstirn of u+aior €t-me ce 3uppll.s •-�
Graauaioa etcpir:s -
(Se.IJ
(ct Supervision of held wersttans
Note, --a after Olin; this Schedule a and
before the completion of the joint ventura's
work an the contract covered by this
rejulatiom this is any slgtu.flunt Change In
the infamation submItWL the joint venous
must Ittfom the staote% tither directly or
throuSh the priest Gntr'lctor if the Ioiat
'
venturs#s a sabconasctor.
Affidavit
;asundani aad swesrthat the forgoing
statements are correct sad include sit
mstertal informadait.amssary to identify
and explain the terms and operation of our
joint veaturt end the iatenderd pauudpstian
by ors IOW veotetnt In the undettskuttf
.
'Farther. the uadetsisoad cavenent and ante
to provide to Ihs fraates currtnR Compiate
and aoenrale inlomation rt•Jardial eetual
;pint vtmrttre worst and the payment Lh9refor
and say proposed chAq's in any of the joint
venture errsgemimmu end to permit the sud#t
and examiaaaon at the boosts. MCords end
alai of the joist vents.-►. or Lhasa Of each
Joist venttuer teltveat to the (o►nt';entue. by
authonxad ttpraentadva of the cmntte or
the . edend tuadfai &MC;r. Any msratsl
miutpre senlanon w111 be 3rounds for
tsrtriasdai any contract whiea say be
awarded and for ioivada; sctlan under
Federal of State laws coocsrnuta false
platens""*
4-30-40 FR-10
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28
RESOLUTION NO. 7352
A RESOLUTION OF THE CITY OF CARLSBAD ADOPTING
THE SAN DIEGO REGION MINORITY BUSINESS
ENTERPRISE PROGRAM.
WHEREAS, the Federal Department of Transportation, under the
Code of Federal Ragulations, Title 49, Part 23, requires each
local government entity receiving Federal Transportation Funds to
implement a Minority Business Enterprise Program; and
WHEREAS, the Minority Business Enterprise Program must be
included in any local government contracts which are wholly or
partially funded with Federal Transportation Funds and require the
inclusion of Minority Busincss Enterprise Program provisions in
the contract; and
WHEREAS, the San Diego Region, Federal Aid Urban Advisory
Committee has developed a Regional Minority Business Enterprise
Program for use by all the regions' sixteen cities, two transit
districts, the Port District, and the County; and
WHEREAS, the San Diego Region, Federal Aid Urban Advisory
committee is composed of representatives from all sixteen cities,
the two transit districts, and the County who jointly have
developed this Regional Minority Business Enterprise Program so
that the region's Cities, Transit Dstricts, Port District and
County may avoid the log delay, considerable expense and
,unnecessary duplication of effort required to develop individual
local government Minority Business Enterprise Programs; and
WHEREAS, The San Die.go Region, Minority Business Enterprise
1
Program was approved by the Federal Department of Transportation
2
on July 1, 1981; and
3
WHEREAS, by approving this resolution, the City of Carlsbad
4
desires to use the current Federally approved San Diego Region,
5
Minority Business Enterprise Program for use on any Federal
6
Transportation Funded contracts that may require a Minority
7
Business Enterprise Program.
8
NOW, THEREFORE, BE IT RESOLVED AND ADOPTED that the City
9
Council of the City of Carlsbad does hereby instruct the San Diego
10
Region, Federal Aid Urban Advisory Committee to include Carlsbad
11,
in its regional response to the Federal Department of
12'
Transportation as to local government entities within this region,
13
who desire to use the San Diego Region, Minority Business
14
Enterprise Program and Goals on its Federal Transportation Funded
15
contracts which require a Minority Business Enterprise Program and
l6_
Goal.
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BE IT FURTHER RESOLVED AND ADOPTED that the City Engineer be
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designated as the City of Carlsbad's Minority Business Enterprise
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Liason in accordance with the Code of Federal Regulations, Title
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49, Part 23.
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BE IT FURTHER RESOLVED AND ADOPTED that the City of Carlsbad
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commends the San Diego Region, Federal Aid Urban Advisory
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Committee for developing a single, uniform Minority Business
Enterprise Program for use by all local government entities with
the San Diego Region.
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PASSEED, APPROVED AND ADOPTED by the City Council of the
City of Carlsbad at its regular meeting held on the 20th day of
September , 1983, by the following vote, to wit:
AYES: Council Manbers Casler, Lewis, Chick and Prescott
NOES: None
ABSENT: Council Member Kul -chin
C/ASLER, Mayor
ATTEST:
HARAUTE�KA�,C4yC e
( S E-A L )