HomeMy Public PortalAbout02 February 2, 2012 CommissionTIME/DATE:
LOCATION:
Riverside County Tronsportotion Commission
MEETING AGENDA
4:00p.m. I Thursday, February 2, 2012
SANTA ROSA B AND C
EMBASSY SUITES LA QUINTA
50-777 Santa Rosa Plaza, La Quinta, CA
&-COMMISSIONERS ~
Chair -John J. Benoit
First Vice Chair -Karen Spiegel
Second Vice Chair -Marion Ashley
Bob Buster, County of Riverside
John F. Tavaglione, County of Riverside
Jeff Stone, County of Riverside
John J. Benoit, County of Riverside
Marion Ashley, County of Riverside
Bob Botts I Don Robinson, City of Banning
Roger Berg I Jeff Fox, City of Beaumont
Joseph DeConinck I To Be Appointed, City of Blythe
Ella Zanowic I Jeff Hewitt, City of Calimesa
Mary Craton I Barry Talbot, City of Canyon Lake
Greg Pettis I Kathleen DeRosa, City of Cathedral City
Steven Hernandez I Eduardo Garcia, City of Coachella
Karen Spiegel I Steve Nolan, City of Corona
Scott Matas I Russell Betts, City of Desert Hot Springs
Adam Rush I Ike Bootsma, City of Eastvale
Larry Smith I Robert Youssef, City of Hemet
Douglas Hanson I Patrick Mullany, City of Indian Wells
Glenn Miller I Michael Wilson, City of Indio
Frank Johnston I Micheal Goodland, City of Jurupa Valley
Terry Henderson I Don Adolph, City of La Quinta
Bob Magee I Melissa Melendez, City of Lake Elsinore
Darcy Kuenzi I Wallace Edgerton, City of Menifee
Marcelo Co I Richard Stewart, City of Moreno Valley
Rick Gibbs I Kelly Bennett, City of Murrieta
Berwin Hanna I Kathy Azevedo, City of Norco
Jan Harnik I William Kroonen, City of Palm Desert
Ginny Foat I Steve Pougnet, City of Palm Springs
Daryl Busch I AI Landers, City of Perris
Scott Hines I Gordon Moller, City of Rancho Mirage
Steve Adams I Andy Melendrez, City of Riverside
Andrew Kotyuk I Scott Miller, City of San Jacinto
Ron Roberts I Jeff Comerchero, City of Temecula
Ben Benoit I Timothy Walker, City of Wildomar
Raymond Wolfe, Governor's Appointee
RECORDS
Comments are welcomed by the Commission. If you wish to provide comments to the Commission,
please complete and submit a Speaker Card to the Clerk of the Board.
Alexandra Rackerby
From:
Sent:
To:
Subject:
Alexandra Rackerby
Thursday, January 26, 2012 6:02PM
Alexandra Rackerby
RCTC February Commission Meeting Agenda -lpad users
Good Afternoon Commissioners,
The Commission agenda for Thursday, February 2, 2012 is posted on our website at
http:/ /www.rctc.org/downloads/current/agenda ipad.pdf Let me know if you have any questions or
concerns.
Thank you.
Respectfully,
Allie Rackerby
Riverside County Transportation Commission
(951) 787-7141
1
Alexandra Rackerby
From:
Sent:
To:
Subject:
Alexandra Rackerby
Monday, January 30, 2012 8:50AM
Alexandra Rackerby
RCTC February Commission Agenda
Good Morning Commission Alternates,
Attached below is the link to the February 2, 2012 Commission Meeting Agenda. Please copy the link and
paste it into a web page http:/ /www.rctc.org/downloads/current/agenda 2012 02.pdf
Thank you.
Respectfully,
Allie Rackerby
Riverside County Transportation Commission
(951) 787-7141
1
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
www. rete. org
AGENDA*
*Actions may be taken on any item listed on the agenda
4:00p.m.
Thursday, February 2, 20 12
EMBASSY SUITES LA QUINTA
50-7 7 7 Santa Rosa Plaza
La Quinta, CA
In compliance with the Brown Act and Government Code Section 54957.5, agenda materials
distributed 72 hours prior to the meeting, which are public records relating to open session
agenda items, will be available for inspection by members of the public prior to the meeting at
the Commission office, 4080 Lemon Street, Third Floor, Riverside, CA, and on the
Commission's website, www.rctc.org.
In compliance with the Americans with Disabilities Act and Government Code Section 54954.2,
if special assistance is needed to participate in a Commission meeting, please contact the Clerk
of the Board at (951) 7 8 7-7141. Notification of at least 48 hours prior to meeting time will
assist staff in assuring that reasonable arrangements can be made to provide accessibility at the
meeting.
1 . CALL TO ORDER
2. PLEDGE OF ALLEGIANCE
3. ROLL CALL
4. PUBLIC COMMENTS -Each individual speaker is limited to speak three (3) continuous
minutes or less. The Commission may, either at the direction of the Chair or by majority
vote of the Commission, waive this three minute time limitation. Depending on the
number of items on the Agenda and the number of speakers, the Chair may, at his/her
discretion, reduce the time of each speaker to two (2) continuous minutes. In addition,
the maximum time for public comment for any individual item or topic is thirty (30)
minutes. Also, the Commission may terminate public comments if such comments
become repetitious. Speakers may not yield their time to others without the consent of
the Chair. Any written documents to be distributed or presented to the Commission
shall be submitted to the Clerk of the Board. This policy applies to Public Comments and
comments on Agenda Items.
Under the Brown Act, the Commission should not take action on or discuss matters
raised during public comment portion of the agenda that are not listed on the agenda.
Commission members may refer such matters to staff for factual information or to be
placed on the subsequent agenda for consideration.
Riverside County Transportation Commission Agenda
February 2, 2012
Page 2
5. APPROVAL OF MINUTES -December 14, 2011 and January 11, 2012
6. ADDITIONS I REVISIONS -The Commission may add an item to the Agenda after
making a finding that there is a need to take immediate action on the item and that the
item came to the attention of the Commission subsequent to the posting of the agenda.
An action adding an item to the agenda requires 2/3 vote of the Commission. If there
are less than 2!3 of the Commission members present, adding an item to the agenda
requires a unanimous vote. Added items will be placed for discussion at the end of the
agenda.
7. CONSENT CALENDAR -All matters on the Consent Calendar will be approved in a
single motion unless a Commissioner(s) requests separate action on specific item(s).
Items pulled from the Consent Calendar will be placed for discussion at the end of the
agenda.
7 A. QUARTERLY INVESTMENT REPORT
Page 1
Overview
This item is for the Commission to receive and file the Quarterly Investment
Report for the quarter ended December 31 I 2011 .
7B. SINGLE SIGNATURE AUTHORITY REPORT
Page 23
Overview
This item is for the Commission to receive and file the Single Signature
Authority report for the second quarter ended December 31 I 2011.
7C. FEDERAL HIGHWAY ADMINISTRATION DISADVANTAGED BUSINESS
ENTERPRISE PROGRAM AND PROPOSED OVERALL PROJECT GOAL
Page 25
Overview
This item is for the Commission to:
1) Adopt Resolution No. 12-005 1 "Resolution of the Riverside County
Transportation Commission Adopting Its Disadvantaged Business
Enterprise Program and Overall Disadvantaged Business Enterprise
Project Goal (49 CFR Part 26) As It Applies to Funding Received
Directly from the Federal Highway Administration";
----------------------------------
Riverside County Transportation Commission Agenda
February 2, 2012
Page 3
2) Adopt the Commission's Disadvantaged Business Enterprise (DBE)
Program for the State Route 91 Corridor Improvement Project
(SR-91 CIP), a Federal Highway Administration (FHWA) assisted
contract. The DBE program includes a proposed 2.9% overall DBE
project goal for the SR-91 Cl P. The goal is wholly race-neutral and
will be finalized following the required 45-day public comment
period, which concludes on or about March 20, 2012;
3) Authorize the Executive Director to execute the Commission's DBE
Program and Policy Statement on behalf of the Commission for
submission to FHWA;
4) Post the proposed overall DBE project goal to allow for public
participation as required by 49 CFR, Part 26, make the DBE program
document available for review to the public for 30 days, and receive
comments for 45 days; and
5) Submit the DBE program document and overall DBE project goal
methodology to the FHWA for approval.
7D. FEDERAl TRANSIT ADMINISTRATION DISADVANTAGED BUSINESS
ENTERPRISE PROGRAM AND PROPOSED OVERAll PROJECT GOAl
Page 150
Overview
This item is for the Commission to:
1) Adopt Resolution No. 12-004, #Resolution of the Riverside County
Transportation Commission Adopting Its Disadvantaged Business
Enterprise Program and Overall Disadvantaged Business Enterprise
Project Goal (49 CFR Part 26) As It Applies to Funding Received
Directly from the Federal Transit Administration";
2) Adopt the Commission's Disadvantaged Business Enterprise (DBE)
Program for the San Jacinto Branch Line Commuter Rail (Perris
Valley Line) project, a Federal Transit Administration (FTA) assisted
contract. The DBE Program includes a proposed 3.8% overall DBE
project goal for the Perris Valley Line project. The goal is wholly
race-neutral and will be finalized following the required 45-day public
comment period, which concludes on or about March 20, 2012;
3) Authorize the Executive Director to execute the DBE Program and
Policy Statement on behalf of the Commission for submission to
FTA;
4) Post the proposed overall DBE project goal to allow for public
participation as required by Title 49 CFR, Part 26, make the DBE
program document available for review to the public for 30 days,
and receive comments for 45 days; and
5) Submit the proposed DBE program document and overall DBE project
goal to the FT A for approval.
Riverside County Transportation Commission Agenda
February 2, 2012
Page 4
7E. RIVERSIDE COUNTY 2013 FEDERAL TRANSPORTATION IMPROVEMENT
PROGRAM FINANCIAL RESOLUTION
Page 270
Overview
This item is for the Commission to:
1) Adopt Resolution No. 12-006, "Resolution Certifying Riverside
County has Resources to Fund Projects in Federal Fiscal Years
2012/13 Through 20 17/18 Transportation Improvement Program
and Affirming Commitment to Implement All Projects in the
Program"; and
2) Forward to the Southern California Association of Governments
(SCAG) for inclusion in the 201 3 Federal Transportation
Improvement Program (FTIP).
7F. MEMORANDUM OF UNDERSTANDING WITH THE SCRRA FOR SECURITY
GUARD SERVICES AT THE DOWNTOWN RIVERSIDE STATION AND
LAYOVER FACILITY
Page 274
Overview
This item is for the Commission to:
1) Approve Memorandum of Understanding (MOU) No. 12-25-043-00
with the Southern California Regional Rail Authority (SCRRA) for
security guard services at the Downtown Riverside Station and
layover facility; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the
MOU on behalf of the Commission.
7G. RIDESHARE SOFTWARE PROCUREMENT
Page 283
Overview
This item is for the Commission to:
1) Approve Agreement No. 12-41-047-00 with Base Technologies, LLC
(BaseTech) for the provision and hosting of new ridematching
software in an amount not to exceed $216,000; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission.
Riverside County Transportation Commission Agenda
February 2, 2012
Page 5
8. AGREEMENT WITH PARSONS TRANSPORTATION GROUP TO PROVIDE
ENGINEERING SERVICES FOR THE PREPARATION OF PLANS, SPECIFICATIONS,
COST ESTIMATES, AND RELATED SERVICES FOR IMPROVEMENTS TO STATE
ROUTE 91 IN THE EASTBOUND DIRECTION AND TO THE STATE ROUTES 71/91
INTERCHANGE
Page 305
Overview
This item is for the Commission to:
1) Award Agreement No. 11-31-110-00 to Parsons Transportation Group,
Inc. (Parsons) to provide engineering services for the preparation of plans,
specifications, and cost estimates (PS&E) and related services for
improvements to State Route 91 in the eastbound direction and to the
71 /91 interchange, from approximately one-quarter mile west of
Green River Road to Serfas Club Drive in the city of Corona based on the
attached project scope, schedule, and cost in the amount of $8,136,031,
plus a contingency amount of $804,537, for a total amount not to exceed
$8,940,568, contingent upon obligation of federal funds;
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission; and
3) Authorize the Executive Director to approve contingency work up to the
total not to exceed amount as may be required for the project.
9. INTERSTATE 215/BLAINE STREET PROJECT -LANE EXTENSION FROM BLAINE
STREET TO 0.3 MILES PAST MARTIN LUTHER KING BOULEVARD
Page 417
Overview
This item is for the Commission to:
1) Agree to sponsor the construction phase of the Interstate 215/Biaine
Street project to extend a lane on southbound 60/21 5 from Blaine Street
to Martin Luther King Boulevard;
2) Approve the programming of $2 million of federal Surface Transportation
Program (STP) funding in federal fiscal year 2011/12 for construction
capital; and
3) Approve amending the Federal Transportation Improvement Program to
program STP funds.
Riverside County Transportation Commission Agenda
February 2, 2012
Page 6
10. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
11. COMMISSIONERS I EXECUTIVE DIRECTOR REPORT
Overview
This item provides the opportunity for the Commissioners and the
Executive Director to report on attended meetings/conferences and any other
items related to Commission activities.
12. ADJOURNMENT
The next Commission meeting is scheduled to be held at 9:30 a.m., Wednesday,
March 14, 2012, Board Chambers, First Floor, County Administrative Center,
4080 Lemon Street, Riverside.
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
ROLL CALL
FEBRUARY 2, 2012
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Governor's Appointee, Caltrans District 8
--------------------
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
COMMISSIONER SIGN-IN SHEET
FEBRUARY 2, 2012
NAME AGENCY E MAIL ADDRESS
AGENDA ITEM 5
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
MINUTES
Wednesday, December 14, 2011
1. CALL TO ORDER
The Riverside County Transportation Commission was called to order by
Chair Greg Pettis at 9:33 a.m. in the Board Room at the County of Riverside
Administrative Center, 4080 Lemon Street, Riverside, California, 92501.
2. PLEDGE OF ALLEGIANCE
At this time, Commissioner Douglas Hanson led the Commission in a flag
salute.
3. ROLL CALL
4.
Commissioners/ Alternates Present
Steve Adams Scott Hines
Marion Ashley Frank Johnston
Ben Benoit Andrew Kotyuk
John J. Benoit Darcy Kuenzi
Roger Berg Bob Magee
Bob Botts Scott Matas
Daryl Busch Glenn Miller
Bob Buster Greg Pettis
Marcelo Co Ron Roberts
Mary Craton Adam Rush
Rick Gibbs Larry Smith
Berwin Hanna Karen Spiegel
Jan Harnik Jeff Stone
Douglas Hanson Ray Wolfe
Terry Henderson Ella Zanowic
Steven Hernandez
PUBLIC COMMENTS
Commissioners Absent
Joseph DeConinck
Steve Pougnet
John F. Tavaglione
There were no requests to speak from the public.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 2
5. APPROVAL OF MINUTES -NOVEMBER 9, 2011
M/S/C (Stone/Adams) to approve the minutes of November 9, 2011
meeting as submitted.
6. ADDITIONS/REVISIONS
Per staff's request, the Closed Session Agenda Item, "Conference with Real
Property Negotiators, Pursuant to Government Code Section 54956. 8" was
pulled from the agenda.
Commissioner Bob Buster referred to Agenda Item 7B, "Fiscal Year 2010/11
Commission Audit Results" and commented that the Audit Ad Hoc
Committee has met with several sets of Commission auditors to review
some of the key aspects of the financial and active operational life of the
Commission. He stated it is important for the Commissioners to understand
these independent analyses. He discussed the right of way acquisition
process, which the auditors found no reportable issues. He commended
Min Saysay, Right of Way Manager, for his efforts.
Commissioner Andrew Kotyuk requested Agenda Item 7B be pulled for
further discussion.
7. CONSENT CALENDAR
M/S/C (Adams/Stone) to approve the following Consent Calendar
items:
7A. PROPOSED 2012 COMMISSION/COMMITTEE MEETINGS AND
UNMET TRANSIT NEEDS PUBLIC HEARING SCHEDULE
Adopt its 2012 Commission/Committee Meetings and Unmet Transit
Needs Public Hearing Schedule.
7C. QUARTERLY FINANCIAL STATEMENTS
Receive and file the Quarterly Financial Statements for the period
ended September 30, 2011.
7D. QUARTERLY SALES TAX ANALYSIS
Receive and file the sales tax analysis for Quarter 2 (Q2) 2011.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 3
7E. 2011 CONGESTION MANAGEMENT PROGRAM
Approve the 2011 Congestion Management Program (CMP) Update.
7F. AMENDMENT WITH STV INCORPORATED TO PROVIDE ADDITIONAL
ADVANCED PRELIMINARY ENGINEERING AND ENVIRONMENTAL
SERVICES, FINAL DESIGN, AND PROCUREMENT AND
CONSTRUCTION SUPPORT FOR THE PERRIS VALLEY LINE PROJECT
1) Approve Agreement No. 07-33-123-07, Amendment No. 7 to
Agreement 07-33-123-00, with STV Incorporated (STV) for
additional advanced preliminary engineering (APE), final design,
bid support, design support during construction, and additional
support in the development of the federal supplemental
environmental assessment (SEA) and state environmental
impact report (EIR) for the Perris Valley Line (PVL) in the amount
of $5,510,668, plus a contingency amount of $1.6 million, for
a total amount not to exceed $7, 110,668;
2) Authorize the Chair, pursuant to legal counsel review, to
execute the agreement on behalf of the Commission; and
3) Authorize the Executive Director or designee, pursuant to legal
counsel review, to approve the use of the contingency as may
be required for the project.
7G. AGREEMENT FOR REIMBURSEMENT OF CALL ANSWERING CENTER
SERVICES
1) Approve Agreement No. 12-45-033-00 (C-12139) with
San Bernardino Service Authority for Freeway Emergencies to
provide for the reimbursement of call answering center services
related to the operation of call boxes in an amount not to
exceed $190,000; and
2) Authorize the Chair, pursuant to legal counsel review, to
execute the agreement on behalf of the Commission.
7H. LETTER OF INTEREST
IMPROVEMENT PROJECT
STATE ROUTE 91 CORRIDOR
1) Direct staff to prepare a Transportation Infrastructure Finance
and Innovation Act (TIFIA) letter of interest (LOI) for credit
assistance to the U.S. Department of Transportation (U.S. DOT)
for the State Route 91 Corridor Improvement Project (SR-91
CIP); and
2) Authorize the Executive Director to submit the TIFIA LOI.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 4
71. MOVING AHEAD FOR PROGRESS IN THE 21sT CENTURY
Receive and file an update on Moving Ahead for Progress in the 21st
Century (MAP-21 ).
8. LOS ANGELES-SAN DIEGO-SAN LUIS OBISPO RAIL CORRIDOR AGENCY
UPDATE
Sheldon Peterson, Rail Manager, provided an update for the Commission's
effort to be engaged in the Los Angeles-San Diego-San Luis Obispo Rail
(LOSSAN) Rail Corridor Agency, highlighting the following areas:
• Description of the LOSSAN Corridor;
• State support for intercity service;
• The Commission's request to seek voting membership;
• Goal of local authority for Pacific Surfliner service;
• Benefits of membership in the LOSSAN Rail Corridor Agency; and
• Governance next steps.
At this time, Commissioner Bob Magee arrived at the meeting.
Anne Mayer, Executive Director, discussed the importance of the LOSSAN
Corridor for existing Metrolink and Surfliner services. The Commission is
working with Amtrak and Metrolink to re-route the Sunset Limited to add
stops in Riverside and Fullerton to increase ridership. She then discussed the
complexities and diverse interests involved in this issue. She stated Orange
County Transportation Authority (OCTA) has developed a governance
structure that appears to address and protects all the agencies' interests.
Staff is requesting Commission direction regarding the legislation because if
legislation goes forward without the Commission as a voting member, the
Commission needs to make its opposition known.
Commissioner Buster expressed the importance of the Commission being an
ex-officio member, at a minimum, with voting rights in the near future. He
then asked about the next steps.
Anne Mayer replied if this group goes forward with a vision that there will be
a coordinated rail system in Southern California, the next steps are: 1) define
the system; 2) define the service plans; 3) and identify the capital
improvements that need to be made to ensure implementation of this
system.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 5
Sheldon Peterson stated one of the components staff is working on in the
short term is to propose additional service on the 91 line and coordinate
with Burlington Northern Santa Fe Railway, LOSSAN Rail Corridor Agency,
and Metrolink to ensure support.
Commissioner Mary Craton expressed her full support of the staff
recommendation. She noted that along with OCTA, the Southern California
Association of Governments (SCAG) supports the Commission's voting
membership to the LOS SAN Rail Corridor Agency.
Anne Mayer expressed appreciation to Sheldon Peterson for all of his efforts
representing the Commission on all rail matters. He is currently working in
collaboration with Coachella Valley Association of Governments (CVAG)
staff to ensure the Sunset Daily service is included in the state rail plan.
M/S/C (Henderson/Ashley) to:
1 ) Authorize the Chair to execute the Bylaws and the Joint
Exercise of Powers Agreement that allow the Commission to be
included as an ex-officio member in the Los Angeles-San Diego-
San Luis Obispo (LOSSAN) Rail Corridor Agency;
2) Receive an update on the current LOSSAN Strategic Efforts and
Governance proposal; and
3) Take a oppose position of the proposed governance approach
with the condition that voting rights for the Commission will be
required for both local and legislative support of the effort.
9. WESTERN RIVERSIDE COUNTY REGIONAL CONSERVATION AUTHORITY
FUNDING REQUEST
Cathy Bechtel, Project Development Director, explained staff is requesting
the Commission's consideration of the funding request from Western
Riverside County Regional Conservation Authority (RCA), highlighting the
following areas:
• Multiple Species Habitat Conservation Plan (MSHCP);
• RCA map depicting the additional reserve lands acquired through
August 1, 2011;
• MSHCP obligation and status;
• RCA funding request; and
• Committee and staff recommendation.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 6
Commissioner Kotyuk clarified the direction that came from the Western
Riverside County Programs and Projects Committee (WRC Committee) was it
agreed, at RCA's request, to be the creditor securing a loan that RCA is
taking for a land purchase agreement. He explained RCA needs an eight-
year creditor to secure payments of $3 million per year. Commissioner
Kotyuk stated RCA is pursuing a federal loan. Additionally, the WRC
Committee discussed in two years, instead of the Commission being the
primary creditor and going forward with $3 million per year, if the federal
loan guarantee is received, the Commission will become the secondary
creditor. He expressed his belief that the WRC Committee's motion was to
go forward with the funding for the full period, and in two years, reagendize
this allocation to see if RCA received federal funding. If RCA received
federal funding, the Commission would discontinue providing the additional
funding to RCA until required by the MSHCP.
Cathy Bechtel referred to staff's recommendation to "Work with RCA to
assist in fulfilling the MSHCP funding obligations if a federal loan guarantee
program is not in place in two years" and at that time the Commission will
assess assisting RCA if the federal loan guarantee does not come to fruition.
Anne Mayer stated staff reviewed the recording of the meeting for
clarification of the motion and believes it was captured correctly. She
deferred to the WRC Committee members who made the motion and took
action. She explained this is the starting point for discussion as the
Commission determines the action.
Commissioner Bob Botts stated in all deference to Commissioner Kotyuk, he
recalls there was discussion of either no funding or a funding commitment of
two years. He stated he voted against the motion. He expressed the
Commission does not want to jeopardize the master take permit (permit) that
Western Riverside County operates under and although staff could not be
specific about the projects that would be impacted, the bottom line is $24
million to RCA would be $24 million less to highway projects. He expressed
his recollection that in 2009 there was a crisis and the Commission gave
RCA $70 million but the policy was for the Commission to not allocate any
additional funds to RCA until 2019. Commissioner Botts stated the WRC
Committee motion was made clear that it was for two years because RCA
Chairman Jeff Stone and Charles Landry, RCA Executive Director, stated
there could be relief coming from the federal government. He explained the
majority of the WRC Committee agreed to fund $3 million per year for the
next two years and evaluate the federal situation in two years.
Commissioner Botts stated he supports this motion and believes RCA agreed
to this modified commitment for two years instead of eight years.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 7
Commissioner Darcy Kuenzi stated as the Chair of the WRC Committee she
concurred with Commissioner Botts' recollection of the motion. She
explained the concern and discussion at the WRC Committee was not to
jeopardize the Commission's plans for this funding and still be supportive of
RCA. She concurred the WRC Committee's motion was to approve two
years of funding with a cap of $6 million. She stated she subsequently met
with Charles Landry to clarify the motion and recommendation of the WRC
Committee, which he agreed was acceptable and seemed to meet the needs
of RCA.
Commissioner Karen Spiegel concurred with Commissioners Botts' and
Kuenzi's recollection of the motion at the WRC Committee meeting.
In response to Commissioner Roger Berg's question if the staff
recommendation will meet RCA's funding needs, Commissioner Stone stated
he recalled the final motion that the Commission would be there for the first
two years and in the absence of a federal loan guarantee, or in the absence
of the economy recovering, that the Commission would continue its eight-
year commitment or $24 million. He suggested listening to the recording of
the WRC Committee meeting to verify this motion. He discussed RCA's
current position and the importance of the $24 million, the MSHCP, and the
permit. He expressed his belief that the Commission should fulfill its
obligation to RCA to ensure a permit for all projects in all respective
jurisdictions. He discussed the critical property located in Core II to be
purchased by RCA. Commissioner Stone requested the Commission to
consider the full eight-year commitment with the caveat that when and if
RCA receives a federal loan guarantee or if the development industry returns
to 2005 levels, then RCA will postpone the Commission's obligation after
two years.
Commissioner Rush expressed that staff's second and third
recommendations capture the essence of the WRC Committee discussion.
He stated his understanding from the discussion to reduce the length of the
commitment to reduce the impact on infrastructure. He stated that
Anne Mayer mentioned at the WRC Committee meeting there will be more of
an impact on the regional arterials projects rather than the larger projects.
He concurred with Commissioners Botts' and Kuenzi's comments to maintain
the length of the commitment at two years.
Commissioner Kotyuk apologized for the confusion and lengthy discussion.
He expressed he should have been clearer in his motion made at the WRC
Committee meeting. He then discussed the basis for his intended motion.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 8
Commissioner Rick Gibbs discussed the importance of maintaining the permit
and provided project examples.
Charles Landry expressed appreciation for the Commission's consideration of
RCA's funding request. He discussed RCA's efforts to obtain a federal loan
guarantee and its importance. He expressed RCA understands the
Commission must consider its own financial constraints. He explained the
Commission has obligated $1 29 million of the $153 million required for its
commitment to mitigation for its projects. He expressed there has been a
close relationship with the Commission and RCA will continue to push hard
to ensure the Commission's projects are expedited. Mr. Landry explained
the MSHCP provides coverage under the Endangered Species Act for all
Commission and Caltrans projects, as well as the coverage for all general
plan roadways for the cities and the county within Western Riverside
County. He stated the primary purpose of the MSHCP is to expedite the
construction of transportation infrastructure. In addition, the MSHCP
expedites other infrastructure and provides assistance for coverage of
development projects, which directly provides jobs.
Commissioner Terry Henderson stated that despite Commissioner Stone's
plea, she is still challenged in doing anything other than follow the staff
recommendation. She expressed concern that there are different
recollections regarding an argument for the eight-year commitment and the
Western County does not seem to have one voice. Commissioner Henderson
stated at this point knowing that staff's primary goal is the direction of the
Commission, she is prepared to follow that direction and approve the staff
recommendation as a clear argument has not be made otherwise.
Commissioner Bob Magee expressed when the former Supervisor Tom
Mullen was the champion for the MSHCP, it was made very clear that the
primary goal was to build infrastructure. He expressed that while the
MSHCP and RCA may have functioned well for other jurisdictions, it has
failed in his community because promises have not been kept. He stated
three people have died since the city of Lake Elsinore agreed to join the
MSHCP and yet he cannot get a safe intersection at SR-74.
The Commission has fulfilled its commitment for $1 29 million and the other
side of that commitment was no more funds until 2019, committing the
remaining funds to build infrastructure. Commissioner Magee stated with all
due respect to Commissioner Stone, roads need to be built. Commissioner
Magee expressed his need to see more performance from RCA.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 9
Commissioner Berg concurred with Commissioner Stone's comments and
request as RCA needs a guarantee to move ahead with the acquisition of this
critical property. · He discussed the importance of maintaining the permit.
At this time, Commissioners Hanson and Miller left the meeting.
Commissioner Stone expressed appreciation for Commissioners Berg's and
Magee's comments. He explained the critical property is an approximately
1 ,000 acre parcel that has been determined by the environmental agencies
as necessary to acquire in full. He stated as part of the agreement, the
property owner agreed to carry some paper, $24 million over eight years at
4 percent interest. Commissioner Stone discussed the potential litigation
issues and impacts to the MSHCP if the property is not acquired.
Commissioner Steve Adams asked for the probability that in two years the
federal government will step in. He expressed the Commission needs to be
realistic and proceed with the eight-year commitment. He stated this is a
self-help county and the reason the county of Riverside has been able to
continue moving forward while all others have stopped is because the
Commission takes the necessary measures to ensure progress.
Commissioner Stone replied that while it will be an uphill battle to secure a
federal loan guarantee, it is important for the federal government as the
Riverside County MSHCP is the largest and most successful habitat plan in
the United States and they cannot afford to let it fail.
Charles Landry stated RCA is garnering considerable support from the
wildlife agencies and others. The issue is to continue to move the legislation
through the Senate and the House of Representatives. He believes the
outlook is more positive than it was when the process began.
Commissioner Buster stated he believes it is not the role of the Commission
to provide this funding as it already advanced a major portion of its
commitment. He believes the pressure needs to be kept on the federal
representatives by not backstopping funding. While he would prefer to only
provide one year of funding, he will support two years. He stated the
agencies that benefit from the permit besides the Commission are the county
and the cities, yet there has been no advancement of funds from the cities.
While a number of cities are financially constrained, some cities are not. He
also believes there has been too many times where RCA has run afoul of the
potential of inverse condemnation, which also needs to be addressed.
Commissioner Buster concurred with Commissioner Stone's statement about
the critical nature of the property.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 10
In response to Commissioner Kuenzi's question about who has the authority
to revoke the permit, Cathy Bechtel responded U.S. Fish and Wildlife
Service.
Commissioner Kuenzi then asked if there has been any indication that the
permit is in jeopardy and what is the notification process to revoke the
permit.
Cathy Bechtel stated the Commission has not received any indication or
notification that the permit is in jeopardy. She explained the MSCHP
implementing agreement outlines the process for the revocation or
suspension of a permit.
Charles Landry stated there have been discussions as to the circumstances
that could cause the permit to be suspended or revoked.
Commissioner Kuenzi then stated she concurred with Commissioner Buster's
comments and stated the discussion and intent of the WRC Committee was
to determine if the Commission should reprioritize its local projects in order
to support RCA. She expressed support for the staff recommendation.
Commissioner Marion Ashley expressed concern that if the Commission does
not commitment to the $24 million over the next eight years, it is
jeopardizing the MSHCP and expressed full support of Commissioner Stone's
recommendation.
Commissioner Botts expressed his support for the staff recommendation. He
also expressed his concern for the inconsistent information being presented
as to the request and need.
Commissioner Spiegel noted that all but one of the WRC Committee
members had a different recollection of the action taken. Additionally, she
expressed strong concern that it appears none of the Commissioners were
approached by city colleagues on the RCA Board about the dire need of this
funding. She does not believe that the dire need for this funding was
presented at the WRC Committee as it is now being presented. She then
requested Anne Mayer explain the outcomes if this funding is or is not
approved.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 11
Anne Mayer stated that the MSHCP is crucial to the future. The Commission
repeatedly demonstrated its commitment to the MSHCP, noting 37 percent
of the Commission's outstanding debt is for land acquisitions. The MSHCP
has unquestionably benefited the Commission. The $24 million could impact
existing highway projects, however, staff will have a more definitive
answer in two years once the large projects are out to construction.
She stated the Commission needs to be aware that the commitment it
chooses could impact other decisions to add, advance, or construct projects.
Additionally, the Commission has been assisting RCA with the federal loan
program.
Commissioner Spiegel stated that the WRC Committee's recommendation
was based on staff's ability to provide a more definitive answer about the
impacts of providing RCA the funding in two years and would not jeopardize
as many projects. She then asked Charles Landry to discuss the financial
condition of RCA if the Commission does not commit to the $24 million
request and the financial condition of RCA in eight years even if the
Commission does commit to the $24 million request, fulfilling its obligation.
Charles Landry responded the $24 million is for a particular property. He
reviewed RCA's revenue streams, which have been considerably impacted
by the economy. He stated that while he is unable to go into detail, there
are significant legal issues related to this property that could affect the plan.
There is also an issue regarding permits related to specific properties and
whether or not they are brought into the plan.
Commissioner Stone stated he believes the important question to answer is
in acquiring this property is whether the acquisition is contingent on a
$24 million contribution over time from the Commission.
Charles Landry responded the answer is yes.
Commissioner Stone then stated that if the Commission does not make the
commitment, RCA cannot acquire the property. He then discussed the
potential legal issues that could result if the property is not acquired.
Commissioner Stone asked legal counsel who would be responsible for
paying an inverse condemnation claim.
Steve DeBaun, Legal Counsel, responded it will require considerable research
to answer that question, which should be directed to RCA's legal counsel.
Commissioner Stone recapitulated his position and recommended the
following action: 1) to fulfill the Commission's Multiple Species Habitat
Riverside County Transportation Commission Minutes
December 14, 2011
Page 12
Conservation Plan {MSHCP) funding obligation of $24 million at $3 million
per year for the next eight years using Western County Measure A funds;
and 2) in two years, reagendize this allocation. If either RCA has received a
federal loan guarantee or RCA's revenues have returned to FY 2004/05
levels, the Commission can postpone its contribution until required by the
MSHCP.
At Chair Pettis' request, Jennifer Harmon, Clerk of the Board, restated
Commissioner Stone's motion.
Commissioner Gibbs discussed the critical importance of keeping the MSHCP
intact and expressed support for Commissioner Stone's recommendation.
Commissioner Magee expressed strong concern regarding lack of information
and new information that is just being presented. He confirmed in response
to Commissioner Spiegel's comment that no one from his city approached
him about the dire need for this funding. Based on his experience with RCA
and the staff report, which does not discuss the dire need for this funding,
he cannot support Commissioner Stone's recommendation at this time and
believes this issue requires further discussion outside of this meeting.
At this time, Commissioner Ron Roberts left the meeting.
Commissioner Scott Hines discussed the merits of conservationism, which is
by definition is a long-term public policy approach. Therefore, he believes
taking a long-term approach to this issue is appropriate. He expressed
support from Commissioner Stone's recommendation.
In response to Commissioner Spiegel's comment regarding city colleagues
soliciting support for this funding, Commissioner Botts stated he discussed
this issue at length with his colleague on RCA and was advised to do what is
right for the Commission as the colleague did not sense any crisis. He then
asked for the purchase price of the property.
Steve DeBaun, Legal Counsel, stated the purchase price of the property
cannot be publicly disclosed until the transaction is completed.
At Chair Pettis' request, Charles Landry confirmed RCA will not disclose the
purchase price of the property until the transaction is completed.
Riverside County Transportation Commission Minutes
December 14, 2011
Page 13
Commissioner Buster expressed his belief that it is inappropriate to
negatively impact the Commission's funding for any one purchase as it is the
Commission's responsibility to judiciously balance all of its needs. He
restated his strategy to deal with the federal government for the loan
guarantee.
Commissioner Daryl Busch concurred with Commissioner Stone's
recommendation and respectfully disagreed with Commissioner Buster's
comment as he believes that $3 million per year for the next eight years is a
manageable amount for the Commission.
Commissioner Ben Benoit stated that he is also appointed to the RCA board
and strongly supports Commissioner Stone's recommendation. He stated
that it is unfortunate that all of the information about the need for this
funding cannot be disclosed at this time. However, he assured the
Commissioners if they were privy to all of the information, they would
support this commitment.
Chair Pettis stated that while the Commission has a responsibility to fund its
obligation, the agreement was to fund the remaining portion after 2019. He
believes as a Commissioner it is his responsibility to ensure cash flow is
maintained and $3 million is a significant amount of money for any project.
He then closed the discussion and requested the Clerk of the Board restate
Commissioner Stone's motion.
Jennifer Harmon restated the motion.
M/S/C (Stone/Ashley) to:
1) Fulfill the Commission's Multiple Species Habitat Conservation
Plan (MSHCP) funding obligation of $24 million at $3 million per
year for the next eight years using Western County ,Measure A
funds;
2) In two years, reagendize this allocation. If either RCA has
received a federal loan guarantee or RCA's revenues have
returned to FY 2004/05 levels, the Commission can postpone
its contribution until required by the MSHCP; and
3) Direct staff to return to the Commission for approval of an
agreement with RCA regarding the funding commitment.
Abstain: Johnston
No: Botts, Buster, Harnik, Henderson, Kuenzi, Magee, Matas,
Pettis, Rush, Smith, Spiegel
Riverside County Transportation Commission Minutes
December 14, 2011
Page 14
10. ELECTION OF RIVERSIDE COUNTY TRANSPORTATION COMMISSION
OFFICERS
At this time, Chair Pettis opened nominations for the slate of officers.
Steve DeBaun advised the Commissioners of a recent Fair Political Practices
Commission decision that strongly suggests elected officials, when voting to
place themselves in advisory position over their colleagues, abstain from the
vote.
Commissioner Jeff Stone seconded by Commissioner Scott Matas nominated
Commissioner John Benoit for the Chair position, Commissioner
Karen Spiegel for the Vice Chair position, and Commissioner Marion Ashley
for the Second Vice Chair position. No other nominations were received.
Chair Pettis closed the nominations.
John Benoit, Karen Spiegel, and Marion Ashley were elected as the
Commission's Chair, Vice Chair, and Second Vice Chair for 2012,
respectively.
Abstain: Ashley, Benoit, Spiegel
11. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
78. FISCAL YEAR 2010/11 COMMISSION AUDIT RESULTS
At Commission Kotyuk's request, Theresia Trevino provided
clarification on the restricted funds, bond proceeds, and debt service
requirements. She also explained the difference between the General
Fund and Special Revenue Fund final and actual balances.
M/S/C (Kotyuk/Spiegel) to receive and file the FY 2010/11:
1) Comprehensive Annual Financial Report (CAFR);
2) Local Transportation Fund (L TF) Financial and Compliance
Report;
3) State Transit Assistance (STA) Fund Financial and
Compliance Report;
4) Proposition 1 B Rehabilitation and Security Project
Accounts Financial and Compliance Report;
5) Compliance Report;
6) Commercial Paper Compliance Report;
7) Auditor Required Communications Report;
-------------------------------
Riverside County Transportation Commission Minutes
December 14, 2011
Page 15
8) Agreed-Upon Procedures Report related to the
Appropriations Limit Calculation;
9) Agreed-Upon Procedures Report related to the Commuter
Assistance Program incentives; and
1 0) Management certifications.
12. COMMISSIONERS/EXECUTIVE DIRECTOR'S REPORT
12A. Vice Chair Benoit announced the California Transportation Commission
will convene its December meeting in the Board Room at 1 p.m.
today.
128. Commissioner Mary Craton announced SCAG released the Regional
Transportation Plan/Sustainable Communities Strategy program for a
45-day comment period with workshops in Riverside County on
January 23, 2012. She also commended Theresia Trevino and
Michele Cisneros for their outstanding work on the Comprehensive
Annual Financial Report.
12C. Anne Mayer:
• Reminded the Commissioners to return the 2012 Appointment/
Reappointment forms. She noted they will also be receiving
information on the 2012 Annual Commission Workshop next week;
• Announced OCT A approved the cooperative agreement for the
SR-91 toll extension; and
• Announced the SR-91 high occupancy vehicle lanes project bid
opening was last week with all bids under the engineer's estimate.
13. ADJOURNMENT
There being no further business for consideration by the Riverside County
Transportation Commission, the meeting was adjourned at 11 :44 a.m.
The next Commission meeting is scheduled to be held at 9:30 a.m.,
Wednesday, January 11, 2012, in the Board Room, at the County of
Riverside Administrative Center, 4080 Lemon Street, Riverside, California.
Respectfully submitted,
cr~
Jennifer Harmon
Clerk of the Board
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
MINUTES
Wednesday, January 11, 2012
1. CALL TO ORDER
The Riverside County Transportation Commission was called to order by
Chair John J. Benoit at 9:32 a.m. in the Board Room at the County of
Riverside Administrative Center, 4080 Lemon Street, Riverside, California,
92501.
2. PLEDGE OF ALLEGIANCE
At this time, Chair Benoit led the Commission in a flag salute.
3. ROLL CALL
4.
Commissioners/ Alternates Present Commissioners Absent
Steve Adams Steven Hernandez Glenn Miller
Marion Ashley Scott Hines John F. Tavaglione
Ben Benoit Frank Johnston
John J. Benoit Andrew Kotyuk
Roger Berg Darcy Kuenzi
Bob Botts Bob Magee
Daryl Busch Scott Matas
Bob Buster Glenn Miller
Marcelo Co Basem Muallem
Mary Craton Greg Pettis
Joseph DeConinck Ron Roberts
Ginny Foat Adam Rush
Rick Gibbs Larry Smith
Berwin Hanna Karen Spiegel
Douglas Hanson Jeff Stone
Jan Harnik Ella Zanowic
Terry Henderson
PUBLIC COMMENTS
At this time, Chair Benoit presented Past Chair Greg Pettis with a plaque to
commemorate his tenure as Chair for 2011.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 2
Barney Barnett, Highgrove area resident, presented a new proposed location
for a commuter rail station in Highgrove.
Arnold San Miguel, SCAG, announced the 6th Annual SCAG COMPASS
Project recognition award nomination and provided the Commissioners with a
handout detailing the program.
5. APPROVAL OF MINUTES-DECEMBER 14, 2011
The minutes for the December 14, 2011, meeting will be presented at the
next Commission meeting.
6. RESOLUTION OF NECESSITY FOR THE ACQUISITION OF EASEMENT AND
TEMPORARY CONSTRUCTION EASEMENT INTERESTS IN PORTIONS OF
CERTAIN REAL PROPERTY, BY EMINENT DOMAIN, FOR FREEWAY
PURPOSES INCLUDING THE WIDENING AND MAINTENANCE OF
INTERSTATE 215 FROM SCOTT ROAD TO NUEVO ROAD, IN RIVERSIDE
COUNTY, CALIFORNIA
Commissioners Marion Ashley and Daryl Busch recused themselves due to a
conflict of interest on Agenda Item 6.
At this time, Chair Benoit opened the public hearing and requested legal
counsel to explain the nature and scope of the hearing.
Steve DeBaun, legal counsel, explained the purpose of this hearing is for the
Board to consider the adoption of Resolution of Necessity No. 12-002 to
acquire by eminent domain certain real property for the widening and
maintenance of improvements related to the 1-215 Central project from Scott
Road to Nuevo Road, in Riverside County, California. He stated at the
conclusion of this hearing the Board will be asked to adopt the Resolution of
Necessity and provided the findings. He also announced there was a
revision to Agenda Item 6 that removes Resolution of Necessity No. 12-001
from today's hearing.
Jennifer Harmon, Clerk of the Board, verified the proof of mailing that
certifies on December 9, 2011 , a notice was sent to the property owner of
said parcel numbers. Additionally, an amended notice was mailed on
December 15, 2011.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 3
Gina Gallagher, Senior Staff Analyst, stated the Commission is requested to
determine and find that the full requirements for the adoption of a resolution
of necessity has been met and satisfied. She then showed a map of the
1-21 5 Central widening project limits and the location of the subject property.
Jennifer Harmon stated there were no written objections, protests, or
requests to speak from the property owner.
Chair Benoit called upon any persons with an interest in the property who
wish to be heard on this matter. There were no requests to speak.
Chair Benoit then called upon all other persons who wish to be heard on this
matter. There were no requests to speak.
At this time, Chair Benoit closed the public hearing.
Commissioner Jeff Stone asked whether the Commission had offered more
than the appraised value. In doing so, he stated his preference that eminent
domain actions be used only as a last resort due to significant cost issues.
Gina Gallagher explained the Commission is required by law to offer the
appraised value and that this particular acquisition has reached the point of
needing to start eminent domain actions because of a lack of response from
the property owner. Moreover, she assured the Commissioners that this
does not mark the end of the process and that communication and
negotiations will continue with the property owner.
M/S/C (Kuenzi/Botts):
1) Make the following findings as hereinafter described in this
report:
a) The public interest and necessity require the proposed
project;
b) The project is planned or located in a manner that will be
most compatible with the greatest public good and the
least private injury;
c) The real property to be acquired is necessary for the
project; and
d) The offer of just compensation has been made to the
property owner.; and
Riverside County Transportation Commission Minutes
January 11, 2012
Page 4
2) Adopt Resolution of Necessity No. 12-002, "Resolution of
Necessity for the Acquisition of Easement and Temporary
Construction Easement Interests in Portions of Certain Real
Property, by Eminent Domain, More Particularly Described as
Assessor Parcel Nos. 311-190-002, 311-190-035 and
311-190-044 (Caltrans Parcel Nos. 22404-1 and 22404-2), for
Freeway Purposes Including the Widening and Maintenance of
Interstate 215 from Scott Road to Nuevo Road, in Riverside
County, California".
7. ADDITIONS I REVISIONS
There was a revision to Agenda Item 6, "Resolution of Necessity for the
Acquisition of Easement and Temporary Construction Easement Interests in
Portions of Certain Real Property, by Eminent Domain, for Freeway Purposes
Including the Widening and Maintenance of Interstate 215 from Scott Road
to Nuevo Road, in Riverside County, California", as noted in the previous
item by legal counsel.
8. CONSENT CALENDAR
M/S/C (Busch/Hanna) to approve the following Consent Calendar
items:
88. LIST OF PRE-QUALIFIED FIRMS AND AGREEMENTS FOR ON-CALL
RIGHT OF WAY SUPPORT SERVICES
1) Award the following agreements to provide on-call right of way
support services for a three-year term, and a single one-year
option to extend the agreements in an amount not to exceed an
aggregate value of $1.5 million;
a) Agreement No. 12-31-012-00 with Overland, Pacific &
Cutler, Inc; and
b) Agreement No. 12-31-038-00 with Epic Land Solutions,
Inc;
2) Authorize the Executive Director, or designee, to execute task
orders awarded to contractors under the terms of the
agreements; and
3) Authorize the Chair, pursuant to legal counsel review, to
execute the agreements, including the option year, on behalf of
the Commission.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 5
8C. LIST OF PRE-QUALIFIED FIRMS FOR ON-CALL RAIL OPERATIONS
SUPPORT SERVICES
1 ) Award the following agreements to provide on-call rail
operations support services for a three-year term, and two one-
year options to extend the agreements, in an amount not to
exceed an aggregate value of $1 million;
a) Agreement No. 12-25-022-00 with HDR Engineering,
Inc.;
b) Agreement No. 12-25-035-00 with Parsons Brinckerhoff,
Inc.; and
c) Agreement No. 12-25-036-00 with STV Incorporated;
2) Authorize the Executive Director, or designee, to execute task
orders awarded to contractors under the terms of the
agreements; and
3) Authorize the Chair, pursuant to legal counsel review, to
execute the agreements, including option years, on behalf of the
Commission.
Abstain: J. Benoit, 8C
9. FISCAL YEAR 2011/12 MID-YEAR REVENUE PROJECTIONS
Theresia Trevino, Chief Financial Officer, presented Agenda Items 9 and 10
concurrently, and discussed the following areas:
• Annual revenue projects;
• Measure A trends;
• Activity by economic category and segments;
• Historical sales tax by segment;
• Measure A sales tax revenues;
• Local Transportation Fund (L TF) sales tax revenues;
• Measure A and L TF taxes;
• Transportation Uniform Mitigation Fee revenues; and
• Staff recommendation and next steps.
Commissioner Adam Rush asked if an analysis had been performed on the
revenue impact of a reduction in TUMF fees.
Theresia Trevino explained that the projections did not go into that level of
detail and that the amount of TUMF funding collected was insufficient to
make that kind of determination.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 6
Commissioner Andrew Kotyuk remarked on the importance of this type of
information as a determinant of the overall economy. He questioned the
timing of when specific funding sources such as Measure A and TUMF
began their decline. His question was based on the desire to know if a
recovery in TUMF might lag but would take place soon as a lagging indicator.
M/S/C (Stone/Henderson) to:
1) Approve the mid-year revenue projections for FY 2011/12;
2) Approve the budget increase adjustments to Measure A
revenues of $9.3 million and expenditures of $3,904,000, to
reflect the revised Measure A projections;
3) Approve the budget increase adjustments to Local
Transportation Fund (L TF) revenues and transfers in of
$4,738,000, and expenditures and transfers out of $876,000
to reflect the revised L TF projections; and
4) Approve the budget decrease adjustments to Transportation
Uniform Mitigation Fee (TUMF) revenues of $300,000 to reflect
the revised TUMF projections.
10. FISCAL YEAR 2012/13 REVENUE PROJECTIONS
M/S/C (Stone/Henderson) to:
1) Approve the projections of the Local Transportation Fund (L TF)
apportionment for the Western Riverside County, Coachella
Valley, and Palo Verde Valley areas;
2) Approve the projections for Measure A; and
3) Approve the projections for Transportation Uniform Mitigation
Fee (TUMF) revenues.
11. AGREEMENT WITH SKANSKA CIVIL WEST USA FOR CONSTRUCTION OF
THE STATE ROUTE 74/INTERSTATE 215 INTERCHANGE IMPROVEMENT
PROJECT IN THE CITY OF PERRIS
Lisa DaSilva, Capital Projects Manager, presented the proposed contingency
increase for the 74/215 interchange improvement project.
Commissioner Ginny Foat expressed her concern with the proposed increase
in contract contingency. She identified a number of items that she believes
should have been anticipated.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 7
Lisa DaSilva explained that due to the federal requirements of the project, a
number of items had to be addressed through a contract contingency
because they were unknown at the beginning of the contract. She explained
that there has been significant savings that have been realized by the project
since its inception and that the requested changes were planned from the
beginning. She also informed the Commission that the project would be
open to traffic within a few weeks and that a ribbon cutting ceremony was
planned for February 15.
Commissioner Roger Berg concurred with Lisa DaSilva response and stated
his support of the staff recommendation.
Commissioner Jeff Stone commended Commissioners Foat and Berg for their
insights into the matter. He recounted that the County has established a
review committee for major contract scope changes and overruns and that
RCTC should examine the possibility of doing something similar. He
suggested that the committee include representation from the Board of
Supervisors and city representatives from both Western Riverside County
and the Coachella Valley.
Chair Benoit asked staff to return to the Commission at a future date with
details on how such a committee might operate and steps for its
implementation.
M/S/C (Ashley/Busch) to approve an increase in the contingency for
Agreement No. 10-31-030-00 with Skanska USA Civil West (Skanska)
for construction of the 74/215 interchange improvement project in the
city of Perris (Perris) in the amount of $1 million for a revised total
contingency of $2,343,996, and a revised total amount not to exceed
$15,783,000.
No: Foat
12. 2012 STATE AND FEDERAL LEGISLATIVE PLATFORMS
Aaron Hake, Government Relations Manager, presented the 2012 State and
Federal Legislative Platforms, highlighting the following areas:
• Focus in Washington, D.C. and Sacramento;
• State platform;
• Governor's budget;
• MAP-21 Reauthorization;
• TIFIA program;
Riverside County Transportation Commission Minutes
January 11, 2012
Page 8
• Perris Valley Line;
• High-Speed Rail; and
• Federal platform.
Commissioner Terry Henderson queried Aaron Hake regarding a statement in
the platform that expressed support for tax relief for alternative fuel users.
He explained that the original intent of the language was to support ongoing
efforts from transit providers to minimize the cost of operating fleets with
clean fuel technology. Commissioner Henderson asked that the platform be
amended to clarify the issue.
Commissioner Foat stated her support for advocating for greater use of Palm
Springs Airport along with the original language that urged support for
greater use of Ontario Airport. Chair Benoit added that the airport in Thermal
was yet another important aviation asset and recommended the platform
language reflect the Commission's support for Palm Springs and Thermal
airports.
Commissioner Buster raised his concern regarding the issue of freight
infrastructure and goods movement, noting that significant commitments had
been made to advance a number of projects including grade separations but
the economy is now faced with added pressure from the expansion of the
Panama Canal. He urged staff to continue to pay close attention to the
issue.
Chairman Benoit inquired about the status of high-speed rail legislation and
urged staff to keep the Commission informed about new developments.
John Standiford, Deputy Executive Director, assured the Commission that
the topic would come before the Commission a number of times in the
coming year and would be a topic of discussion at an upcoming ad hoc
committee meeting and the Commission's annual workshop.
M/S/C (Ashley/Spiegel) to adopt the 2012 State and Federal
Legislative Platforms, and in doing so, to reflect the suggested
amendments regarding clean fuels and local airport.
Abstain: Magee
Riverside County Transportation Commission Minutes
January 11, 2012
Page 9
13. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
SA. AMENDMENTS TO ON-CALL STRATEGIC PARTNERSHIP ADVISOR
SERVICES AND TRAFFIC AND REVENUE STUDY SERVICES
Commissioner Stone requested an explanation of the proposed
contingency amount of the Nossaman, Guthner, Knox & Elliott, LLP
amendment included in the staff report as it exceeded the standard
10 percent.
David Thomas, Toll Project Manager, explained that the contingency
amount is a good-faith estimate to anticipate unanticipated needs that
may come about as part of the firm's work on behalf of the
Commission.
John Standiford, Deputy Executive Director, added that the recent
award of a TIFIA grant might add to the complexity of the work
needed for the project.
Commissioner Stone agreed that additional work might be needed and
that if that was the case, there should be no problem in returning to
the Commission. With that observation, Supervisor Stone moved the
item with an amendment that reduced the contingency amount to not
exceed 1 0 percent of the contract.
M/S/C (Stone/Spiegel)
1) Approve Agreement No. 06-66-026-09, Amendment No.
8 to Agreement No. 06-66-026-00, with KPMG
Corporate Finance, LLC (KPMG) for on-call strategic
partnership advisor services for the proposed State Route
91 and Interstate 15 corridor improvement projects (CIPs)
to extend the contract term to February 9, 2014, and to
increase the contract by $280,018, plus a contingency
amount of $60,000, for a total amount not to exceed
$340,018;
2) Approve Agreement No. 06-66-027-21, Amendment
No. 10 to Agreement No. 06-66-027-00, with PB
Americas, Inc. (PB) for on-call strategic partnership
advisor services for the proposed SR-91 and 1-15 CIPs to
extend the contract term to February 9, 2014;
Riverside County Transportation Commission Minutes
January 11, 2012
Page 10
3) Approve Agreement No. 06-66-028-11, Amendment
No. 8 to Agreement No. 06-66-028-00 with Nossaman,
Guthner, Knox & Elliott, LLP (Nossaman) for on-call
strategic partnership advisor services to extend the
contract term to February 9, 2014, and increase the
contract by $1 ,878,900, plus a contingency amount of
$187,890, for a total amount not to exceed $2,066, 790;
4) Approve Agreement No. 1 0-31-099-01 , Amendment
No. 1, to Agreement No. 10-31-099-00, with Stantec
Consulting Services, Inc. (Stantec) for investment-grade
traffic and revenue study services for the SR-91 CIP to
extend the contract term to February 9, 20 14;
5) Authorize the Chair, pursuant to legal counsel review, to
execute these agreements on behalf of the Commission;
and
6) Authorize the Executive Director to approve contingency
work up to the total not to exceed amount as required for
these agreements.
No: Berg and Henderson
Abstain: J. Benoit
14. COMMISSIONERS/EXECUTIVE DIRECTOR'S REPORT
14A. Commissioner Mary Craton announced the 2012 SCAG Regional
Conference and General Assembly is scheduled for April 4-5, 2012,
located at the SCAG office in Los Angeles.
14B. Commissioner Ron Roberts expressed strong concern that the
Commission workshop is on the same day as the SCAG meeting. He
also stated in past years, the workshop has also interfered with
another agencies' meetings.
14C. John Standiford announced that the annual Commission workshop is
scheduled for February 2-3, 2012, in La Quinta and reminded
Commissioners to return the workshop form to the Clerk of the Board.
14D. Commissioner Karen Spiegel announced Aaron Hake is running for
Corona City Council.
Riverside County Transportation Commission Minutes
January 11, 2012
Page 11
15. CLOSED SESSION
15A. CONFERENCE WITH LEGAL COUNSEL: ANTICIPATED LITIGATION
Pursuant to Government Code Section 54956.9 (b)
Potential Number of Cases: One
The Commission denied the claim received from claimants Gilberto and
Yolanda Lizarraga in the matter of Ricardo Lizarraga and directed a rejection
letter be sent.
16. ADJOURNMENT
There being no further business for consideration by the Riverside County
Transportation Commission, the meeting was adjourned at 11 :25 a.m.
The next Commission meeting is scheduled to be held at 1:30 p.m.,
Thursday, February 2, 2012, Embassy Suites La Quinta, La Quinta, CA.
Respectfully submitted,
~~
Jennifer Harmon
Clerk of the Board
AGENDA ITEM 7 A
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
TO: Riverside County Transportation Commission
FROM: Anne Hallberg, Accounting Supervisor
THROUGH: Anne Mayer, Executive Director
SUBJECT: Quarterly Investment Report
STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Quarterly Investment Report
for the quarter ended December 31, 2011.
BACKGROUND INFORMATION:
Attached are the quarterly investment and cash flow reports as required by state
law and Commission policy. The county of Riverside's Investment Report for the
month ended December 31 , 2011 , is also attached for review.
Attachments:
1) Quarterly Investment Report for the quarter ended December 31, 2011
2) County of Riverside Investment Report for the month ended
December 31, 2011
Agenda Item 7 A
1
Statement of Compliance
Nature of Investments
ATTACHMENT 1
Debt Reserve
.63%
12.87%
Portfol_io_M_a_tu_r_it_Y __ 0 to 90 Days
100%
Portfolio Investment Type
County
Pool/Cash
92.61%
LAIF _____ ,,.~
0.70%
County
Pool/Investment
2.78%
All of the above investments and any investment decisions made for the quarter ended
December 31, 2011 were in full compliance with the Commission's investment policy as
adopted on May 11, 2011.
The Commission has adequate cash flows for six months of operations.
Signedby:~~
ChiefFinancial Officer
2
Riverside County Transportation Commission Investment Portfolio Report Period Ended: December 31, 2011 OPERATING FUNDS City National Bank Deposits County Treasurer's Pooled Investment Fund Local Agency Investment Fund (LAIF) Agency/Treasury Securities: Subtotal Operating Funds FUNDS HELD IN TRUST County Treasurer's Pooled Investment Fund Local Transportation Fund Subtotal Funds Held In Trust COMMISSION BOND PROJECT FUNDS/DEBT RESERVE US Bank Money Market Investment Agreements County of Riverside Pool investment First Amencan Government Obligation Fund F1rst Amencan Treasury Obhgabons Fund-Held in Trust Subtotal Bond Project FundsfDebt Reserve TOTAL All Cash and Investments Investment Transactions for the Quarter Ended December 31, 2011 Purchases: None Maturities: None RATING MOODYS/ FITCH COUPON FAIR VALUE S&P RATE 731,344 A3JBBB+ N/A 411,884,955 a/MR1/AAAJV1 N/A 3,599,605 Not Rated N/A N/A NIA N/A 4~904 66,611,518 a-MR1/AAAJV1 N/A 66,611,518 Aaa/AAAm N/A a/MR1/AAAJV1 N/A Aaa/AAAm N/A Aaa/AAAm N/A 482~ Par Value at Matunty Jlaturity Date Coupon I Rate YIELD TO PAR PURCHA MATURIT MATURIT PURCHA MARKET UNREALIZED VALUE SEDATE Y DATE y SE COST VALUE GAIN (lOSS) N/A 0 52% N/A N/A NIA N/A N/A N/A N/A 0.52% 052% N/A SUMMARIZED INVESTMENT TYPE Banks 731,344 County Pool 478,496,473 County Pool Investment LAIF 3,599,605 I Mutual Funds CNI Charter US Bank Money Market First Amencan Government Obl!gation Fund Sub-Total Mutual Funds ---Federal Agency securities Certificates of Depostt U.S. Treasury secunties Corporate Note/Commercial Paper Investment Agreements TOTAL $482,827,422 3
Capital Markets q6ri K~ri~~1~;z:: .lt{!e .. Treasurer-"•Tax GeUector Jon Christensen Asst. Treasurer-Tax Collector Giovane Pizano Investment Manager Angela Tressler Asst. Investment Manager Investment Objectives !(3B@i?JL , ''',"),)~/~,~~'""" ;·s All Data as of December 30, 2011 "2011, No Heaven" Another year has come and gone, and again, it is one for the record books. It has been a tough start so far as we had hoped this new decade would start better than the last; however, there were a few positives to note. We have seen unemployment drop from 9.4% in Janual)' to 8.6% in December. Interest rates have remained low and should continue into 2013 according to the FED, providing for lower debt service for individuals, private and public sector alike. Moreover, according to the FED in its Beige Book survey which stated, "The economy expanded at a moderate pace in 11 of 12 districts, led by gains in manufactur-ing and consumer spending. Overall economic activity increased at a slow to moderate pace since the previous report across all Federal Reserve districts except St. Louis, which reported a decline in economic activity." Rising consumer sentiment was also noted by the FED, which said "household spending has increased at a somewhat faster pace in recent months,'' and that the committee "continues to expect a moderate pace of economic growth over coming quarters." 2011 was rife with geopolitical, natural and economic turmoil, all of which led to volatility in the financial and commodities markets. It started with the Arab spring, protests and ouster of Egyptian President Hosni Mubarak and Libyan leader Moammar Gaddafi, along with the unrest that has ensued all over the Middle East. It also brought us the horror of the mega-earthquake and subsequent tsunami that struck Japan. In response to this disaster, Riverside County employees raised and generously gave thousands of dollars to the Japan Relief Fund. Further declines in housing values was evident with the S&P/Case-Sheller index reporting the 20 city home price index dropping to its lowest level in eight years. Nationally, housing prices decreased 5.1% in the first quarter to their lowest level since 2002. Moreover, 6.5 million homes were either late on payments or in foreclosure, which was almost double the amount of homes for sale nationwide. News like this as well as decreasing commercial and industrial property values spurred our County Assessor to report that the assessed valuation Portfolio Statistics ATTACHMENT 2 will be reduced by another 1.45% for the current fiscal year, marking the third straight year of declines. Closer to home the State is continuing its efforts to shore up its dismal budget by dissolving local RDAs, which will affect job growth and unemployment here in Riverside Coun-ty; the county itself continues to struggle with a projected $80 million budget hole for next fiscal year. No real shocker, but nonetheless a reality check, was the downgrade of the U.S. government's credit rating by Standard & Poor's; we now rank on par with New Zealand and Belgium, but still above that of China and Japan. Other big news for the year was the Euro-zone crisis and the still ongoing risk of a sovereign debt default in one of the troubled "PIIGS" nations -Portugal, Italy, Ireland, Greece and Spain. It has the potential to spread to other countries in Europe and eventually the rest of the world's major economies, sparking a crisis again in the global financial system. Growing concerns continue into 2012 about further confiict in the Middle East, namely Iran, which has the potential to cause disruptions and price increases in the oil markets. Any run-up in prices like that which occurred back in 2008 when crude hit $147 per barrel would be like an unwelcomed and massive tax increase on the U.S. economy. We are not out of the storm yet folks, and if the right decisions are not made by our leaders both here and abroad in 2012, this "Perfect Storm" will continue for quite a while longer, affecting our recovel)'. Last, but certainly not least, it was good to see our brave troops come home from Iraq with their heads held high and their mission accomplished. We appreciate your sacrifice and all that you do in the name of freedom as we know all too well here in the United States, freedom is not free. Best wishes to all in 2012! A2~ Don Kent Treasurer-Tax Collector *Market values do not include accrued interest. II December 5,448,105, 732.50 5,444,673,580.47 3,432,152.03 0.06 0.53 1.30 1.28 November · · s,214,574,su.~~~ . ·s,2u,os7,889.81:: 3,516,923:09 0.07 0.51 1.21 1.19 ,, '0. ' ·' October 4,861,404,499.89 4,858,096,899. 73 3,307,600.15 0.07 0.53 1.29 1.27 '' :/ !.:;<·~/\:·~~:::::u; , "· • . ·-,~.' ·-.'~,· , ·< .~~:<-! <'·:-:;• ' 5,Q~g.~;V~1Q61.22 .. "§:~.@~8.2.:59';549.60 <i+~fi~,514,411.62 0.09 0.55 1.29 1.27 5,100,678,315.32 5,093,145,011.06 7,533,304.26 0.15 0.56 1.20 1.18 ; ;}i%,ooo,t87, 2o6.~i[~~,~~~:~§94.922.s1i:·SII1I~.264. 694.67 0.11 0.59 '1.25 1.22 4
1/6/2012 12/23/2011 12/22/2011 12/27/2011 1/4/2012 12/16/2011 Nonfarm payroll employment counts the number of paid employees working part-time or full-time in the nation's business and government tablish Unemployment Rate The unemployment rate measures the number of unemployed as a ntage of the labor force. Durable Goods Orders-Durable goods orders reflect the new orders pia ced with domestic M/M change manufacturers for immediate and future delivery offa ctory hard goods. Durable goods orders are a leading indicator of industrial production and capitals Real Gross Domestic Gross Domestic Product (GDP) is the broadest measure of aggregate Product-QjQ change economic activity and encompasses every sector of the economy. GDP is the country's most comprehensive economic scorecard. Consumer Confidence The Conference Board compiles a survey of consumer attitudes on present economic conditions and expectations of future conditions. Consumer spending drives two-thirds of the economy and if the Factory Orders-M/M change Consumer Price Index-M/M change consumer is not confident, the consumer wi II not be wi II ing to pull out bucks. and nondurable goods. All in all, this report tells investors what to expect from the manufacturing sector, a major component of the economv and therefore a maio r i nfl u e nee on their investments. The Consumer Price Index is a measure of the average price level of a fixed basket of goods and services purchased by consumers. Monthly changes in the CPI represent the rate of inflation. As the rate of inflation changes and as expectations on inflationc~ange, the markets 1,563.70 $ (182.68)1 I 8.7% Decrease to 1.9% 3.8% 0.00% 68.0% Increase to 0.25% 32.0% 2.0% 1.8% Increase to 0.50% 0.0% 59.0 64.5 2.0% 0.1% 0.06 0.01 0.10 (0.01) 0.24 (0.02) 0.35 (0.04) 0.83 (0.12) 1.34 (0.18) .I.V I '-UI 1.88 (0.19) 30-Year 2.89
Tl 1.00% -Pool Yield 0.80% TIMMI 11Fidelity Prime Institutional MMF FIPXX 0.17% Federated Prime Obligations Fund POl XX 0.20% Wells Fargo Advantage WFJXX 0.08% nley Institutional Prime Liquidity Fund MPFXX 0.12% BlackRock Prime Cash Fund BPI XX 0.15% The Treasurer's Institutional Money Market Index (TIMMI) is compiled and reported by the Riverside County Treasurer's Capital Markets division. It is a composite index derived from five AAA rated prime institutional money market funds. Similar to the Treasurer's Office, prime money market funds invest in a diversified portfolio of U.S. dollar denominated money market instruments including U.S. Treasuries, government agencies, commercial paper, certificates of deposits, repurchase agreements, etc. TIMMI is currently comprised of the five multi billion dollar funds listed above. 01/2012 01/2012 842.93 1,339.48 (496.55) 19.73 (0.00) 325.00 02/2012 425.00 921.25 (496.25) 496.25 0.00 172.96 03/2012 941.20 792.95 148.25 148.25 151.00 04/2012 1,404.16 733.64 670.52 818.77 100.00 05/2012 746.26 1,035.89 (289.63) 529.14 368.66 06/2012 884.08 1,220.61 (336.53) 192.61 374.50 cash flow requirements are 07/2012 841.95 826.31 15.64 208.25 318.69 based upon a 12 month histori-08/2012 518.23 711.33 (193.10) 15.15 251.97 cal cash flow model. Based 09/2012 649.54 750.00 (100.46) 85.31 0.00 238.04 upon projected cash receipts 10/2012 669.49 826.92 (157.43) 157.43 0.00 246.00 and maturing investments, 11/2012 832.33 676.45 155.88 155.88 269.12 there are sufficient funds to meet future cash flow dis-bursements over the next 12 * All values reported in millions($). months. Page3 6
ASS ~Ji;'?o:rlit>fl ~:ftQtit-~-:.~4:xz::0:,~i;h!iiYI!il Pax,;;,,w .. -l!lh~~·.~r~!l ..... tt~l'fk~~tt!tlt[$.Ph. ___ .. ~ii!l! ...... W~Ctfrl;;1BiltlifllrJ MMKT ! 6,000.00 6,000.00 6,000.00 100.00% 0.03% .003 .003 CAL TRUST FND l 54,000.00 54,000.00 54,000.00 100.00% 0.52% .003 .003 LOCAL AGCY INVST FND j 50,000.00 50,000.00 50,000.00 100.00% 0.38% .003 .003 DDA/PASSBK i 5,000.00 5,000.00 5,000.00 100.00% 0.11% .003 .003 LOCAL AGCY OBLIG l 560.00 560.00 560.00 100.00% 1.00% 8.463 8.463 US TREAS BONDS l 315,000.00 316,285.26 315,709.50 99.82% 0.32% .406 .406 FHLMC DISC NOTES j 70,000.00 69,871.40 69,993.75 100.18% 0.19% .429 .429 FHLMC BONDS l 728,741.00 728,977.05 729,568.84 100.08% 0.79% .898 2.379 FNMA DISC NOTES l 50,000.00 49,935.44 49,953.13 100.04% 0.14% .838 .838 FNMA BONDS l 1,028,685.00 1,029,747.98 1,031,207.19 100.14% 0.88% .803 2.403 FHLB DISC NOTES l 120,000.00 119,787.48 119,946.98 100.13% 0.18% .723 .723 FHLB BONDS l 2,210,670.00 2,212,584.53 2,213,096.50 100.02% 0.40% .725 .932 FFCB DISC NOTES j 32,000.00 31,917.01 32,000.00 100.26% 0.26% .250 .250 FFCB BONDS l 245,705.00 246,040.43 246,749.70 100.29% 0.64% 1.112 1.194 FMAC DISC NOTES ! 123,000.00 122,751.08 122,981.88 100.19% 0.21% .466 .466 FARMER MAC l 37,500.00 37,502.38 37,584.38 100.22% 0.61% 1.343 1.343 MUNI BONDS j 98,695.00 98,930.55 98,930.55 100.00% 0.47% .576 .576 COMM PAPER l 115,000.00 114,783.00 114,823.36 100.04% 0.36% .285 .285 NCDS . . ! 150,000.00 . 150,000.00 150,000.00 100.00% 0.19% .210 . .210 Totals (000'§1: , .\73 '5)!40,556.00 \5.444,673.58 5A48,10S,13 100:06% . 0.53% .114 · 1.303 3,000,000.00 -2,000,000.00 _., Q Q e.. 1,000,000.00 o.oo t: Q Q ::.::: CJ U') U') U') ., ., U') U') U') ., U') z: if QCI ::1 c 1.&.1 c 1.&.1 Q 1.&.1 c 1.&.1 c 1.&.1 ::E: LL U') z: ~ z: ~ z: ~ z: s z: t5 ::E: Iii Iii ~ lXI 0 0 0 0 0 0 a:ll m r:a a:ll z: a:ll z: ~ > ->-~ u u u ""' ~ r:a u a:ll u ~ z: c( u U') % U') ::E: ...... U') u U') -c ~ LU .... ..... .... :c .... u.. .... Q ....I c z: c c c i:) c a::: :c ..... u.. ...... 1-c:..J c( LL r:a a:ll c:..J u ... CJ <( ., 3 :::E ..... u ....: ""' u :::::1 z: X .... :E: ..... 9 X u.. ..... .... u.. ~ ..... 9 Pay4 u U') ""' c ::E: z: 0 lfi m ::E: -a::: z: ::::1 ""' :::E ...... -MMKT-0% -CALTRUST FND • 1% -LOCAL AGCY INVST FND • 1% -DDA/PASSBK • 0% -LOCAL AGCY OBUG • 0% -US TREAS BONDS • 6•10 C::::. FHLMC DISC NOTES -1% -FHLMC BONDS • 13% c:::a FNMA DISC NOTES • 1% -FNMA BONDS· l9o/o a:: U') w c Q, u ""' z: Q, % ::e:: 0 u 'Y%\i,De(:ember 2o1'i; -FHLB DISC NOTES · 2% -FHLB BONDS· 41% -FFCB DISC NOTES • 1°/o c:::> FFCB BONDS-5°/o -FMAC DISC NOTES· 20/o = FARMER MAC· 1°/o .. MUNlBONDS·2o/o -COMM PAPER-2% -NCDS-3°/o
&<_,...,. MATURtTY C[fT-:.:tl:ljf:1/~ Assets {()OO'st ,~~·· .. ~che~.!,lled,,Pa.r MMKT 6,000.00 CAL TRUST FND 54,000.00 LOCAL AGCY INVST FND 50,000.00 DDA/PASSBK 5,000.00 LOCAL AGCY OBLIG 560.00 US TREAS BONDS 315,000.00 FHLMC DISC NOTES 70,000.00 FHLMC BONDS 728,741.00 FNMA DISC NOTES 50,000.00 FNMA BONDS 1,028,685.00 FHLB DISC NOTES 120,000.00 FHLB BONDS 2,210,670.00 FFCB DISC NOTES 32,000.00 FFCB BONDS 245,705.00 FMAC DISC NOTES 123,000.00 FARMER MAC 37,500.00 MUNI BONDS 98,695.00 COMM PAPER 115,000.00 NCDS 150,000.00 Totals (OOO's}: 5,440,556.00 10.000 &! ::i 5.000 >-• 000 ~ :E :E ~ .... t;; ~ 5 -~ l:lu.. ~~ i3z OM _, ~ ~ i Durati,PJ:I {Yr) .003 .003 .003 .003 I !' ;: -'" ~~ _,0 ~ g 4.494 .405 .429 2.342 .838 2.363 .722 .926 .250 1.184 .466 1.338 .573 .285 .210 1~287 ,.,.c, Ill 0 z g ~ Ill ::> E"-ec;tive !?,!,I ration .003 .003 .003 .003 U!on ~ .... co vz 3 :1: .... 4.494 .405 .429 .680 .838 .584 .722 .640 .250 1.038 .466 1.338 .573 .285 .210 .605 • .!! Ill z g 3 :1: ... ···"·~···IN~L, (Yr). ... .003 l!h Ill ~ u Ill 8 < :£ z .... Ill z g < :£ iE .003 .003 .003 8.463 .406 .429 .898 .838 .803 .723 .725 .250 1.112 .466 1.343 .576 .285 .210 .714 1m Ill b z ~ 8 ~ if -Duration Bllll Effective Duration Avg Life Pags f"!i!t (Yr) .003 .003 .003 .003 II 8.463 .406 .429 2.379 .838 2.403 .723 .932 .250 1.194 .466 1.343 .576 .285 .210 1.303 ,,~ ' Ill z g 9 iE "' ~ ~ 8 ~ u.. I! h Ill z g ca It u. Maturity "' i bl a ~ u.. I·' .. \) :E ~ "' ~ ~ "' z g !Z :;::1 :E ~ ... ~ :£ :E 8 December 2011 Ill \) z
AVERAG~;LIFF "' .:{ )i,:J, i '1;;~:ho 1 4,000,000.00 I I I I I ' j I I I I I I I I I I I I I I I I I I I I I liB i i 0 !!:l s ~ 0.00 AVERAGE UFE P'96 -NCDS-:3% -COMM PAPER· : 2% -MUNl BONDS-: 2o/o FARMER MAC· :1% -FMAC DISC NOTES· : 2% fFCB BONOS· : 5% -FFCBDISCNOTES-:1% -FHLBBONDS· :41% -FHLB DISC NOTES· : 2% -FNMABONDS-:19°ft> FNMA DISC NOTES -: 1% -FHLMC BONOS· : 13% FHLMC DISC NOTES-: 1% -US TREAS BONOS· : 6% -lOCALAGCY OBLlG • : 0°1<> -DDA/PASSBK • : 0% -LOCAL AGCY INVST FND-: 1% -CALTRUST FND-: 1% -MMKT· :0% dircember 2&'~±
ljjj)?f R!YtRSIOE CREDIJ f:o!~Ul!!99~s) , "" .• "Par." ··~~·~-~·· ,B90k Market Mlg"JJ!9"C!l5 .. " ..... Y1!ill4 Aaa 4,892,916.00 4,897,271.10 4,900,350.10 100.06% 0.55% Aal 168,540.00 168,540.27 168,540.27 100.00% 0.26% Aa2 138,040.00 137,823.00 137,863.36 100.03% 0.41% Aa3 25,000.00 25,225.75 25,225.75 100.00% 0.25% NR 216 060.00 215 813.46 216 126.25 100.14% 0.32% Totals (OOO's): 5,440,556.00 5,444,673.58 5,448,105.73 100.06% o;5301u S&P(Q9!i::§r'!'· ., •. .,., Pa.r."". "" S~"'"""" ,.Mar~~t. "MJITlBook ·~·" Yie!q AAA ! 2,156,951.00 2,161,557.59 2,164,486.03 100.14% 0.62% AA+ i 2,868,065.00 2,867,596.51 2,867,787.43 100.01% 0.49% AA i 24,480.00 24,480.27 24,480.27 100.00% 0.68% AA-; 175,000.00 175,225.75 175,225.75 100.00% 0.20% NR 216 060.00 215 813.46 216 126.25 100.14% 0.32% Totals (OOO's): 5,440,556.00 5,444,673.58 ". 5,448,105.73 100.06% · "0.53°/u * On August 5, 2011 Standard & Poors downgraded US. Treasunes and Government Agencies from AAA to AA+ The Treasurer's office reports rat1ngs as of the purchase date Therefore, the downgrade w1ll only effect Treasury and Agency purchases executed after August 5 -AAA • 40o/o -AA· • .3"11> -AA+-53% -NR-4% -AA-0% 1'0 liB Aaa • 900/o c:=1 Aa3 ~ 0°./o -Aa1·3o/o -NR-4o/o -Aa2-3'o/o Derember"2011
GOIXX FEDERATED GOV 0!/01/2012 .010 .010 1,000,000.00 1,000,000.00 100.000000 1,000,000.00 0.00 MVRXX MORGAN STANLEY GOV 0!/01/2012 .030 .030 5,000,000.00 5,000,000.00 100.000000 5,000,000.00 0.00 CLTR CAL TRUST SHT TERM FUND \134~i\,>'·,' LOCAL AGCY INVST FND LAIF DDAIPASSBK CASH LAIF UBOC MANAGED RATE , : -·· .~'>"L;~':£1&·.·., LOCAL AGCY OBLIG LAO US DIST COURTHOUS US TREAS BONDS 9!2828MQO 912828NS5 912828NQ9 9!2828NQ9 912828MQO 912828NS5 912828MQO 9!2828NQ9 912828MQO 9!2828MUJ 912828NS5 912828MQO 912828MQO 912828NS5 912828NS5 912828NQ9 912828PH7 912828NX4 912828NS5 9!2828NS5 U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND U.S. TREASURY BOND {.}~:-7:-:: >~;7lt>;, ;~-, FHLMC DISC NOTES 313396WZ2 313396ZQ9 313396ZN6 FHLMC DISC NOTE FHLMC DISC NOTE FHLMC DISC NOTE </ ' ·'•, ",,f\ ~:>;,~~~:3 FHLMC BONDS 3137EACG2 3134G1GQ1 3134G1GQ1 3134G1GQ1 3134G1GQ1 3137EACL1 3134G1SGO 3134G1WT7 3134G1XG4 3137EACK3 3137EACR8 3137EACR8 3134G1VG6 3134G2CL4 3137EACP2 3137EACL1 3134G2FT4 3134G2KY7 3!34G2KY7 FHLMC FHLMC FHLMC FHLMC FHLMC FHLMC FHLMC 3.5YrNc6Mo FHLMC FHLMC 2Yr1'1c6Mo FHLMC 2.2Yr FHLMC 3Yr FHLMC 3Yr FHLMC 2Yr FHLMC 3Yr FHLMC 2Yr FHLMC 3Yr FHLMC 2.25Yr FHLMC 2.25YrNc6MoB FHLMC 2.25YrNc6MoB ... .... ..... ···•. :•!l'~l· .on ·~~&;oo!l';tfOO,oo MOiJ(I!!!!'iJio· too.oooooo... &,(!'oo,ooo.oo o.oo .... 0!/01/2012 0!/01/2012 01/01/2012 06/15/2020 02/29/2012 06/30/2012 07/31/2012 07/31/2012 02/29/2012 06/30/2012 02/29/2012 07/31/2012 02/29/2012 03/31/2012 06/30/2012 02/29/2012 02/29/2012 06/30/2012 06/30/2012 07/31/2012 08/31/2012 09/30/2012 06/30/2012 06/30/2012 05/18/2012 07/20/2012 07/18/2012 01/09/2013 08/28/2012 08/28/2012 08/28/2012 08/28/2012 10/28/2013 03/03/2014 11/26/2012 10/29/2012 07/27/2012 02/25/2014 02/25/2014 10/30/2012 04/29/2014 11/30/2012 10/28/2013 08/13/2013 09/23/2013 09/23/2013 .519 .519 .380 .• 3110 .IJ3 t:L;~: ... !.003 1.003 .875 .625 .625 .625 .875 .625 .875 .625 .875 1.000 .625 .875 .875 .625 .625 .625 .375 .375 .625 .625 .706 .200 .160 .150 "·~~~' 1.375 1.000 !.000 !.000 1.000 .875 1.250 .515 .500 1.125 1.375 1.375 .625 1.350 .375 .875 .875 .750 .750 .5!9 54,000,000.00 ~~~~~~~4f;~J)f:~t~,~;(JJJO.OO .380 .380 .113 .113 !.003 •\ •. 1.003 .410 .487 .512 .455 .259 .385 .257 .400 .255 .282 .413 .281 .287 .324 .294 .304 .342 .327 .222 .194 .;,~4; · .. .200 .160 .ISO .:1$1· 1.407 .709 .694 .732 .699 .937 1.250 .470 .500 .514 1.375 1.465 .650 1.160 .385 .790 .611 .750 .750 50,000,000.00 so.uoo.ooo.oo 5,000,000.00 · .···.'•Si.!\!!9.191!'0;oo 560,000.00 560,00(1;,09'>'; 10,000,000.00 10,000,000.00 10,000,000.00 15,000,000.00 15,000,000.00 15,000,000.00 15,000,000.00 15,000,000.00 20,000,000.00 15,000,000.00 15,000,000.00 20,000,000.00 25,000,000.00 25,000,000.00 20,000,000.00 15,000,000.00 15,000,000.00 10,000,000.00 15,000,000.00 15,000,000.00 ~~~ij,qp;jll!O.oo 50,000,000.00 10,000,000.00 10,000,000.00 .to,o(IM~J})o!l 10,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 14,121,000.00 11,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 54,000,000.00 100.000000 54,000,000.00 . s4,o®;ooil:lio:Y;<<: · .. ·· lOO.O!JOQO,fl; ; · . ·:;}:it' 54,000,000.00 50,000,000.00 100.000000 so,ooo,ooe).llo 11111.000000 5,000,000.00 !00.000000 s,ooo,IJ~~-<!o ?•11 . Joo.oooooo 560,000.00 !00.000000 ssb,Oilo.oo . •· · .:;$;•~: ;1Do.oooooo 100.130000 100.280000 100.310000 100.310000 100.130000 100.280000 100.130000 100.310000 100.130000 100.230000 100.280000 100.130000 100.130000 100.280000 100.280000 100.310000 100.180000 100.190000 100.280000 50,000,000.00 SOAIOO,OOO.OO s,ooo,ooo.oo s,ooo,ooo.oo 560,000.00 560,000.00 . 10,013,000.00 10,028,000.00 10,031,000.00 15,046,500.00 15,019,500.00 15,042,000.00 15,019,500.00 15,046,500.00 20,026,000.00 15,034,500.00 15,042,000.00 20,026,000.00 25,032,500.00 25,070,000.00 20,056,000.00 15,046,500.00 15,027,000.00 10,019,000.00 15,042,000.00 10,069,140.63 10,022,265.63 10,019,140.63 15,043,359.38 15,086,718.75 15,045,703.13 15,086,718.75 15,045,703.13 20,115,625.00 15,109,570.31 15,039,843.75 20,108,593.75 25,131,835.94 25,089,843.75 20,076,562.50 15,059,765.63 15,006,445.31 10,006,640.63 15,059,179.69 15,062,606.70 100.280000 15,042,000.00 3t&;;t.ss.;:z.t~2.ll9 .too;2:;1.n~;c:·s:r311 ; ~1s,1o9,soo.oo . · 49,900,000.00 100.000000 9,985,066.67 99.968750 9,986,333.33 99.968750 :;~{;{6!J,$71,40CI.oll· .. :/££§;j"',!j~~11!i:i:·· Pf"J8 9,990,300.00 5,029,450.00 10,061,850.00 10,054,100.00 5,030,400.00 4,990,300.00 5,000,000.00 5,004,700.00 5,000,000.00 10,102,700.00 5,000,000.00 9,973,100.00 4,998,000.00 5,027,800.00 14,118,881.85 11,022,330.00 5,028,775.00 5,000,000.00 5,000,000.00 101.156250 100.531250 !00.531250 100.531250 100.531250 100.781250 101.250000 100.281250 100.031250 100.500000 101.625000 101.625000 100.343750 101.843750 100.187500 100.781250 100.625000 100.0937SO 100.093750 50,000,000.00 9,996,875.00 9,996,875.00 .. · .6~,jjlla;t~9:te~ 10,115,625.00 5,026,562.50 10,053,125.00 10,053,125.00 5,026,562.50 5,039,062.50 5,062,500.00 5,014,062.50 5,001,562.50 10,050,000.00 5,081,250.00 10,162,500.00 5,017,187.50 5,092,187.50 14,147,476.88 11,085,937.50 5,031,2SO.OO 5,004,687.50 5,004,687.50 0.00 0.00 0.00 o.oo 0.00 o.oo 0.00 o.oo ·56,140.63 5,734.37 11,859.37 3,140.62 ·67,218.75 -3,703.13 -67,218.75 796.87 -89,625.00 ·75,070.31 2,156.25 -82,593.75 -99,335.94 -19,843.75 -20,562.50 -13,265.63 20,S54.69 12,359.37 -17,179.69 -20,606.70 -575;76;1..99 100,000.00 11,808.33 10,54!.67 122,35!!-00 125,325.00 -2,887.50 -8,725.00 -975.00 -3,837.50 48,762.50 62,500.00 9,362.50 1,562.50 -52,700.00 81,250.00 189,400.00 19,187.50 64,387.50 28,595.03 63,607.50 2,475.00 4,687.50 4,687.SO .003 .003 .003 .003 ;oo3 .003 .003 .003 ,003 4.471 4,471 .164 .497 .580 .580 .164 .497 .164 .581 .164 .249 .497 .164 .164 .497 .498 .581 .665 .748 .498 .498 .405 .380 .552 .547 .428 1.005 .662 .662 .662 .662 1.804 2.128 .899 .824 .568 2.102 2.101 .829 2.281 .914 1.805 1.599 1.710 1.710 .003 .003 .003 .003 .003 .003 .003 .003 .0113 8.463 8.463 .164 .499 .584 .584 .164 .499 .164 .584 .164 .249 .499 .164 .164 .499 .499 .584 .668 .751 .499 .499 .406 .381 .553 .548 .429 1.027 .660 .660 .660 .660 1.827 2.173 .907 .830 .573 2.156 2.156 .833 2.329 .918 1.827 1.619 1.732 1.732
3134G2PH9 3134G2PGI 3134G2QF2 3134G2QS4 3134G2PT3 3134G2UP5 3134G2WB4 3134G2WJ7 3134G2VSS 3134G2WB4 3134G2WU2 3134G2YB2 3134G2YD8 3134G2YD8 3134G2Y82 3134G2Y82 3134G2YK2 3134G2YK2 3134G2ZF2 3134G2ZJ4 3134G2YM8 3134G2ZN5 3137EACK3 3134G2YJ5 3134G2A36 3!34G2C83 3134G2892 3134G2D74 3134G2H39 3134G2D66 3134G2D66 3134G2G48 3134G2ZBI 3134G2L34 3134G2N81 3134G2L34 3134G2K84 3134G2L34 3134G2L34 3134G2N81 3134G2YJ5 3134G2T28 3134G2Q62 3134G2U91 3134G2T69 3134G2U42 3134G2V41 3!34G2V41 3134G2W40 3134G2W40 3!34G2W40 3134G2W40 3134G2W40 3137EACY3 3137EACY3 3134G2W99 3!34G2W73 3134G2Y89 3134G2Y55 3134G22H4 3134G22H4 3134G22H4 FHLMC 3YrNc6MoE FHLMC 2.5YrNc6MoE FHLMC 2YrNc6MoE FHLMC 3YrNc6MoE FHLMC 3YrNc3Mo8 FHLMC SYrNc!YrB FHLMC 5YrNc3Mo8 FHLMC 5YrNc6Mo8 FHLMC 3.5YrNc6MoB FHLMC 5YrNc3MoB FHLMC 2YrNc6MoB FHLMC 2YrNc3MoB FHLMC 5YrNc6MoB FHLMC 5YrNc6MoB FHLMC 2YrNc3Mo8 FHLMC 2YrNc3Mo8 FHLMC 2YrNc!Yrf FHLMC 2YrNc!YrE FHLMC 5YrNc6MoB FHLMC 5YrNc3MoB FHLMC 3YrNc6Mo8 FHLMC 5YrNc3MoB FHLMC liMo FHLMC 3Yr FHLMC 2YrNc6MoB FHLMC 5YrNc6MoB FHLMC 2YrNc3MoB FHLMC 2YrNc3MoB FHLMC 3YrNc6Mo8 FHLMC 2.5YrNc6MoB FHLMC 2.5YrNc6MoB FHLMC 5YrNc6MoB FHLMC 2YrNc6MoB FHLMC 2YrNc6Mo8 FHLMC 5YrNc6Mo8 FHLMC 2YrNc6MoB FHLMC 3YrNc6MoB FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB FHLMC 5YrNc6MoB FHLMC 3Yr FHLMC 3YrNc6MoB FHLMC 2YrNc6Mo8 FHLMC 5YrNc6MoB FHLMC 5YrNc6MoB FHLMC 2Yr FHLMC 2YrNc3MoB FHLMC 2YrNc3MoB FHLMC 3YrNc6MoB FHLMC 3YrNc6Mo8 FHLMC 3YrNc6Mo8 FHLMC 3YrNc6MoB FHLMC 3YrNc6MoB FHLMC 3Yr FHLMC 3Yr FHLMC 5YrNc6MoB FHLMC 2YrNc1YrE FHLMC 3.5YrNcl YrB FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB 07/11/2014 01/13/2014 07/18/2013 07/25/2014 07/21/2014 08/22/2016 08/25/2016 08/24/2016 02/23/2015 08/25/2016 08/22/2013 08/23/2013 08/24/2016 08/24/2016 08/23/2013 08/23/2013 09/06/2013 09/06/2013 09/01/2016 09/06/2016 09/02/2014 09/06/2016 07/27/2012 09/19/2014 09/09/2013 09/02/2016 03/13/2013 09/20/2013 09/29/2014 03/14/2014 03/14/2014 09/28/2016 09/06/2013 09/30/2013 09/29/2016 09/30/2013 09/30/2014 09/30/2013 09/30/2013 09/29/2016 09/19/2014 10/17/2014 10/03/2013 10/13/2016 10/13/2016 10/15/2013 10/25/2013 10/25/2013 10/24/2014 10/24/2014 10/24/2014 10/24/2014 10/24/2014 11/25/2014 11/25/2014 10/13/2016 10/18/2013 04/24/2015 10/25/2013 11/04/2013 11/04/2013 11/04/2013 1.050 .800 .650 1.200 .750 1.750 1.250 1.500 .875 1.250 .600 .500 1.125 1.125 .500 .500 .450 .450 1.000 1.000 .750 1.125 1.125 .500 .550 1.000 .500 .600 .800 .625 .625 1.350 .500 .550 1.250 .550 .750 .550 .550 1.250 .500 .750 .500 1.000 1.125 .375 .600 .600 .800 .800 .800 .800 .800 .750 .750 1.250 .500 1.000 .550 .700 .700 .700 1.050 .881 .650 1.200 .809 1.750 1.250 1.506 .875 1.250 .600 .500 1.125 1.125 .500 .500 .450 .450 1.000 1.000 .750 1.125 .203 .500 .550 1.000 .500 .600 .800 .625 .625 1.360 .550 .550 1.250 .550 .750 .560 .550 1.250 .599 .750 .520 1.010 1.156 .483 .600 .600 .800 .800 .800 .800 .808 .755 .761 1.250 .516 1.007 .550 .700 .700 .700 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 6,250,000.00 10,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 3,350,000.00 5,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 20,000,000.00 10,000,000.00 7,020,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 15,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 P1g2 10,000,000.00 4,990,000.00 5,000,000.00 5,000,000.00 6,239,062.50 10,000,000.00 5,000,000.00 4,998,500.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 10,086,400.00 10,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 3,350,000.00 4,997,500.00 4,995,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 19,996,000.00 10,000,000.00 7,020,000.00 9,970,700.00 5,000,000.00 4,998,000.00 4,997,500.00 4,992,500.00 14,967,300.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 9,997,500.00 9,998,467.22 4,998,300.00 5,000,000.00 4,998,437.50 4,998,750.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 100.000000 100.000000 100.000000 100.062500 100.000000 100.875000 100.125000 100.156250 100.031250 100.125000 100.031250 99.843750 100.125000 100.125000 99.843750 99.843750 99.843750 99.843750 100.031250 100.062500 99.843750 100.125000 100.500000 99.687500 99.875000 100.093750 100.062500 99.875000 99.843750 99.843750 99.843750 100.187500 99.875000 99.906250 100.156250 99.906250 99.718750 99.906250 99.906250 100.156250 99.687500 100.000000 99.875000 100.125000 100.250000 99.875000 100.000000 100.000000 99.375000 99.375000 99.375000 99.375000 99.375000 100.187500 100.187500 100.250000 99.906250 100.031250 99.906250 100.062500 100.062500 100.062500 10,000,000.00 5,000,000.00 5,000,000.00 5,003,125.00 6,250,000.00 10,087,500.00 5,006,250.00 5,007,812.50 10,003,125.00 5,006,250.00 5,001,562.50 4,992,187.50 5,006,250.00 5,006,250.00 4,992,187.50 4,992,187.50 9,984,375.00 4,992,187.50 5,001,562.50 5,003,125.00 4,992,187.50 10,012,500.00 10,050,000.00 9,968,750.00 4,993,750.00 10,009,375.00 10,006,250.00 9,987,500.00 4,992,187.50 4,992,187.50 3,344,765.63 5,009,375.00 4,993,750.00 9,990,625.00 10,015,625.00 4,995,312.50 9,971,875.00 19,981,250.00 9,990,625.00 7,030,968.75 9,968,750.00 5,000,000.00 4,993,750.00 5,006,250.00 5,012,500.00 14,981,250.00 10,000,000.00 5,000,000.00 9,937,500.00 4,968,750.00 4,968,750.00 4,968,750.00 9,937,500.00 10,018,750.00 5,009,375.00 5,012,500.00 4,995,312.50 5,001,562.50 4,995,312.50 5,003,125.00 5,003,125.00 5,003,125.00 0.00 10,000.00 0.00 3,125.00 10,937.50 87,500.00 6,250.00 9,312.50 3,125.00 6,250.00 1,562.50 -7,812.50 6,250.00 6,250.00 -7,812.50 -7,812.50 -15,625.00 -7,812.50 1,562.50 3,125.00 -7,812.50 12,500.00 -36,400.00 -31,250.00 -6,250.00 9,375.00 6,250.00 -12,500.00 -7,812.50 -7,812.50 -5,234.38 11,875.00 -1,250.00 -9,375.00 15,625.00 -4,687.50 -28,125.00 -14,750.00 -9,375.00 10,968.75 -1,950.00 0.00 -4,250.00 8,750.00 20,000.00 13,950.00 0.00 0.00 -62,500.00 -31,250.00 -31,250.00 -31,250.00 -60,000.00 20,282.78 11,075.00 12,500.00 -3,125.00 2,812.50 -4,687.50 3,125.00 3,125.00 3,125.00 2.005 1.533 2.507 2.517 4.412 4.485 4.449 3.086 4.485 1.628 1.633 4.498 4.498 1.633 1.633 1.670 1.670 4.534 4.547 2.632 4.531 .569 2.691 1.676 4.536 1.193 1.705 2.704 2.180 2.180 4.562 1.668 1.737 4.578 1.737 2.712 1.737 1.737 4.578 2.690 2.756 1.744 4.649 4.632 1.779 1.802 1.802 2.773 2.773 2.773 2.773 2.773 2.861 2.861 4.617 1.785 3.246 1.803 1.825 1.825 1.825 2.529 2.038 1.548 2.567 2.556 4.647 4.655 4.652 3.151 4.655 1.644 1.647 4.652 4.652 1.647 1.647 1.685 1.685 4.674 4.688 2.674 4.688 .573 2.721 1.693 4.677 1.200 1.723 2.748 2.203 2.203 4.748 1.685 1.751 4.751 1.751 2.751 1.751 1.751 4.751 2.721 2.797 1.759 4.789 4.789 1.792 1.819 1.819 2.816 2.816 2.816 2.816 2.816 2.904 2.904 4.789 1.800 3.315 1.819 1.847 1.847 1.847
3134G23J9 3134G23M2 3134G23M2 3134G3AL4 3137EACZO 3134G3BQ2 3134G3BF6 3134G3BS8 3134G3BS8 3134G3BL3 3134G3BL3 3134G3BL3 3134G3BL3 3134G3BL3 3134G3BA7 3134G3BL3 3134G3CVO 3134G3DP2 3134G3EB2 3134G3DY3 3134G3EN6 3134G2U42 FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB FHLMC 2YrNc6MoB FHLMC 1YrNc3MoB FHLMC 2Yr FHLMC 5YrNc1 YrB FHLMC 2Yr FHLMC 2YrNc1YrE FHLMC 2YrNclYrE FHLMC 3YrNclYrS FHLMC 3YrNc1YrB FHLMC 3YrNc1YrB FHLMC 3YrNc1 YrS FHLMC 3YrNc1YrB FHLMC 2YrNcl YrB FHLMC 3YrNc1 YrB FHLMC 3YrNc1YrS FHLMC 3.5YrNc1 YrB 3.5YrNc2YrE FHLMC 3YrNc1YrS FHLMC 3.5YrNc2YrE FHLMC l.SYr ,iJtt.!',c' FNMA DISC NOTES 313588M85 ,·r~--------------------, ---/>. FNMABONDS 3136F94P5 31398AV90 3136FM7DO 31398A3NO 31398A3A8 3136FPEL7 3136FPEL7 3136FPEL7 3136FPEL7 3136FPEL7 31398A3NO 31398A3L4 31398A3L4 31398A3L4 31398A3L4 31398A3L4 3136FPGA9 3136FPEX1 31398A3R1 31398AH54 31398A4H2 31398A4H2 31398A4H2 31398AP71 31398AT77 31398AT77 31398A5Zl 31398A5Z1 3136FPXXO 3136FPZD2 3136FPV95 3136FPV95 3136FPV46 3136FP6XO 3135GOAM5 3136FPUC9 FNMA DISC NOTE FNMA 3Yr FNMA 3YrNc2Yr FNMA 5YrNc1.5Yr FNMA FNMA FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc2Mo FNMA 3.25YrNc6Mo FNMA 3.5YrNc6Mo FNMA FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 2.2Yr FNMA 2.2Yr FNMA 2.2Yr FNMA 3YrNc6Mo FNMA 3YrNc6Mo FNMA 4Yr FNMA 4YrNc2Mo FNMA 3.5YrNc1Yr FNMA 3.5YrNc1Yr FNMA 3YrNcl Yr FNMA SYr FNMA 3YrNc1 Yr FNMA 2Yr 11/15/2013 11/08/2013 11/08/2013 12/14/2012 11/27/2013 11/28/2016 12/23/2013 12/06/2013 12/06/2013 12/05/2014 12/05/2014 12/05/2014 12/05/2014 12/05/2014 12/05/2013 12/05/2014 12/19/2014 06/19/2015 06/30/2015 12/19/2014 06/30/2015 10/15/2013 11/01/2012 01/30/2012 07/16/2013 08/17/2015 09/24/2012 09/03/2013 09/09/2013 09/09/2013 09/09/2013 09/09/2013 09/09/2013 09/24/2012 09/17/2013 09/17/2013 09/17/2013 09/17/2013 09/17/2013 09/20/2013 12/17/2013 03/21/2014 04/04/2012 10/08/2013 10/08/2013 10/08/2013 06/22/2012 07/30/2012 07/30/2012 11/19/2013 11/19/2013 11/26/2014 12/03/2014 07/03/2014 07/03/2014 01/13/2014 02/04/2016 01/27/2014 10/30/2012 .600 .630 .630 .350 .375 1.375 .625 .700 ,700 1.000 1.000 1.000 1.000 1.000 .700 1.000 1.000 1.020 1.000 .875 1.000 .375 ,813 .140 .:1.40 2.000 1.300 1.000 .625 1.050 1.050 1.050 1.050 1.050 1.050 .625 1.125 1.125 1.125 1.125 1.125 1.000 1.125 1.350 1.000 1.125 1.125 1.125 1.250 1.125 1.125 .800 .800 1.050 1.125 1.700 1.700 1.420 .463 1.000 .500 .600 .630 .630 .350 .580 1.375 .626 .700 .700 1.000 1.000 1.000 1.000 1.000 .700 1.000 1.000 10,000,000.00 10,000,000.00 5,000,000.00 20,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 1.020 10,000,000.00 1.000 5,000,000.00 .875 5,000,000.00 1.000 5,000,000.00 .400 5,000,000.00 .. 1~:c· >:.:' ·7~8,74:l,ooo.oo .140 .1411 1.573 1.317 1.000 .700 1.058 1.050 1.050 1.050 1.084 1.050 .704 1.132 1.125 1.125 1.125 1.125 1.017 1.141 1.350 .410 1.125 1.125 1.125 .348 .403 .458 .800 .800 1.050 1.125 1.700 1.700 1.420 .487 1.000 .550 50,000,000.00 !;O,ODO<t1DO;!'O 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 15,000,000.00 20,000,000.00 10,000,000.00 5,000,000.00 15,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 20,000,000.00 9,958,700.00 5,000,000.00 9,999,800.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 4,997,700.00 728,977;0:'$4,075:(·''' 49,935,444.44 ' 49,935,444:4,4 .· P"f-JD 10,107,000.00 4,997,500.00 5,000,000.00 4,992,300.00 4,998,750.00 5,000,000.00 5,000,000.00 5,000,000.00 4,995,000.00 5,000,000.00 4,992,000.00 4,999,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 4,997,500.00 4,997,500.00 5,000,000.00 10,088,900.00 5,000,000.00 5,000,000.00 5,000,000.00 10,145,800.00 10,124,000.00 10,114,300.00 10,000,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 15,000,000.00. 20,000,000.00 9,990,000.00 5,000,000.00 14,988,000.00 100.031250 100.031250 100.031250 100.000000 99.843750 100.281250 100.000000 99.937500 99.937500 100.125000 100.125000 100.125000 100.125000 100.125000 100.000000 100.125000 100.000000 100.062500 100.000000 100.031250 99.937500 99.875000 -~ll!!#JH598 99.906250 . 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FNMA 2YrNc6MoE FNMA 3YrNc6MoB FNMA 3YrNc6MoB FNMA 3YrNc1YrE FNMA 2YrNc6MoB FNMA 5YrNc1 YrB FNMA liMo FNMA 5YrNc1YrB FNMA 5YrNc1YrB FNMA 5YrNc1YrB FNMA 5YrNc1YrB FNMA 2YrNc6Mo8 FNMA 3YrNc1YrE FNMA 2YrNc6MoB FNMA 2YrNc6MoB FNMA 2YrNc6MoB FNMA 3YrNc6MoB FNMA 3YrNc6MoB FNMA 3YrNc6MoB FNMA 5YrNc6MoB FNMA 2YrNc6MoE FNMA 2YrNc6MoE FNMA 2YrNc6MoE FNMA 2YrNc6MoE FNMA 2YrNc6MoE FNMA 3YrNc6MoB FNMA 3YrNc6MoB FNMA 2Yr FNMA 3YrNcl YrE FNMA 2YrNc6MoB FNMA 2YrNc6MoB FNMA 2YrNc6Mo8 FNMA 5YrNc6Mo8 FNMA 5YrNc6MoB 03/14/2014 07/25/2014 12/18/2013 10/30/2012 03/13/2014 08/24/2015 11/19/2013 12/28/2012 06/27/2014 08/09/2013 06/30/2014 08/09/2013 07/18/2014 07/30/2012 07/25/2014 07/11/2016 08/01/2014 02/23/2015 12/18/2013 08/22/2014 09/02/2014 09/06/2013 09/06/2013 09/12/2014 09/12/2014 08/28/2014 09/21/2016 09/06/2013 09/06/2013 09/12/2014 09/12/2014 09/12/2014 09/12/2013 09/14/2016 07/30/2012 09/21/2016 09/14/2016 09/14/2016 09/21/2016 09/12/2013 08/28/2014 09/27/2013 09/27/2013 09/27/2013 09/12/2014 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FHLB DISC NOTES 313384ZN2 313384C80 313384D71 313384F61 313384M71 FHLB BONDS 3133XVNT4 3133XWKU2 3133XXTU1 3133XYHDO 3133702E7 FHLB DISC NOTE 07/18/2012 .160 .160 10,000,000.00 9,985,155.56 99.983417 9,998,341.67 FHLB DISC NOTE 08/21/2012 .200 .200 30,000,000.00 29,939,500.00 99.980583 29,994,175.00 FHLB DISC NOTE 08/28/2012 .170 .170 20,000,000.00 19,965,716.66 99.953333 19,990,666.67 FHLB DISC NOTE 09/12/2012 .170 .170 10,000,000.00 9,982,811.11 99.950417 9,995,041.67 FHLB DISC NOTE 10/31/2012 .170 .170 50,000,000.00 49,914,291.67 99.937500 49,968,750.00 ;;~'l>\t:sd;::; ; .111, :J.n.; t2o,ooo,IIOII;!t9IU. u9,787d:t~1'@;;;: :yt oo.9ssl1,u u9,946;9ts;ot, FHLB 3Yr FHLB 2.5Yr FHLB 2.25Yr FHLB FHLB 12/14/2012 06/08/2012 07/12/2012 06/14/2013 04/02/2012 1.750 1.375 1.260 1.625 .750 1.612 1.212 1.260 1.198 .750 5,000,000.00 5,000,000.00 5,000,000.00 15,000,000.00 5,000,000.00 p"f'52 5,020,050.00 5,017,100.00 5,000,000.00 15,185,100.00 5,000,000.00 101.375000 100.531250 100.562500 101.843750 100.156250 5,068,750.00 5,026,562.50 5,Q28,125.00 15,276,562.50 5,007,812.50 13,186.11 54,675.00 24,950.01 12,230.56 54,458.33 1591500.01 48,700.00 9,462.50 28,125.00 91,462.50 7,812.50 4.576 4.653 4.685 4.656 2.799 2.799 2.804 1.854 2.818 2.818 !.854 !.854 !.854 1.875 1.885 !.885 !.885 2.928 2.876 4.673 !.895 1.895 !.895 !.895 1.895 !.895 4.738 4.744 2.876 2.884 2.876 2.876 2.876 2.876 !.912 1.912 1.912 !.912 4.799 4.802 4.792 2.935 2.935 2.948 2.948 1.975 1.975 2.948 4.840 2~351 .547 .639 .659 .700 .834 .121 .941 .435 .524 !.432 .256 4.748 4.825 4.825 4.863 2.855 2.855 2.855 1.874 2.874 2.874 1.874 1.874 1.874 1.893 1.904 1.904 1.904 2.970 2.932 4.896 1.915 1.915 1.915 1.915 1.915 1.915 4.896 4.901 2.932 2.932 2.932 2.932 2.932 2.932 1.934 1.934 1.934 1.934 4.940 4.975 4.997 2.981 2.981 2.997 2.997 1.992 1.992 2.997 4.997 :MOl .548 .641 .660 .701 .836 .723 .956 .438 .532 1.455 .255
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10,000,000.00 15,000,000.00 25,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 10,000,000.00 15,000,000.00 15,000,000.00 9,000,000.00 8,000,000.00 10,000,000.00 10,000,000.00 p"f'85 9,999,500.00 15,000,000.00 20,000,000.00 5,000,000.00 8,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 50,000,000.00 8,000,000.00 30,000,000.00 4,999,830.00 5,000,000.00 20,000,000.00 4,997,944.55 5,000,000.00 19,997,400.00 10,000,000.00 9,999,500.00 9,999,500.00 10,000,000.00 15,000,000.00 4,999,850.00 15,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 15,000,000.00 15,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 9,994,300.00 15,000,000.00 24,989,425.00 10,000,000.00 10,000,000.00 10,000,000.00 9,996,359.34 10,000,000.00 10,000,000.00 9,996,900.00 4,999,800.00 10,002,988.60 15,001,381.80 10,000,000.00 15,001,350.00 9,998,000.00 10,000,000.00 15,011,550.00 14,999,250.00 9,000,000.00 8,003,520.00 9,999,200.00 9,999,700.00 100.000000 99.968750 100.031250 100.000000 100.093750 100.000000 100.062500 100.031250 100.000000 100.000000 100.000000 99.968750 100.031250 100.031250 100.031250 100.031250 99.937500 100.031250 100.000000 100.000000 100.031250 100.000000 99.937500 100.000000 100.000000 100.000000 100.000000 100.000000 99.937500 100.031250 100.031250 100.000000 100.031250 99.968750 99.968750 99.968750 100.031250 99.937500 100.031250 100.000000 100.031250 99.937500 99.937500 100.031250 99.937500 99.937500 100.031250 100.000000 100.000000 100.000000 99.937500 99.937500 100.031250 99.937500 100.000000 100.031250 99.937500 99.937500 10,000,000.00 14,995,312.50 20,006,250.00 5,000,000.00 8,007,500.00 10,000,000.00 15,009,375.00 10,003,125.00 50,000,000.00 8,000,000.00 30,000,000.00 4,998,437.50 5,001,562.50 20,006,250.00 5,001,562.50 5,001,562.50 19,987,500.00 10,003,125.00 10,000,000.00 10,000,000.00 10,003,125.00 15,000,000.00 4,996,875.00 15,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 14,990,625.00 10,003,125.00 15,004,687.50 15,000,000.00 10,003,125.00 14,995,312.50 9,996,875.00 9,996,875.00 15,004,687.50 24,984,375.00 10,003,125.00 10,000,000.00 10,003,125.00 9,993,750.00 9,993,750.00 10,003,125.00 9,993,750.00 4,996,875.00 10,003,125.00 15,000,000.00 10,000,000.00 15,000,000.00 9,993,750.00 9,993,750.00 15,004,687.50 14,990,625.00 9,000,000.00 8,002,500.00 9,993,750.00 9,993,750.00 500.00 -4,687.50 6,250.00 0.00 7,500.00 0.00 9,375.00 3,125.00 0.00 0.00 0.00 -1,392.50 1,562.50 6,250.00 3,617.95 1,562.50 -9,900.00 3,125.00 500.00 500.00 3,125.00 0.00 -2,975.00 0.00 0.00 0.00 0.00 0.00 -9,375.00 3,125.00 4,687.50 0.00 3,125.00 -4,687.50 -3,125.00 2,575.00 4,687.50 -5,050.00 3,125.00 0.00 3,125.00 -2,609.34 -6,250.00 3,125.00 -3,150.00 -2,925.00 136.40 -1,381.80 0.00 -1,350.00 -4,250.00 -6,250.00 -6,862.50 -8,625.00 0.00 -1,020.00 -5,450.00 -5,950.00 .814 .812 .815 .930 .753 .873 .873 .873 .881 .817 .873 .849 .892 .900 1.900 .892 .871 1.041 1.384 1.384 .931 1.384 .910 1.384 1.384 1.384 .931 .931 1.404 1.013 1.013 1.370 1.013 1.419 .959 1.345 1.408 1.025 1.516 1.461 1.516 1.025 .947 1.466 1.025 1.025 1.466 1.409 1.486 1.409 1.025 1.025 1.467 1.025 1.486 1.467 .949 .990 .819 .816 .819 .937 .759 .879 .879 .879 .888 .822 .879 .855 .899 .907 1.915 .899 .877 1.049 1.389 1.389 .937 1.389 .915 1.389 1.389 1.389 .937 .937 1.408 1.022 1.022 1.375 1.022 1.425 .964 1.351 1.414 1.033 1.523 1.468 1.523 1.033 .953 1.474 1.033 1.033 1.474 1.414 1.493 1.414 1.033 1.033 1.474 1.033 1.493 1.474 .953 .995
313374VY3 313376GT6 31337SQX8 313376BE4 313376KL8 313376ML6 313376MAO 313375FJ1 313375FJ1 313376MK8 313376MP7 313376036 313376ML6 313376MP7 313376ML6 313376MP7 FHLB 13Mo FHLB l.SYr FHLB 9Mo FHLB 9Mo FHLB l.SYr FHLB 1 YrNc6MoB FHLB 13MoNc9MoE FHLB 8Mo FHLB 8Mo FHLB 1 YrNc3MoB FHLB 1Yr FHLB l.SYr FHLB 1 YrNc6MoB FHLB 1Yr FHLB 1YrNc6MoB FHLB 1Yr 01/29/2013 05/30/2013 09/26/2012 09/10/2012 06/21/2013 12/28/2012 01/08/2013 08/24/2012 08/24/2012 01/08/2013 01/03/2013 05/16/2013 12/28/2012 01/03/2013 12/28/2012 01/03/2013 .375 .350 .240 .140 .400 .250 .250 .220 .220 .300 .210 .300 .250 .210 .250 .210 .452 .203 .330 .153 .143 .361 .250 .250 .147 .147 .300 .210 .290 .250 .204 .250 .204 .. 397 10,355,000.00 5,000,000.00 18,000,000.00 7,000,000.00 10,000,000.00 10,000,000.00 15,000,000.00 10,000,000.00 15,000,000.00 25,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 2,2lo~6?'J!·~~·DO 10,375,399.35 5,001,450.00 100.093750 100.000000 18,012,582.00 100.000000 6,999,839.00 99.937500 10,005,900.00 100.062500 10,000,000.00 99.968750 15,000,000.00 99.968750 10,005,140.00 100.000000 15,007,710.00 100.000000 25,000,000.00 99.968750 10,000,000.00 99.937500 10,001,400.00 99.937500 10,000,000.00 99.968750 5,000,330.00 99.937500 10,000,000.00 99.968750 5,000,330.00 99.937500 >:C'7:t;Zl2,~S,~~~tiiJI';!lOO.lD9763 . 10,364,707.81 5,000,000.00 18,000,000.00 6,995,625.00 10,006,250.00 9,996,875.00 14,995,312.50 10,000,000.00 15,000,000.00 24,992,187.50 9,993,750.00 9,993,750.00 9,996,875.00 4,996,875.00 9,996,875.00 4,996,875.00 :a,zis;o9&;498.44 -10,691.54 -1,450.00 -12,582.00 -4,214.00 350.00 -3,125.00 -4,687.50 -5,140.00 -7,710.00 -7,812.50 -6,250.00 -7,650.00 -3,125.00 -3,455.00 -3,125.00 -3,455.00 511,97(1.34 1.074 1.409 .735 .691 1.467 .990 1.016 .646 .646 1.016 1.003 1.371 .990 1.003 .990 1.003 .9.24 1.082 1.414 .740 .696 1.474 .995 1.025 .649 .649 1.025 1.011 1.375 .995 1.011 .995 1.011 .933 FFCB DISC NOTES 313312UR9 313312WG1 FFCB BONDS 31331GNQ8 31331GYP8 31331GYP8 31331GYP8 31331JQUO 31331JY56 31331J6A6 31331J6A6 31331J7A5 31331J7A5 31331J6A6 31331KET3 31331KGN4 31331KHV5 31331KKT6 31331KEV8 31331KNH9 31331KPC8 31331KQU7 31331KPD6 31331KML1 31331KMM9 31331KMM9 31331KUW8 31331KWN6 31331KZJ2 31331KB82 31331KZK9 31331KK74 31331KK74 FFCB DISC NOTE FFCB DISC NOTE FFCB FFCB 3Yr FFCB 3Yr FFCB 3Yr FFCB 3Yr FFCB 2Yr FFCB 3Yr FFCB 3Yr FFCB l.SYr FFCB l.SYr FFCB 3Yr FFCB 2.5Yr FFCB 3Yr FFCB 5Yr FFCB 1Yr FFCB 1Yr FFCB 1Yr FFCB 2.2Yr FFCB l.SYr FFCB 2.5Yr FFCB 1Yr FFCB l.SYr FFCB l.SYr FFCB 2.25YrNc3MoA FFCB 18MoNc3MoA FFCB 2Yr 03/23/2012 05/01/2012 .270 .240 .271 .241 25,000,000.00 7,000,000.00 24,934,000.00 6,983,013.33 100.000000 100.000000 25,000,000.00 7,000,000.00 66,000.00 16,986.67 .227 .333 .227 .334 ·: :£•"! ;;; • · . i~C!3 .264 32,o~o,ooo;~y. :U,917,013.33 ..... 1oo.oooooo '"'·).]~ooo,ooo.oo 82,986.67 .2so .2so 04/24/2012 06/18/2012 06/18/2012 06/18/2012 06/03/2013 11/02/2012 12/23/2013 12/23/2013 07/10/2012 07/10/2012 12/23/2013 09/23/2013 04/07/2014 04/20/2016 05/16/2012 06/22/2012 06/13/2012 08/20/2012 01/07/2013 11/20/2013 06/01/2012 12/03/2012 12/03/2012 11/18/2013 02/25/2013 09/23/2013 2.250 2.125 2.125 2.125 1.600 .400 1.300 1.300 .500 .500 1.300 .980 1.400 .355 .210 .290 .240 .250 .400 .625 .210 .350 .350 .500 .350 .350 1.762 2.210 2.210 1.374 .752 .540 1.300 1.300 .500 .500 1.184 1.029 1.400 .366 .224 .244 .240 .250 .400 .700 .213 .376 .340 .522 .383 .400 5,000,000.00 5,000,000.00 3,000,000.00 8,500,000.00 10,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 9,205,000.00 5,000,000.00 10,000,000.00 10,000,000.00 10,000,000.00 25,000,000.00 5,000,000.00 20,000,000.00 20,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,000,000.00 5,000,000.00 5,000,000.00 10,000,000.00 5,066,900.00 4,988,000.00 2,992,800.00 8,637,785.00 10,211,890.00 9,972,900.00 5,000,000.00 5,000,000.00 10,000,000.00 9,205,000.00 5,015,550.00 9,988,000.00 10,000,000.00 9,995,000.00 24,996,600.00 5,002,450.00 20,000,000.00 20,000,000.00 5,000,000.00 4,991,100.00 4,999,850.00 9,996,600.00 5,000,650.00 4,997,500.00 4,997,500.00 9,990,100.00 100.656250 100.875000 100.875000 100.875000 101.781250 100.125000 101.718750 101.718750 100.156250 100.156250 101.718750 101.031250 102.000000 100.125000 100.031250 100.062500 100.031250 100.000000 100.125000 100.406250 100.031250 100.093750 100.093750 100.000000 100.000000 99.937500 5,032,812.50 5,043,750.00 3,026,250.00 8,574,375.00 10,178,125.00 10,012,500.00 5,085,937.50 5,085,937.50 10,015,625.00 9,219,382.81 5,085,937.50 10,103,125.00 10,200,000.00 10,012,500.00 25,007,812.50 5,003,125.00 20,006,250.00 20,000,000.00 5,006,250.00 5,020,312.50 5,001,562.50 10,009,375.00 5,004,687.50 5,000,000.00 5,000,000.00 9,993,750.00 -34,087.50 55,750.00 33,450.00 -63,410.00 -33,765.00 39,600.00 85,937.50 85,937.50 15,625.00 14,382.81 70,387.50 115,125.00 200,000.00 17,500.00 11,212.50 675.00 6,250.00 0.00 6,250.00 29,212.50 1,712.50 12,775.00 4,037.50 2,500.00 2,500.00 3,650.00 .312 .460 .460 .462 1.405 .833 1.946 1.946 .522 .522 1.947 1.704 2.217 4.275 .375 .476 .451 .635 1.012 1.870 .418 .920 .920 1.868 1.145 1.719 .315 .466 .466 .466 1.425 .841 1.981 1.981 .526 .526 1.981 1.732 2.268 4.307 .375 .477 .452 .638 1.022 1.890 .419 .926 .926 1.885 1.156 1.732 FFCB 2Yr 10/03/2013 .350 .400 5,000,000.00 4,995,050.00 99.937500 4,996,875.00 1,825.00 1.747 1.759 FFCB 1.25Yr 11/23/2012 .240 .254 5,000,000.00 4,999,200.00 99.968750 4,998,437.50 ·762.50 .893 .899 FFCB 3YrNc1YrA 11/07/2014 .850 .850 5,000,000.00 5,000,000.00 100.250000 5,012,500.00 12,500.00 2.807 2.855 FFCB 3YrNc1YrA 11/07/2014 .850 .850 5,000,000.00 5,000,000.00 100.250000 5,012,500.00 12,500.00 2.807 2.855 . :::;:0:\\\f .\ :.;;,\?r::t:. · ·· ·· .•. :;lj,I!J. · --~~· :145,7~~.oo~~-&~Y\: . 246,04(1,42s.oo. . . <":<ilL, ;tl!l!-~2~~ .. z;::~!>·749,695.3:l . 709,270.31 >;, ua2 u9s p"f'96
FMAC DISC NOTES 3!315KWW6 3!315KXU9 31315KYT1 3!315KZFO 3!315KYW4 FARMER MAC 3!315PVUO 3!315PVUO 3!315PVUO 3!315PSH3 MUNIBONDS 20775BND4 041042RKO 93974CWW6 649791EB2 80!320AV4 677521LG9 677521LH7 880541QG5 646039TR8 COMM PAPER 36959HC62 36959HD46 36959HEFO NCDS 78009NAQ9 FMAC DISC NOTE FMAC DISC NOTE FMAC DISC NOTE FMAC DISC NOTE FMAC DISC NOTE FARMER MAC GTD FARMER MAC GTD FARMER MAC GTD FARMER MAC GTD CT HFA ARKANSAS ST WASHINGTON ST STATE OF NEW YORK COUNTY OF SANTA BARBARA OHIO STATE GO OHIO STATE GO STATE OF TENNESSEE NEW JERSEY ST TRAN GE CAPITAL CORP GE CAPITAL CORP GE CAPITAL CORP ROYAL BANK OF CANADA 05/15/2012 06/06/2012 06/29/2012 07/11/2012 07/02/2012 05/10/2013 05/10/2013 05/10/2013 04/25/2013 OS/1S/2012 07/01/2012 02/01/2012 09/01/2012 06/29/2012 05/01/2013 05/01/2014 08/01/2012 06/21/2012 03/06/2012 04/04/2012 05/15/2012 02/27/2012 .210 .210 .220 .210 .210 .212 .760 .760 .760 .400 .616':'. 2.180 1.250 .630 .650 .270 .740 1.190 .500 2.000 .922 .330 .350 .380 .35'1 .180 78009NAV8 ROYAL BANK OF CANADA 03/05/2012 .180 78009NBD7 ROYAL BANK OF CANADA 04/16/2012 .220 ~.r#n~~iotat .sgs 1. The market value and yield of short-term money market securities are based on purchase price. 2. Average life is the number of years until principal is returned at maturity, weighted by market value. 3. Local Agency Obligations have variable rate coupons, spread to Pool. 4. Modified Duration. The percentage price change of a securiy for a given change in yield. The higher the modified duration of a security, the higher the risk. .210 .210 .220 .210 .210 .212 .760 .760 .750 .400 .613 2.180 1.240 .630 .650 .270 .740 1.190 .301 .250 .465 .331 .351 .381 .358 25,000,000.00 20,000,000.00 20,000,000.00 8,000,000.00 50,000,000.00 123,000,000.00 5,000,000.00 5,000,000.00 12,500,000.00 15,000,000.00 ~?!.~~.o;ooo.oo 850,000.00 1,440,000.00 9,960,000.00 23,040,000.00 25,000,000.00 5,140,000.00 2,000,000.00 6,265,000.00 25,000,000.00 98,695,000.00. 35,000,000.00 30,000,000.00 50,000,000.00 i1S,OOO,OOO,OO .180 50,000,000.00 .180 50,000,000.00 .220 50,000,000.00 w,~s~~~, """' ' s:44o;5s6,oo!l:oo' , 24,946,770.83 19,957,416.67 19,955,511.11 7,982,966.67 49,908,416.67 t2z~sl~ost:gs 5,000,000.00 5,000,000.00 12,502,375.00 15,000,000.00 37 ,50~,375,00 c' ·~'· A • ,':<._', ' , " 850,000.00 1,440,273.60 9,960,000.00 23,040,000.00 25,000,000.00 5,140,000.00 2,000,000.00 6,274,522.80 25,225,750.00 98,930,$46.4!' 34,941,929.17 29,946,625.00 49,894,444.44 H<~.rsz,99s.&l 50,000,000.00 100.000000 100.000000 100.000000 99.968750 99.968750 99.985264 100.312500 100.312500 100.312500 100.000000 100.019000 100.000000 100.000000 100.000000 100.000000 100.000000 100.152000 100.903000 100.:Z3$66i 99.927778 99.864222 99.778750 99.846403 25,000,000.00 20,000,000.00 20,000,000.00 7,997,500.00 49,984,375.00 122,98l,S7.s;oo 5,015,625.00 5,015,625.00 12,539,062.50 15,014,062.50 37,584,315.00 850,000.00 1,440,273.60 9,960,000.00 23,040,000.00 25,000,000.00 5,140,000.00 2,000,000.00 6,274,522.80 25,225,750.00 98,930,546.40 34,974,722.22 29,959,266.67 49,889,375.00 114,8~3;?63.89 53,229.17 42,583.33 44,488.89 14,533.33 75,958.33 230,793.05 15,625.00 15,625.00 36,687.50 14,062.50 82,000.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 o.oo 32,793.05 12,641.67 ·5,069.44 40,36s;:zs .372 .432 .494 .527 .503 .465 1.348 1.348 1.348 1.313 1.334 .368 .497 .087 .663 .500 1.324 2.293 .582 .470 .572 .180 .259 .371 .284 100.000000 50,000,000.00 0.00 .159 .373 .433 .496 .529 .504 .466 1.359 1.359 1.359 1.318 1.343 .373 .501 .088 .671 .496 1.334 2.334 .586 .474 .575 .181 .260 .373 ,285 .159 50,000,000.00 100.000000 50,000,000.00 0.00 .178 .178 50,000,000.00 100.000000 50,000,000.00 0.00 .292 .293 1SQ,QQO,OQO;Q0 1QQ,~";"";i,i' 1SD,OQQ,000;2,1!tA·;,,d"kw•-"~mw"~'-~~;~-•~=-• .210 , ~~ :·/~,~44,67~;~i,~~7~,,«,,»~' '"'~,, '~""iOO~ii8i~:~;f;t~?J;~:44B;iGS:73;t.S_g.}~~(~~;;432;1Si02 1.:1.82 1.303 P2'Q7
F U ~nzp..&Q.ttce: The Treasurer's Pooled Invest-ment Fund was in FULL COMPLIANCE with the Treasurer's Statement of Investment Policy. The County's Investment Policy is more restrictive than the California Government Code. This policy is reviewed annually by the County's Investment Oversight Committee and approved by the County Board of Supervisors. Investment Category MUNICIPAL BONDS (MUNI) U.S. TREASURIES LOCAL AGENCY OBLIGATIONS (LAO) FEDERAL AGENCIES COMMERCIALPAPER (CP) CERTIFICATE & TIME DEPOSITS (NCO & TCD) REPURCHASE AGREEMENTS (REPO) REVERSE REPOS MEOIUMTERM NOTES (MTNO) CAL TRUST SHORT TERM FUND MONEY MARKET MUTUAL FUNDS (MMF) LOCAL AGENCY INVESTMENT FUND (LAIF) CASH/DEPOSIT ACCOUNT 5 YEARS NO LIMIT SYEARS NO LIMIT 5 YEARS NO LIMIT 270DAYS 40% 5 YEARS 30% 1 YEARS NO LIMIT 92 DAYS 20% S YEARS 30% NA NA 60 DAYS 111 200/o NA NA NA NA NA NA AAA A1/P1 NA NA NA A NA AAA/Aaal2l 1 Mutual Funds maturity may be interpreted as weighted average maturity not exceeding 60 days. 21 5 YEARS 3 YEARS 5 YEARS 270DAYS 1 YEAR 45 DAYS 60 DAYS 3 YEARS DAILY LIQUIDITY DAILY LIQUIDITY NA 100% NA 2.5% INVESTMENT GRADE 100% NA 40% A1/P1/F1 25% Combined A1/P1/F1 40% max, 25%in term repo over 7days 10% 20% 1.0% 20% Max $50 million NA A1/P1/F1 NA AA/Aa2/AA NA AAA by 20f3 RATINGS AGC. NA NA ·iFl'f,f%<, ... ·",i;t; Rhrersra~; ,,,,, \;·.·~t· .. Q; '.' . :.;a~Ortn;I;!~P ~ix&\ .. 1.81% 5.79% 0.01% 85.40% 2.11% 2.76% 0.00% 0.00% 0.00% 0.99% 0.11% 0.92% 0.10% Page 18
County of Riverside Treasurer-Tax Collector Capital Markets 4080 Lemon Street, 4th Floor Riverside, CA 92502-2205 www. treasurer-tax.co.riverside.ca. us (951) 955-3967 THIS COMPLETES THE REPORT REQUIREMENTS OF CALIFORNIA GOVERNMENT CODE 53646 22
AGENDA ITEM 78
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
TO: Riverside County Transportation Commission
FROM: Matt Wallace, Procurement Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Single Signature Authority Report
STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Single Signature Authority
report for the second quarter ended December 31 , 2011 .
BACKGROUND INFORMATION:
The attached report details all professional services and administrative contracts
that have been executed for the second quarter ended December 31, 2011, under
the Single Signature Authority granted to the Executive Director by the
Commission. The unused capacity at December 31, 2011, is $406,815.
Attachment: Single Signature Authority Report as of December 31, 2011
Agenda Item 78
23
CONSULTANT AMOUNT AVAILABLE July 1, 2011 Transportation Management & Design, Inc. Joanna Capelle GCAP Services, Inc. MGB Construction M K Consutting Beacon Economics AMOUNT USED AMOUNT USED AMOUNT REMAINING through December 31, 2011 Matt Wallace Prepared by SINGLE SIGNATURE AUTHORITY AS OF DECEMBER 31, 2011 DESCRIPTION OF SERVICES Strategic Analysis Services-Support SR-91 CIP Project Grant Funding Consulting Services Disadvantaged Business Enterprise Consulting Services Asphalt Repair Services Ride share Incentive Program Analysis & Development Services Sales Tax Reveune Projections Theresia Trevino Reviewed by Note: Shaded area represents new contracts listed in the second quarter. ORIGINAL CONTRACT AMOUNT $500,000.00 35,000.00 6,500.00 20,000.00 3,685.00 10,000.0Q 18,000.00 93,185.00 93,185.00 $406,815.00 24 PAID AMOUNT 25,147.70 1,430.00 0.00 3,685.00 1,316.60 0.00 REMAINING CONTRACT AMOUNT 9,852.30 5,070.00 20,000.00 0.00 8,683.40 18,000.00 J \2012102 Februaryi?B.MW Comm S1ngleS1gn Att1 xlsx
AGENDA ITEM 7C
...._____ ___ -----
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
TO: Riverside County Transportation Commission
FROM: Matt Wallace, Procurement Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Federal Highway Administration Disadvantaged Business Enterprise
Program and Proposed Overall Project Goal
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Adopt Resolution No. 12-005, "Resolution of the Riverside County
Transportation Commission Adopting Its Disadvantaged Business Enterprise
Program and Overall Disadvantaged Business Enterprise Project Goal (49 CFR
Part 26) As It Applies to Funding Received Directly from the Federal Highway
Administration";
2) Adopt the Commission's Disadvantaged Business Enterprise (DBE) Program
for the State Route 91 Corridor Improvement Project (SR-91 CIP), a Federal
Highway Administration (FHWA) assisted contract. The DBE program
includes a proposed 2.9% overall DBE project goal for the SR-91 CIP. The
goal is wholly race-neutral and will be finalized following the required 45-day
public comment period, which concludes on or about March 20, 2012;
3) Authorize the Executive Director to execute the Commission's DBE Program
and Policy Statement on behalf of the Commission for submission to FHWA;
4) Post the proposed overall DBE project goal to allow for public participation as
required by 49 CFR, Part 26, make the DBE program document available for
review to the public for 30 days, and receive comments for 45 days; and
5) Submit the DBE program document and overall DBE project goal
methodology to the FHWA for approval.
BACKGROUND INFORMATION:
The Commission has previously implemented DBE requirements, including DBE
participation goals, on its contracts as a sub-recipient of Caltrans FHWA funding
using Caltrans stipulated DBE requirements. However, the Commission has not
previously awarded contracts funded with direct financial assistance from the
FHWA. In implementing the SR-91 CIP design-build contract, the Commission is
anticipating direct assistance in the form of Transportation Infrastructure Finance
and Innovation Act (TIFIA) funding from the FHWA.
Agenda Item 7C
25
In accordance with Title 49 Code of Federal Regulations (CFR) Part 26, the
Commission must implement a DBE program and overall DBE project goal as a
condition of receiving direct financial assistance from the FHWA.
The DBE Program and Policy Statement has been developed by the Commission to
address this requirement and will be implemented by the Commission's DBE Liaison
Officer, who is the Commission's Procurement Manager. The DBE program will be
implemented in a wholly race-neutral fashion to conform with directives issued by
the FHWA related to the Ninth Circuit U.S. Court of Appeals (Ninth Circuit) decision
in the Western States Paving Co. vs. Washington State Department of
Transportation case. These directives prohibit any FHWA recipient in the
jurisdiction of the Ninth Circuit, including the Commission, from using race-
conscious contract DBE goals on FHWA-assisted contracts if the recipient does not
possess evidence of discrimination in its transportation contracting program. The
Commission does not possess such evidence of discrimination and for this reason
will be implementing a wholly race-neutral DBE program.
Under a wholly race-neutral DBE program, contracts let by the Commission will not
include a DBE participation goal as a condition of award. Rather, in accordance
with 49 CFR Part 26, the Commission will implement extensive small business
outreach efforts and require the design-builder of the SR-91 CIP to develop a DBE
performance plan. The plan will define the design-builder's planned efforts to
provide small businesses, including DBEs, subcontracting opportunities on the
SR-91 CIP.
The proposed race-neutral overall DBE project goal is 2.9%. The goal is based on
the relative availability of DBE firms in the Commission's geographic market area
(defined as Riverside County, San Bernardino County, and Orange County). The
established market area represents where the Commission anticipates a majority of
contractors and subcontractors will be located. Data to determine this relative
availability was extracted from the California Unified Certification Program DBE
Directory of Certified Firms and the 2009 U.S. Census Bureau County Business
Pattern Database. The analysis attached to this staff report details the
methodology utilized in developing the overall project goal for the SR-91 CIP.
As required, the proposed overall project goal will undergo a public notice and
comment period. The public notice will be published in a local newspaper(s) to
inform the public of the proposed goal and the rationale for setting the goal. The
goal setting document will be available for inspection at the Commission for
30 days following the date of the notice, with a 45-day comment period.
Additionally, the Commission will contact several market area small business
professional organizations, including minority and women-focused organizations, to
present the overall DBE program goal and garner feedback. If there is compelling
Agenda Item 7C
26
evidence received during the public comment period that supports a modification to
the proposed overall DBE program goal, the Commission will make the appropriate
adjustment before submitting its final overall DBE program goal to the FHWA by
March 20, 2012.
Attachments:
1) RCTC' s DBE Program
2) Resolution No. 1 2-005
Agenda Item 7C
27
ATTACHMENT 1
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
State Route 91 Corridor Improvement Project
I. POLICY STATEMENT AND PROGRAM OBJECTIVES
Policy Statement (§26.3; §26.7; §26.21; §26.23)
The Riverside County Transportation Commission (RCTC) has established and adopted
a Disadvantaged Business Enterprise (DBE) Program for the SR-91 Corridor
Improvement Project (PROJECT) in accordance with regulations of the U.S.
Department of Transportation (DOT), Title 49, Code of Federal Regulations (CFR), Part
26 "Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs." RCTC anticipates receiving Federal
financial assistance from the DOT, Federal Highway Administration (FHWA), and as a
condition of receiving this assistance, RCTC will sign an assurance that it will comply
with 49 CFR Part 26.
It is the policy of RCTC to ensure that DBEs as defined in 49 CFR Part 26, have an
equal opportunity to receive and participate in RCTC'S DOT -assisted contracts,
specifically for the PROJECT.
It is also our policy to:
o Create a level playing field by which DBEs can compete for and perform in
RCTC's DOT-assisted contracting opportunities including the PROJECT;
o Ensure non-discrimination in the award and administration of all RCTC
contracts and subcontracts including the PROJECT;
o Ensure that RCTC's DBE Program is narrowly tailored in accordance with
applicable law and current legal standards, including the Ninth Circuit Ruling
in Western States Paving vs. Washington State Department of
Transportation;
o Ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs on the PROJECT;
o Help remove procurement and contracting barriers, which impede DBE and
Small Business participation in RCTC DOT -assisted contracts including the
PROJECT;
o Monitor and enforce Design-Builder (the prime contractor on the PROJECT)
compliance in meeting established goal objectives and program
requirements;
o Assist in the development of DBEs and Small Businesses to increase their
ability to compete successfully in the market place outside the DBE Program;
and
o Ensure RCTC's Design-Builder on the PROJECT and their subcontractors
take all necessary and reasonable steps to comply with these policy
objectives.
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As evidence of RCTC's commitment to pursue these policy objectives, the Executive
Director has designated Mr. Matthew Wallace, Procurement Manager, as the DBE
Liaison Officer (DBELO). In this capacity Mr. Wallace is responsible for implementing
all aspects of the DBE Program. The DBELO has direct access to the Executive
Director for DBE-related matters. Implementation of the DBE Program is accorded the
same priority as compliance with all other legal obligations incurred by RCTC in its
financial assistance agreements with DOT.
RCTC will disseminate this policy statement to all of the departments of our
organization. Additionally, RCTC will distribute this policy to DBE and non-DBE
business communities that perform or are interested in performing work on the
PROJECT.
Through such efforts, RCTC will ensure DOT-assisted contracting and procurement
related processes promote equity in access, consideration and opportunity for DBEs
and other small businesses in response to requirements set forth under 49 CFR Part
26; "Participation of Disadvantaged Business Enterprises in U.S. Department of
Transportation Programs," effective March 4, 1999, and subsequently issued DOT
Directives and Final Rules.
Ms. Anne Mayer, Executive Director
[Signature of Executive Director] Date
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
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_____________ ___.
II. APPLICABILITY (§26.3; §26.21)
RCTC, as a direct recipient of federal funds from the DOT, and as a condition of
receiving Federal financial assistance, is required to submit for approval to the DOT
Operating Administration from which it receives the majority of its funding, a DBE
Program developed in accordance with federal regulations published under 49 CFR
Part 26 and subsequent guidance. This DBE Program sets forth the policies and
procedures to be implemented by RCTC to ensure that DBEs have an equitable
opportunity to participate in RCTC's DOT-assisted contracting program, specifically the
PROJECT.
In direct response to these regulatory requirements, RCTC hereby establishes a DBE
Program, which will:
1. Comply with federal regulations and financial assistance agreements;
2. Meet legal standards for narrow-tailoring requirements;
3. Ensure non-discrimination in the award of DOT-assisted contracts; and
4. Reaffirm RCTC's commitment to fairness and the principles of equal opportunity.
In conformance with 49 CFR Part 26, RCTC will continue to carry out its DBE Program
until all DOT funds for the PROJECT have been expended.
RCTC additionally complies with the California Department of Transportation's
(Caltrans') DBE Program on projects on which it is a subrecipient of federal funds
through Caltrans.
RCTC will advise all applicable DOT Operating Administrations of any significant
updates and/or changes to this DBE Program.
Ill. DEFINITION OF TERMS (§26.5)
Race-Conscious Measure or Program: A program or portion thereof that focuses
specifically on assisting only DBEs, including minority and women-owned DBEs, by the
development and inclusion of participation goals or Good Faith Effort activities.
Race-Neutral Measure or Program: A program or portion thereof that assists all Small
Businesses, including DBEs, regardless of ownership status, in successfully
participating in RCTC's procurement program. For the purposes of the DBE Program,
"race-neutral" includes gender-neutrality.
Any other term used in this DBE Program shall have the meaning set forth in 49 CFR
Part 26==, attached to this document under Exhibit A, specifically at §26.5.
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IV. RESPONSIBILITIES FOR DBE PROGRAM IMPLEMENTATION
A. DBE Liaison Officer (§26.25)
RCTC has designated the following individual as the DBE Liaison Officer (DBELO):
Mr. Matt Wallace
Procurement Manager/DBELO
Riverside County Transportation Commission (RCTC)
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Telephone: (951) 787-7908; Fax: (951) 787-7906
Email: mwallace@rctc.org ,
In this capacity, the DBELO is responsible for implementing all aspects of the DBE
Program and ensuring that RCTC complies with all provisions of 49 CFR Part 26
and subsequent DOT -issued directives and final rules. The DBELO has direct,
independent access to RCTC's Executive Director concerning DBE Program matters
(Refer to Exhibit B, "DBE Program Organizational Chart"). The DBELO has
sufficient support personnel who devote a portion of their time to implement the
Program. The DBELO is responsible for developing, implementing and monitoring
the DBE Program, in coordination with other appropriate officials.
The DBELO's and/or designee's duties include, but are not limited to, the following
activities:
1. Gathers and reports statistical data and other information as required by the
DBE Program, including preparation of semi-annual DBE reports and overall
PROJECT DBE goal and related analysis for submission to the applicable
DOT Operating Administration and management ad hoc reporting.
2. Reviews applicable contracts, purchase requisitions, advertisements,
boilerplate language specifications and other related documentation specific
to implementing applicable DBE requirements on the PROJECT.
3. Consults with all affected departments in developing the overall PROJECT
DBE goal
4. Ensures that bid notices and requests for proposals are made available to
DBEs in a timely manner.
5. Reviews DOT-assisted contracts and procurements, including the PROJECT,
for purposes of applying, when appropriate, contract-specific DBE goals
and/or applicable race-neutral methods.
6. Analyzes RCTC's progress towards meeting overall PROJECT DBE goal
commitments by monitoring individual contract DBE attainments.
7. Participates in reviewing DBE solicitation and contract requirements with
potential bidders and/or offerors.
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8. Advises the Executive Director and/or the governing body on DBE matters
and achievements.
9. Determines contractor compliance with race-conscious DBE Good Faith Effort
provisions, as applicable in a race-conscious environment, and conducts
contract DBE responsiveness reviews, including assessing DBE participation
eligibility towards RCTC's overall PROJECT DBE goal.
Additionally, the DBELO and/or designee is charged with implementing the race-
neutral measures defined in Section VI of this DBE Program document.
B. Reconsideration Official (§26.53 (d))
Should RCTC implement a race-conscious component to this DBE Program, the
DBE Program will be amended to provide the procedures for the administrative
reconsideration process and to specify RCTC's Reconsideration Official.
V. ADMINISTRATIVE REQUIREMENTS
A. Non-discrimination Requirements (§26.7)
RCTC will never exclude any person from participation in, deny any person the
benefits of, or otherwise discriminate against anyone in connection with the award
and performance of any contract covered by 49 CFR Part 26 on the basis of race,
color, sex, or national origin.
In administering its DBE Program, RCTC will not, directly or through contractual or
other arrangements, use criteria or methods of administration that have the effect of
defeating or substantially impairing accomplishment of the objectives of the DBE
Program with respect to individuals of a particular race, color, sex, or national origin.
B. Federal Financial Assistance Agreement Assurance (§26.13 (a))
RCTC will sign the following assurance as a condition of financial assistance
agreements with the DOT, and which is hereby made applicable to all of RCTC's
DOT -assisted contracts:
"RCTC shall not discriminate on the basis of race, color, national origin, or
sex in the award and performance of any U.S. DOT-assisted contract or in
the administration of its DBE Program or the requirements of Title 49, CFR,
Part 26. RCTC shall take all necessary and reasonable steps under Title 49,
CFR, Part 26 to ensure nondiscrimination in the award and administration of
U.S. DOT-assisted contracts. RCTC's DBE Program, as required by Title 49,
CFR, Part 26 and as approved by U.S. DOT, is incorporated by reference in
this agreement. Implementation of this Program is a legal obligation and
failure to carry out its terms shall be treated as a violation of this agreement.
Upon notification to RCTC of its failure to carry out its approved program, the
Department may impose sanctions as provided under Title 49, CFR, Part 26
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and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31
U.S.C. 3801 et seq.)."
C. DBE Financial Institutions (§26.27)
At this time, RCTC has not identified DBE-Owned financial institutions. However,
RCTC encourages Design-Builder and other contractors to use the services of
minority and women-owned financial institutions identified from listings posted at the
Website of the Financial Management Service, US Department of the Treasury,
Minority Bank Deposit Program. The Internet address of this website is:
http://www.fms.treas.gov/mbdp.
D. DBE Directory (§26.31)
RCTC will refer the Design-Builder and other contractors to the California Unified
Certification Program (CUCP) Database of Certified DBE Firms (DBE Directory) to
assist in identifying certified DBEs. The DBE Directory is published at
www.CaliforniaUCP.com.
E. Overconcentration (§26.33)
RCTC has not identified any types of work that have a burdensome
overconcentration of DBE participation. However, should RCTC determine that
overconcentration exists in a work classification, RCTC will obtain the approval of
the concerned DOT Operating Administration of its determination and the measures
devised to address it. Once these measures are approved, they will become part of
RCTC's DBE Program.
F. Business Development Programs (§26.35)
RCTC has not established a business development program. The DBELO will
continually evaluate the need and assess whether RCTC should establish a
Business Development Program and/or a Mentor Protege Program. If RCTC
establishes either program, the program will be guided by the applicable Appendix of
49 CFR Part 26 and approved by the concerned DOT Operating Administration
before being implemented.
G. Fostering Small Business Participation (§26.39)
RCTC will structure contracting requirements to facilitate competition by Small
Businesses on the PROJECT by requiring the PROJECT Design-Builder to specify
elements of work that Small Businesses can perform and to provide subcontract
opportunities for those elements to DBEs and other Small Businesses. The
elements of this requirement will be specified in the DBE Program Performance Plan
component of the PROJECT solicitation documents.
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VI. DETERMINING, MEETING AND COUNTING DBE PARTICIPATION
TOWARDS THE OVERALL PROJECT DBE GOAL (§26.45; §26.51;
§26.55)
A. Methodology for Setting Overall DBE Goals (§26.45; §26.49)
In accordance with §26.45(e)(3), and with FHWA approval, RCTC will establish an
overall goal for the PROJECT, which is a multi-year design-build project. The
overall PROJECT goal will represent the amount of DOT-assisted funds RCTC
anticipates expending on DBE firms over the length of the PROJECT, and will be
presented as a percentage of the total DOT-assistance received.
The overall PROJECT goal will be developed in accordance with the 2-step process
specified in §26.45 (c) & (d). The first step is to determine the goal "base figure"
based on the relative availability of DBEs in RCTC's market area. The second step
is to adjust the goal "base figure" from Step 1 so that it reflects as accurately as
possible the DBE participation RCTC would expect in the absence of discrimination
based on past participation, a disparity study and/or information about barriers to
DBE participation. Annual projections on DBE participation during each fiscal year
of the PROJECT will be developed as specified by §26.45 (e)(3)(iii).
Additionally, RCTC will provide for public participation in establishing an overall
PROJECT goal. RCTC will publish a notice of the proposed overall PROJECT goal,
informing the public that the proposed goal and its rationale are available for
inspection during normal business hours at RCTC for 30 days following the date of
the notice, and informing the public that RCTC and DOT will accept comments on
the goals for 45 days from the date of the notice. Notice will be issued in general
circulation media and available minority-focused media& trade publications.
Additionally, RCTC will issue the notice to minority, women's and general contractor
groups, community organizations, and other officials or organizations to solicit
information concerning the availability of disadvantaged and non-disadvantaged
businesses, the effects of discrimination on opportunities for DBEs, and RCTC's
efforts to establish a level playing field for the participation of DBEs.
RCTC will submit the overall PROJECT goal to DOT in accordance with §26.45
(f)(2). The overall goal submission to DOT will include a summary of information
and comments received during this public comment/participation process and any
RCTC responses. A complete description of the methodology applied to calculate
the overall PROJECT goal can be found in Exhibit C to this program.
RCTC will begin using the overall PROJECT goal with the issuance of the
PROJECT solicitation documents, likely to occur in the first quarter of 2012.
B. Transit Vehicle Manufacturers (TVM) Certifications (§26.49)
RCTC does not purchase TVM's, therefore this section is not applicable.
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C. Race-Neutral Measures (§26.51)
RCTC has considered the full complement of race-neutral measures identified in 49
CFR part 26. Based on the PROJECT circumstances, RCTC plans to implement the
following race-neutral activities aimed at increasing DBE and other Small Business
participation in the PROJECT.
1. RCTC will structure and present the PROJECT solicitation and schedules in
ways that facilitate DBE and other Small Business participation with
prospective Design-Builders. RCTC will also facilitate Small Business
conferences for the PROJECT, which includes a networking component to
promote teaming opportunities between prospective Design-Builders and the
DBE and Small Business contracting community.
2. RCTC will require the Design-Builder to provide assistance to Small Business
including DBEs in overcoming limitations such as inability to obtain bonding or
financing. RCTC will additionally refer the DBE and Small Business
contracting community to the SBA Bonding Assistance Program.
3. RCTC will carry out a communications effort to inform DBEs and other Small
Businesses of opportunities that may be available with the Design-Builder on
the PROJECT.
4. As a supportive service to help develop and improve immediate and long-
term business management, record keeping, and financial and accounting
capability for DBEs and other Small Businesses, RCTC will actively promote
Small Business conferences, programs and supportive services currently
offered by peer agencies which have mature DBE and Small Business
Programs and are seeking increased DBE and Small Business participation in
their programs.
5. RCTC will advise the Design-Builder and other contractors seeking to
participate on the PROJECT to the online directory of certified DBEs, found at
the CUCP website: www.CaliforniaUCP.com
D. Use of Set-Asides or Quotas (§26.43)
RCTC shall not permit the use of quotas for DBEs on DOT -assisted contracts,
including the PROJECT, in accordance with 49 CFR Part 26. Further, RCTC shall
not set aside contracts for DBEs on DOT-assisted contracts, including the
PROJECT, subject to the regulatory provisions, except in limited and extreme
circumstances where no other method could be reasonably expected to redress
egregious instances of discrimination.
E. Counting DBE Participation and Commercially Useful Function (§26.55)
RCTC will count DBE participation toward the overall Project goal as provided in 49
CFR §26.55. RCTC will not count the participation of a DBE subcontract toward the
Design-Builder's final compliance with its DBE obligations on the PROJECT until the
amount being counted has actually been paid to the DBE.
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VII. REQUIRED CONTRACT PROVISIONS AND ENFORCEMENT
A. Contractor's Assurance Clause Regarding Non-Discrimination (§26.13)
RCTC will ensure that the following clause is placed in all PROJECT DOT-assisted
contracts and subcontracts:
"The contractor or subcontractor shall not discriminate on the basis of race,
color, national origin, or sex in the performance of this contract. The
contractor shall carry out applicable requirements of Title 49, CFR, Part 26 in
the award and administration of RCTC's U.S. DOT-assisted contracts.
Failure by the contractor to carry out these requirements is a material breach
of this contract, which may result in the termination of this contract or such
other remedy as RCTC deems appropriate."
B. Prompt Payment Provisions (§26.29)
The DBE Program found at 49 CFR Part 26 requires that any delay or postponement
of payment over 30 days may take place only for good cause and with RCTC's prior
written approval. Any violation of this provision shall subject the violating Design-
Builder or subcontractor to the penalties, sanctions and other remedies specified in
Section 7108.5 of the Business and Professions Code. These requirements shall
not be construed to limit or impair any contractual, administrative, or judicial
remedies otherwise available to the Design-Builder or subcontractor in the event of a
dispute involving late payment or nonpayment by the Design-Builder, deficient
subcontract performance, or noncompliance by a subcontractor.
Any delay or postponement of payment from the above-referenced timeframes may
occur only for good cause following written approval from RCTC. Failure to comply
with this provision without prior approval from RCTC will constitute noncompliance,
which may result in the application of appropriate administrative sanctions, including,
but not limited to, withholding of payment to the Design-Builder of two percent (2%)
of the invoice amount due per month, for every month that full payment is not made
in accordance with these prompt payment requirements.
1. Prompt Progress Payments to Subcontractors
RCTC will include a contract clause that will require the Design-Builder to pay
each subcontractor participating on the PROJECT for satisfactory performance of
its contract no later than 10 days from the receipt of each payment the Design-
Builder receives from RCTC. Any delay or postponement of payment from the
above referenced time frame may occur only for good cause following written
approval of RCTC. This clause applies to both DBE and non-DBE
subcontractors.
2. Payment of Retention Withheld from Subcontractor
RCTC elects to hold retainage from the PROJECT Design-Builder. RCTC will
provide prompt and regular incremental acceptances of portions of the work on
the PROJECT and pay retainage to the Design-Builder based on these
acceptances.
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RCTC will include a contract clause that will require the PROJECT Design-
Builder to make prompt and full payment of any retainage owed to
subcontractors for satisfactory completion of the subcontractors work within 30
days after subcontractor's work has been satisfactorily completed.
VIII. DBE CERTIFICATION STANDARDS (§26.61-§26.73; §26.81;
§26.83a)
As a non-certifying member of the CUCP, RCTC will accept DBE certifications from
certifying member agencies of the CUCP. The CUCP DBE Certification application is
presented in Exhibit D.
For more information about the certification process or to apply for certification, firms
should visit the CUCP website at www.californiaucp.com.
IX. CERTIFICATION PROCEDURES (SUBPART E)
A. Unified Certification Program (UCP) (§ 26.81) & Procedures for Certification
Decisions (§ 26.83)
RCTC is a member of the CUCP administered by the state of California Certifying
Members. The CUCP will meet all of the requirements of Subpart E of 49 CFR Part
26.
X. RECORD KEEPING AND MONITORING (§26.11, §26.37)
RCTC will develop an appropriate record keeping system as a mechanism for
monitoring and tracking DBE commitments/attainments throughout the performance of
the PROJECT. The tracking system will include procedures adopted by RCTC to
comply with DOT regulations and maintenance of support documentation including
subcontractor commitments, contract documents for all subcontractors, and monthly
Subcontractors Paid Reports (see Exhibit F) from the PROJECT Design-Builder.
RCTC will also develop and maintain a hard-copy PROJECT management file which
will include documentation of all DBE Program related compliance monitoring and
enforcement activities.
A. Bidders List (§ 26.11)
RCTC will develop and maintain a Bidders List consisting of all firms bidding on the
PROJECT, along with the subcontractors that are members of the firms team at time
of bid, and any new subcontractors that get added to their team over the duration of
the PROJECT. The following information will be included in the bidders list:
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1. Firm Name;
2. Address;
3. Years in Business;
4. Status as a DBE or non-DBE;
5. Type of Work; and
6. Annual Range of Gross Receipts.
B. Reporting to DOT(§ 26.11)
RCTC will submit to the applicable DOT Operating Administration the "Uniform
Report of DBE Awards or Commitments and Payments" (Refer to Exhibit E) semi-
annually on June 1 and December 1 of each year, as required. The June 1 report
will include DBE activity from October 1 through March 31. The December 1 report
will include DBE activity from April 1 through September 30. This report presents a
summary of the PROJECT Design Builder contract and all subcontracts awarded or
committed over the life of the PROJECT. This report will additionally provide
attainments achieved over the life of PROJECT.
Upon request, RCTC will compile and submit ad-hoc DBE contract award and
progress reports for the PROJECT. Furthermore, RCTC will continue to provide
reports relative to RCTC's DBE Program, as directed.
C. Information. Confidentiality, Cooperation (§ 26.1 09)
RCTC will safeguard from disclosure to third parties information that may reasonably
be regarded as confidential business information, consistent with Federal Freedom
of Information and Privacy Acts (5 U.S.C. 552 and 552a), California Public Records
Act (Government Code §6250) state, and local law. Notwithstanding the preceding
provision, RCTC will not release any information that may reasonably be construed
as confidential business information to any third party (other than DOT) without the
written consent of the firm that submitted the information. This includes applications
for DBE certification and supporting information.
D. Monitoring and Enforcement Mechanisms (§ 26.37)
RCTC will implement appropriate mechanisms to ensure compliance with 49 CFR
Part 26 requirements by all program participants (e.g., applying legal and contract
remedies available under Federal, state and local law). RCTC's DBE Program will
include a monitoring and enforcement mechanism to ensure that work committed to
DBEs is actually performed by DBEs. Such mechanisms will provide a running tally
of actual DBE attainments (e.g., payments actually made to DBE firms), including a
means of comparing these attainments to commitments.
RCTC may perform interim audits of contract payments to DBEs. The audit will
review payments to DBE subcontractors to ensure that the actual amount paid to
DBE subcontractors equals or exceeds the dollar amounts committed.
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RCTC will bring to the attention of the DOT any false, fraudulent, or dishonest
conduct in connection with the program, so that DOT can take the steps provided in
26.107 (e.g., referral to the Department of Justice for criminal prosecution, referral to
the DOT Inspector General, action under suspension and debarment or Program
Fraud and Civil Penalties rules). Additionally, RCTC will consider similar action
under its own legal authorities, including responsibility determinations in future
contracts.
XI. DESIGN-BUILD PROJECT PROVISIONS
RCTC recognizes that special modifications of the DBE Program are necessary to
advance the participation of DBEs and other small businesses in connection with the
PROJECT for the following reasons:
(1) Pursuant to Public Contract Code Section 20209.10, design-build transit projects
(including the PROJECT) are not subject to the Subletting and Subcontracting
Fair Practices Act that requires prospective Design-Builders to name their major
subcontractors in their bids.
(2) RCTC is required to structure contracting requirements to facilitate competition
by small businesses on the PROJECT (as presented in Section V (G) of this
document)
(3) RCTC's DBE Program is entirely race-neutral and as a result is not able to utilize
a contract specific goal and related Good Faith Efforts requirements for the
PROJECT.
For this reason, RCTC has adopted the following procedures applicable to the
PROJECT to help meet the objectives of the DBE Program and the overall PROJECT
goal.
A. Design Build Prime DBE Program Performance Plan
Each prospective Design-Builder for the PROJECT will be required to submit at time
of bid a management approach describing how the prospective Design-Builder plans
to implement the DBE Program requirements of the PROJECT. This management
plan will be scored on a pass/fail basis as a matter of responsiveness to the
PROJECT DBE Program requirements. The management approach will generally
identify the prospective Design-Builder's approach to help RCTC meet the
requirements of the RCTC DBE Program, including the overall PROJECT goal.
Elements of the management approach will include the following:
1. Overview of prospective Design-Builder's understanding of the DBE Program
including race-neutral requirements.
2. Presentation of Key Personnel assigned to the position of DBE Program
Compliance Administrator, based on qualification criteria to be developed by
RCTC, who will be responsible for meeting the PROJECT DBE requirements.
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,--------------------------------------------------------
3. Prospective Design-Builder's experience and track record working with DBE and
other Small Businesses.
4. High level presentation on prospective Design-Builder's methodology for
achieving DBE and other Small Business participation, including list of work
items that prospective Design-Builder anticipates to be awarded to Small
Businesses including DBEs.
5. A general presentation on the barriers DBEs and other Small Businesses will
face on the PROJECT and the prospective Design-Builder's approach to mitigate
these barriers.
6. Summary of monthly reports that will be submitted to RCTC regarding (1)
commitments and payments to DBE and other small businesses on the
PROJECT, (2) prompt payment requirements of the PROJECT, (3) payment of
retainage requirements of the PROJECT, (4) race-neutral efforts undertaken by
the proposer to meet DBE Program objectives and goals.
The criteria to determine responsiveness to this requirement will be included in the
PROJECT solicitation documents.
Prior to award of the PROJECT, the successful Design-Builder shall be required to
provide RCTC with a detailed DBE Program Performance Plan meeting the
requirements specified in the PROJECT contract documents. This DBE Program
Performance Plan will be subject to RCTC review and approval. The successful
Design-Builder shall be required to revise the submitted DBE Program Performance
Plan to incorporate/address RCTC's comments, if applicable. The Instructions to
Proposers document and the Request for Proposal provisions for the PROJECT will
detail the specific requirements to be included in the management approach
submittal due at time of bid as well as the DBE Program Performance Plan due by
the successful Design-Builder upon contract award.
B. Compliance Monitoring and Enforcement
RCTC will monitor the PROJECT Design-Builder's compliance with the DBE
Program requirements through monthly reports submitted by the Design-Builder.
This report is due no later the 10th of each month until PROJECT completion.
These reports will be in a format to be developed by the Design-Builder and
approved by RCTC, which will address all the reporting requirements of the DBE
Program.
At a minimum, the reports submitted by the prime will address the following DBE
Program elements:
1. Written narrative of progress in meeting the DBE Program requirements.
2. Information on Design-Builder's payments to subcontractors. The report format
will be developed by the Design-Builder, but at a minimum will include the
reporting elements contained in the Monthly Subcontractors Paid Report
presented in Exhibit F.
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 13 of 15
40
3. Information on Design-Builder's compliance with prompt payment and retainage
payment requirements.
4. Information on new subcontractors added to Design-Builder's team
5. Information on contract changes for all subcontractors on Design-Builder's team.
6. Schedule of subcontract procurements, including specification of procurements
targeted towards DBE and Small Businesses.
7. Description of DBE Program related race-neutral activities to be performed by
Design-Builder during next reporting period.
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 14 of 15
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List of Exhibits
Exhibit A: DBE Program Regulations
Exhibit B: DBE Program Organizational Chart
Exhibit C: RCTC Goal Setting Methodology
Exhibit 0: CUCP DBE Certification Application
Exhibit E: Uniform Report of DBE Awards or Commitments and Payments
Exhibit F: Monthly Subcontractors Paid Report
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 15 of 15
42
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit A
DBE Program Regulations
43
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
TITLE 49: TRANSPORTATION
PART 26-PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
Section Contents
Subpart A-General ................................................................................................................................................... 3
§ 26.1
§ 26.3
§ 26.5
§ 26.7
§ 26.9
What are the objectives of this part? ......................................................................................... 3
To whom does this part apply? .................................................................................................. 3
What do the terms used in this part mean? ............................................................................... 3
What discriminatory actions are forbidden? .............................................................................. 6
How does the Department issue guidance and interpretations under this part? ...................... 6
§ 26.11 What records do recipients keep and report? ........................................................................... 6
§ 26.13 What assurances must recipients and contractors make? ........................................................ 7
§ 26.15 How can recipients apply for exemptions or waivers? .............................................................. 7
Subpart B-Administrative Requirements for DBE Programs for Federally-Assisted Contracting ................ 8
§ 26.21 Who must have a DBE program? .............................................................................................. 8
§ 26.23 What is the requirement for a policy statement? ....................................................................... 8
§ 26.25 What is the requirement for a liaison officer? ............................................................................ 8
§ 26.27 What efforts must recipients make concerning DBE financial institutions? .............................. 9
§ 26.29 What prompt payment mechanisms must recipients have? ...................................................... 9
§ 26.31 What information must you include in your DBE directory? ...................................................... 9
§ 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of
work? ....................................................................................................................................... 10
§ 26.35 What role do business development and mentor-protege programs have in the DBE
program? ................................................................................................................................. 10
§ 26.37 What are a recipient's responsibilities for monitoring the performance of other program
participants? ............................................................................................................................ 10
§ 26.39 Fostering small business participation .................................................................................... 11
Subpart C-Goals, Good Faith Efforts, and Counting ......................................................................................... ll
§ 26.41 What is the role of the statutory 10 percent goal in this program? .......................................... 11
§ 26.43 Can recipients use set-asides or quotas as part of this program? .......................................... 11
§ 26.45 How do recipients set overall goals? ....................................................................................... 11
§ 26.47 Can recipients be penalized for failing to meet overall goals? ................................................ 14
§ 26.49 How are overall goals established for transit vehicle manufacturers? .................................... 15
§ 26.51 What means do recipients use to meet overall goals? ............................................................ 15
§ 26.53 What are the good faith efforts procedures recipients follow in situations where there are
contract goals? ........................................................................................................................ 17
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.55 How is DBE participation counted toward goals? .................................................................... 19
Subpart D-Certification Standards ....................................................................................................................... 21
§ 26.61 How are burdens of proof allocated in the certification process? ............................................ 21
§ 26.63 What rules govern group membership determinations? ......................................................... 22
§ 26.65 What rules govern business size determinations? .................................................................. 22
§ 26.67 What rules determine social and economic disadvantage? .................................................... 22
§ 26.69 "'!hat rules govern determinations of ownership? ................................................................... 23
§ 26.71 What rules govern determinations concerning control? .......................................................... 25
§ 26.73 What are other rules affecting certification? ............................................................................ 28
Subpart E-Certification Procedures ..................................................................................................................... 30
§ 26.81 What are the requirements for Unified Certification Programs? .............................................. 30
§ 26.83 What procedures do recipients follow in making certification decisions? ............................... 31
§ 26.85 Interstate certification .............................................................................................................. 32
§ 26.86 What rules govern recipients' denials of initial requests for certification? ............................... 34
§ 26.87 What procedures does a recipient use to remove a DBE's eligibility? .................................... 35
§ 26.89 What is the process for certification appeals to the Department of Transportation? .............. 37
§ 26.91 What actions do recipients take following DOT certification appeal decisions? ..................... 38
Subpart F-Compliance and Enforcement ........................................................................................................... 39
§ 26.101 What compliance procedures apply to recipients? ................................................................. 39
§ 26.103 What enforcement actions apply in FHWA and FTA programs? ............................................ 39
§ 26.105 What enforcement actions apply in FAA programs? ............................................................... 39
§ 26.107 What enforcement actions apply to firms participating in the DBE program? ........................ .40
§ 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or
retaliation? ............................................................................................................................... 40
Appendix A to Part 26-Guidance Concerning Good Faith Efforts ........................................................ 41
Appendix B to Part 26-Uniform Report of DBE Awards or Commitments and Payments Form .......... 43
Appendix C to Part 26-DBE Business Development Program Guidelines ........................................... 46
Appendix D to Part 26-Mentor-Protege Program Guidelines ............................................................... 47
Appendix E to Part 26-lndividual Determinations of Social and Economic Disadvantage ................... 48
Appendix F to Part 26-Uniform Certification Application Form ............................................................. 50
Authority: 23 U.S.C. 304 and 324; 42 U.S.C. 2000d, et seq. ; 49 U.S.C. 47107, 47113, 47123; Sec.
1101(b), Pub. L. 105-178, 112 Stat. 107, 113.
Source: 64 FR 5126, Feb. 2, 1999, unless otherwise noted.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Subpart A-General
§ 26.1 What are the objectives of this part?
This part seeks to achieve several objectives:
(a) To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's
highway, transit, and airport financial assistance programs;
(b) To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
(c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law;
(d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs;
(e) To help remove barriers to the participation of DBEs in DOT-assisted contracts;
(f) To assist the development of firms that can compete successfully in the marketplace outside the DBE program;
and
(g) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing
opportunities for DBEs.
§ 26.3 To whom does this part apply?
(a) If you are a recipient of any of the following types of funds, this part applies to you:
(1) Federal-aid highway funds authorized under Titles I (other than Part B) and V of the lntermodal Surface
Transportation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, or Titles I, Ill, and V of the
Transportation Equity Act for the 21st Century (TEA-21 ), Pub. L. 105-178, 112 Stat. 107.
(2) Federal transit funds authorized by Titles I, Ill, V and VI of ISTEA, Pub. L. 102-240 or by Federal transit
laws in Title 49, U.S. Code, or Titles I, Ill, and Vofthe TEA-21, Pub. L. 105-178.
(3) Airport funds authorized by 49 U.S.C. 47101, et seq.
(b) [Reserved]
(c) If you are letting a contract, and that contract is to be performed entirely outside the United States, its territories
and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract.
(d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the
contract.
§26.5 What do the terms used in this part mean?
Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part
121.
(1) Except as otherwise provided in 13 CFR Part 121, concerns are affiliates of each other when, either directly
or indirectly:
(i) One concern controls or has the power to control the other; or
(ii) A third party or parties controls or has the power to control both; or
(iii) An identity of interest between or among parties exists such that affiliation may be found.
(2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common
ownership, common management, and contractual relationships. Affiliates must be considered together in
determining whether a concern meets small business size criteria and the statutory cap on the participation
of firms in the DBE program.
Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian
(including Tsimshian Indians not enrolled in the Metlaktla Indian Community), Eskimo, or Aleut blood, or a
combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen
whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska
Native.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group
Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement
Act, as amended (43 U.S.C. 1601, et seq.).
Compliance means that a recipient has correctly implemented the requirements of this part.
Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not
limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is
considered to be a contract.
Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway,
transit, or airport program.
Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal
Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration
(FAA).
Disadvantaged business enterprise or DBE means a for-profit small business concern-
(1) That is at least 51 percent owned by one or more individuals who are both socially and economically
disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more
such individuals; and
(2) Whose management and daily business operations are controlled by one or more of the socially and
economically disadvantaged individuals who own it.
DOT-assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in
part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the
purchase of land.
DOT/SBA Memorandum of Understanding or MOU, refers to the agreement signed on November 23, 1999, between
the Department of Transportation (DOT) and the Small Business Administration (SBA) streamlining certification
procedures for participation in SBA's 8(a) Business Development (8(a) BD) and Small Disadvantaged Business
(SOB) programs, and DOT's Disadvantaged Business Enterprise (DBE) program for small and disadvantaged
businesses.
Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope,
intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.
Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of
business.
Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandmother,
grandfather, grandson, granddaughter, mother-in-law, or father-in-law.
Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any
ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians
because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or
community resides. See definition of "tribally-owned concern" in this section.
Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit
business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which
the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital
contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership
interest.
Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises
the State of Hawaii.
Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of
Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and
whose business activities will principally benefit such Native Hawaiians.
Noncompliance means that a recipient has not correctly implemented the requirements of this part.
Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA),
Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The "Administrator" of an
operating administration includes his or her designees.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An
individual's personal net worth does not include: The individual's ownership interest in an applicant or participating
DBE firm; or the individual's equity in his or her primary place of residence. An individual's personal net worth
includes only his or her own share of assets held jointly or as community property with the individual's spouse.
Primary industry classification means the North American Industrial Classification System (NAICS) designation which
best describes the primary business of a firm. The NAICS is described in the North American Industry Classification
Manual-United States, 1997which is available from the National Technical Information Service, 5285 Port Royal
Road, Springfield, VA, 22161; by calling 1 (800) 553-6847; or via the Internet at:
http://www. ntis. govlproductlnaics. htm.
Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to
another recipient.
Principal place of business means the business location where the individuals who manage the firm's day-to-day
operations spend most working hours and where top management's business records are kept. If the offices from
which management is directed and where business records are kept are in different locations, the recipient will
determine the principal place of business for DBE program purposes.
Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to
which this part applies.
Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women-
owned DBEs.
Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of
this part, race-neutral includes gender-neutrality.
Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through
another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance.
Secretary means the Secretary of Transportation or his/her designee.
Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE
firms.
Small Business Administration or SBA means the United States Small Business Administration.
SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a)
BD or SOB programs.
Small business concern means, with respect to firms seeking to participate as DBEs in DOT -assisted contracts, a
small business concern as defined pursuant to section 3 of the Small Business Act and Small Business
Administration regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual
gross receipts specified in §26.65(b).
Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted
permanent resident) of the United States and who is-
(1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-
by-case basis.
(2) Any individual in the following groups, members of which are rebuttably presumed to be socially and
economically disadvantaged:
(i) "Black Americans," which includes persons having origins in any of the Black racial groups of Africa;
(ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or
South American, or other Spanish or Portuguese culture or origin, regardless of race;
(iii) "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native
Hawaiians;
(iv) "Asian-Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan,
Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the
Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau),
the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kiribati, Juvalu, Nauru,
Federated States of Micronesia, or Hong Kong;
(v) "Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan,
Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka;
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(vi) Women;
(vii) Any additional groups whose members are designated as socially and economically disadvantaged by
the SBA, at such time as the SBA designation becomes effective.
Tribally-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section.
You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., 'You must
do XYZ' means that recipients must do XYZ).
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096,
Jan. 28, 2011]
§26.7 What discriminatory actions are forbidden?
(a) You must never exclude any person from participation in, deny any person the benefits of, or otherwise
discriminate against anyone in connection with the award and performance of any contract covered by this part
on the basis of race, color, sex, or national origin.
(b) In administering your DBE program, you must not, directly or through contractual or other arrangements, use
criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment
of the objectives of the program with respect to individuals of a particular race, color, sex, or national origin.
§ 26.9 How does the Department issue guidance and interpretations under this part?
(a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent
with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of
Transportation or any of its operating administrations.
(b) The Secretary of Transportation, Office of the Secretary of Transportation, FHWA, FTA, and FAA may issue
written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid,
and express the official positions and views of the Department of Transportation or any of its operating
administrations, only if they are issued over the signature of the Secretary of Transportation or if they contain the
following statement:
The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent
with the language and intent of 49 CFR Part 26.
[72 FR 15617, Apr. 2, 2007]
§ 26.11 What records do recipients keep and report?
(a) You must transmit the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to
this part, at the intervals stated on the form.
(b) You must continue to provide data about your DBE program to the Department as directed by DOT operating
administrations.
(c) You must create and maintain a bidders list.
(1) The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non-
DBE contractors and subcontractors who seek to work on your Federally-assisted contracts for use in
helping you set your overall goals.
(2) You must obtain the following information about DBE and non-DBE contractors and subcontractors who
seek to work on your Federally-assisted contracts:
(i) Firm name;
(ii) Firm address;
(iii) Firm's status as a DBE or non-DBE;
(iv) Age of the firm; and
(v) The annual gross receipts of the firm. You may obtain this information by asking each firm to indicate
into what gross receipts bracket they fit (e.g., less than $500,000; $500,000-$1 million; $1-2 million;
Page 6 of 50
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
$2-5 million; etc.) rather than requesting an exact figure from the firm.
(3) You may acquire the information for your bidders list in a variety of ways. For example, you can collect the
data from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically
sound estimate of the universe of DBE and non-DBE contractors and subcontractors who seek to work on
your Federally-assisted contracts. You may combine different data collection approaches (e.g., collect name
and address information from all bidders, while conducting a survey with respect to age and gross receipts
information).
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 76 FR 5096, Jan. 28, 2011)
§ 26.13 What assurances must recipients and contractors make?
(a) Each financial assistance agreement you sign with a DOT operating administration (or a primary recipient) must
include the following assurance:
The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award
and performance of any DOT-assisted contract or in the administration of its DBE program or the
requirements of 49 CFR Part 26. The recipient shall take all necessary and reasonable steps under
49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted
contracts. The recipient's DBE program, as required by 49 CFR part 26 and as approved by DOT,
is incorporated by reference in this agreement. Implementation of this program is a legal obligation
and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification
to the recipient of its failure to carry out its approved program, the Department may impose
sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for
enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31
U.S.C. 3801 et seq. ).
(b) Each contract you sign with a contractor (and each subcontract the prime contractor signs with a subcontractor)
must include the following assurance:
The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color,
national origin, or sex in the performance of this contract. The contractor shall carry out applicable
requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure
by the contractor to carry out these requirements is a material breach of this contract, which may
result in the termination of this contract or such other remedy as the recipient deems appropriate.
§ 26.15 How can recipients apply for exemptions or waivers?
(a) You can apply for an exemption from any provision of this part. To apply, you must request the exemption in
writing from the Office of the Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the
request only if it documents special or exceptional circumstances, not likely to be generally applicable, and not
contemplated in connection with the rulemaking that established this part, that make your compliance with a
specific provision of this part impractical. You must agree to take any steps that the Department specifies to
comply with the intent of the provision from which an exemption is granted. The Secretary will issue a written
response to all exemption requests.
(b) You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any
provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program
waivers are for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part
by means that may differ from one or more of the requirements of Subpart B or C of this part. To receive a
program waiver, you must follow these procedures:
(1) You must apply through the concerned operating administration. The application must include a specific
program proposal and address how you will meet the criteria of paragraph (b )(2) of this section. Before
submitting your application, you must have had public participation in developing your proposal, including
consultation with the DBE community and at least one public hearing. Your application must include a
summary of the public participation process and the information gathered through it.
(2) Your application must show that-
(i) There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent
with the objectives of this part using different or innovative means other than those that are provided in
subpart B or C of this part;
(ii) Conditions in your jurisdiction are appropriate for implementing the proposal;
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(iii) Your proposal would prevent discrimination against any individual or group in access to contracting
opportunities or other benefits of the program; and
(iv) Your proposal is consistent with applicable law and program requirements of the concerned operating
administration's financial assistance program.
(3) The Secretary has the authority to approve your application. If the Secretary grants your application, you
may administer your DBE program as provided in your proposal, subject to the following conditions:
(i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is
counted as provided in §26.49;
(ii) Your level of DBE participation continues to be consistent with the objectives of this part;
(iii) There is a reasonable limitation on the duration of your modified program; and
(iv) Any other conditions the Secretary makes on the grant of the waiver.
(4) The Secretary may end a program waiver at any time and require you to comply with this part's provisions.
The Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2)
and (3) of this section continue to be met. Any such extension shall be for no longer than period originally
set for the duration of the program.
Subpart B-Administrative Requirements for DBE Programs for Federally-Assisted Contracting
§ 26.21 Who must have a DBE program?
(a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the
requirements of this part:
(1) All FHWA recipients receiving funds authorized by a statute to which this part applies;
(2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts
(excluding transit vehicle purchases) exceeding $250,000 in FTA funds in a Federal fiscal year;
(3) FAA recipients receiving grants for airport planning or development who will award prime contracts
exceeding $250,000 in FAA funds in a Federal fiscal year.
(b) ( 1) You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating
administration (OA). Once the OA has approved your program, the approval counts for all of your DOT-assisted
programs (except that goals are reviewed by the particular operating administration that provides funding for your
DOT-assisted contracts).
(2) You do not have to submit regular updates of your DBE programs, as long as you remain in compliance.
However, you must submit significant changes in the program for approval.
(c) You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you
are in compliance with it and this part. You must continue to carry out your program until all funds from DOT
financial assistance have been expended.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000]
§ 26.23 What is the requirement for a policy statement?
You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states
its objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your
organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts.
§ 26.25 What is the requirement for a liaison officer?
You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer
concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE
program. You must also have adequate staff to administer the program in compliance with this part.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.27 What efforts must recipients make concerning DBE financial institutions?
You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by
socially and economically disadvantaged individuals in your community and make reasonable efforts to use these
institutions. You must also encourage prime contractors to use such institutions.
§ 26.29 What prompt payment mechanisms must recipients have?
(a) You must establish, as part of your DBE program, a contract clause to require prime contractors to pay
subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment
you make to the prime contractor.
(b) You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30
days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to
comply with this requirement:
(1) You may decline to hold retainage from prime contractors and prohibit prime contractors from holding
retainage from subcontractors.
(2) You may decline to hold retainage from prime contractors and require a contract clause obligating prime
contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor
within 30 days after the subcontractor's work is satisfactorily completed.
(3) You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances
of portions of the prime contract, pay retain age to prime contractors based on these acceptances, and
require a contract clause obligating the prime contractor to pay all retainage owed to the subcontractor for
satisfactory completion of the accepted work within 30 days after your payment to the prime contractor.
(c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished and documented as required by the recipient. When a recipient has made
an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that
acceptance is deemed to be satisfactorily completed.
(d) Your DBE program must provide appropriate means to enforce the requirements of this section. These means
may include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program
may also provide that any delay or postponement of payment among the parties may take place only for good
cause, with your prior written approval.
(e) You may also establish, as part of your DBE program, any of the following additional mechanisms to ensure
prompt payment:
(1) A contract clause that requires prime contractors to include in their subcontracts language providing that
prime contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to
resolve payment disputes. You may specify the nature of such mechanisms.
(2) A contract clause providing that the prime contractor will not be reimbursed for work performed by
subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for
the work they have performed.
(3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and
other contractors are fully and promptly paid.
[68 FR 35553, June 16, 2003]
§ 26.31 What information must you include in your DBE directory?
(a) In the directory required under §26.81 (g) of this Part, you must list all firms eligible to participate as DBEs in your
program. In the listing for each firm, you must include its address, phone number, and the types of work the firm
has been certified to perform as a DBE.
(b) You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code
available to describe each type of work. You must make any changes to your current directory entries necessary
to meet the requirement of this paragraph (a) by August 26, 2011.
[76 FR 5096, Jan. 28, 2011]
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types
of work?
(a) If you determine that DBE firms are so over concentrated in a certain type of work as to unduly burden the
opportunity of non-DBE firms to participate in this type of work, you must devise appropriate measures to
address this overconcentration.
(b) These measures may include the use of incentives, technical assistance, business development programs,
mentor-protege programs, and other appropriate measures designed to assist DBEs in performing work outside
of the specific field in which you have determined that non-DBEs are unduly burdened. You may also consider
varying your use of contract goals, to the extent consistent with §26.51, to unsure that non-DBEs are not unfairly
prevented from competing for subcontracts.
(c) You must obtain the approval of the concerned DOT operating administration for your determination of
overconcentration and the measures you devise to address it. Once approved, the measures become part of
your DBE program.
§ 26.35 What role do business development and mentor-protege programs have in the DBE
program?
(a) You may or, if an operating administration directs you to, you must establish a DBE business development
program (BOP) to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE
program. You may require a DBE firm, as a condition of receiving assistance through the BOP, to agree to
terminate its participation in the DBE program after a certain time has passed or certain objectives have been
reached. See Appendix C of this part for guidance on administering BOP programs.
(b) As part of a BOP or separately, you may establish a "mentor-protege" program, in which another DBE or non-
DBE firm is the principal source of business development assistance to a DBE firm.
(1) Only firms you have certified as DBEs before they are proposed for participation in a mentor-protege
program are eligible to participate in the mentor-protege program.
(2) During the course of the mentor-protege relationship, you must:
(i) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than one half of
its goal on any contract let by the recipient; and
(ii) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than every other
contract performed by the protege firm.
(3) For purposes of making determinations of business size under this part, you must not treat protege firms as
affiliates of mentor firms, when both firms are participating under an approved mentor-protege program. See
Appendix D of this part for guidance concerning the operation of mentor-protege programs.
(c) Your BOPs and mentor-protege programs must be approved by the concerned operating administration before
you implement them. Once approved, they become part of your DBE program.
§ 26.37 What are a recipient's responsibilities for monitoring the performance of other program
participants?
(a) You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program
participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must
set forth these mechanisms in your DBE program.
(b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed
to DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually
performed by the DBEs to which the work was committed. This mechanism must include a written certification
that you have reviewed contracting records and monitored work sites in your state for this purpose. The
monitoring to which this paragraph refers may be conducted in conjunction with monitoring of contract
performance for other purposes (e.g., close-out reviews for a contract).
(c) This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to
DBE firms), including a means of comparing these attainments to commitments. In your reports of DBE
participation to the Department, you must display both commitments and attainments.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 76 FR 5097,
Jan. 28, 2011]
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.39 Fostering small business participation.
(a) Your DBE program must include an element to structure contracting requirements to facilitate competition by
small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including
unnecessary and unjustified bundling of contract requirements that may preclude small business participation in
procurements as prime contractors or subcontractors.
(b) This element must be submitted to the appropriate DOT operating administration for approval as a part of your
DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the
following strategies:
(1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1
million).
(2) In multi-year design-build contracts or other large contracts (e.g., for "megaprojects") requiring bidders on
the prime contract to specify elements of the contract or specific subcontracts that are of a size that small
businesses, including DBEs, can reasonably perform.
(3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting
opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-
performing all the work involved.
(4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia
or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime
contracts.
(5) To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a
reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably
perform.
(c) You must actively implement your program elements to foster small business participation. Doing so is a
requirement of good faith implementation of your DBE program.
[76 FR 5097, Jan. 28, 2011]
Subpart C-Goals, Good Faith Efforts. and Counting
§ 26.41 What is the role of the statutory 10 percent goal in this program?
(a) The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not
less than 10 percent of the authorized funds are to be expended with DBEs.
(b) This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in
evaluating and monitoring DBEs' opportunities to participate in DOT-assisted contracts.
(c) The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 10
percent level, or any other particular level, or to take any special administrative steps if their goals are above or
below 1 0 percent.
§ 26.43 Can recipients use set-asides or quotas as part of this program?
(a) You are not permitted to use quotas for DBEs on DOT-assisted contracts subject to this part.
(b) You may not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited
and extreme circumstances, you may use set-asides when no other method could be reasonably expected to
redress egregious instances of discrimination.
§ 26.45 How do recipients set overall goals?
(a) (1) Except as provided in paragraph (a)(2) of this section, you must set an overall goal for DBE participation in
your DOT-assisted contracts.
(2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases)
$250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to
develop overall goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE
program, it must remain in effect and you must seek to fulfill the objectives outlined in §26.1.
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(b) Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DBEs
relative to all businesses ready, willing and able to participate on your DOT-assisted contracts (hereafter, the
"relative availability of DBEs") The goal must reflect your determination of the level of DBE participation you
would expect absent the effects of discrimination. You cannot simply rely on either the 10 percent national goal,
your previous overall goal or past DBE participation rates in your program without reference to the relative
availability of DBEs in your market.
(c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of
DBEs. The following are examples of approaches that you may take toward determining a base figure. These
examples are provided as a starting point for your goal setting process. Any percentage figure derived from one
of these examples should be considered a basis from which you begin when examining all evidence available in
your jurisdiction. These examples are not intended as an exhaustive list. Other methods or combinations of
methods to determine a base figure may be used, subject to approval by the concerned operating administration.
(1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DBEs in
your market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP) data
base, determine the number of all ready, willing and able businesses available in your market that perform
work in the same NAICS codes. (Information about the CBP data base may be obtained from the Census
Bureau at their web site, www.census.gov/epcd/cbp/view/cbpview.html.) Divide the number of DBEs by the
number of all businesses to derive a base figure for the relative availability of DBEs in your market.
(2) Use a bidders list. Determine the number of DBEs that have bid or quoted on your DOT-assisted prime
contracts or subcontracts in the previous year. Determine the number of all businesses that have bid or
quoted on prime or subcontracts in the same time period. Divide the number of DBE bidders and quoters by
the number for all businesses to derive a base figure for the relative availability of DBEs in your market.
(3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity
study.
(4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market
has set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal.
(5) Alternative methods. You may use other methods to determine a base figure for your overall goal. Any
methodology you choose must be based on demonstrable evidence of local market conditions and be
designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your market.
(d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your
jurisdiction to determine what adjustment, if any, is needed to the base figure in order to arrive at your overall
goal.
(1) There are many types of evidence that must be considered when adjusting the base f1gure. These include:
(i) The current capacity of DBEs to perform work in your DOT-assisted contracting program, as measured
by the volume of work DBEs have performed in recent years;
(ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not
already accounted for in your base figure; and
(iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market
and your contracting program.
(2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form,
grow and compete. These include, but are not limited to:
(i) Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to
participate in your program;
(ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the
extent you can relate it to the opportunities for DBEs to perform in your program.
(3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past
discrimination (often called the "but for'' factor) or the effects of an ongoing DBE program, the adjustment
must be based on demonstrable evidence that is logically and directly related to the effect for which the
adjustment is sought.
(e) Once you have determined a percentage figure in accordance with paragraphs (c) and (d) of this section, you
should express your overall goal as follows:
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(1) If you are an FHWA recipient, as a percentage of all Federal-aid highway funds you will expend in FHWA-
assisted contracts in the forthcoming three fiscal years.
(2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be
used for the purchase of transit vehicles) that you will expend in FTA or FAA-assisted contracts in the three
forthcoming fiscal years.
(3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your
overall goal as a percentage of funds for a particular grant or project or group of grants and/or projects. Like
other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence
of the appropriate operating administration.
(i) A project goal is an overall goal, and must meet all the substantive and procedural requirements of this
section pertaining to overall goals.
(ii) A project goal covers the entire length of the project to which it applies.
(iii) The project goal should include a projection of the DBE participation anticipated to be obtained during
each fiscal year covered by the project goal.
(iv) The funds for the project to which the project goal pertains are separated from the base from which your
regular overall goal, applicable to contracts not part of the project covered by a project goal, is
calculated.
(f) (1) (i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating
administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA,
as applicable, and posted on that agency's Web site.
(ii) You may adjust your three-year overall goal during the three-year period to which it applies, in order to
reflect changed circumstances. You must submit such an adjustment to the concerned operating
administration for review and approval.
(iii) The operating administration may direct you to undertake a review of your goal if necessary to ensure
that the goal continues to fit your circumstances appropriately.
(iv) While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the
overall goal and the provisions of Sec. 26.47(c) apply to each year during that three-year period.
(v) You may make, for informational purposes, projections of your expected DBE achievements during
each of the three years covered by your overall goal. However, it is the overall goal itself, and not these
informational projections, to which the provisions of section 26.47(c) of this part apply.
(2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of
this section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA
Administrator, as applicable.
(3) You must include with your overall goal submission a description of the methodology you used to establish
the goal, including your base figure and the evidence with which it was calculated, and the adjustments you
made to the base figure and the evidence you relied on for the adjustments. You should also include a
summary listing of the relevant available evidence in your jurisdiction and, where applicable, an explanation
of why you did not use that evidence to adjust your base figure. You must also include your projection of the
portions of the overall goal you expect to meet through race-neutral and race-conscious measures,
respectively (see 26.51 (c)).
(4) You are not required to obtain prior operating administration concurrence with your overall goal. However, if
the operating administration's review suggests that your overall goal has not been correctly calculated, or
that your method for calculating goals is inadequate, the operating administration may, after consulting with
you, adjust your overall goal or require that you do so. The adjusted overall goal is binding on you.
(5) If you need additional time to collect data or take other steps to develop an approach to setting overall goals,
you may request the approval of the concerned operating administration for an interim goal and/or goal-
setting mechanism. Such a mechanism must:
(i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the
data available to you; and
(ii) Avoid imposing undue burdens on non-DBEs.
(6) Timely submission and operating administration approval of your overall goal is a condition of eligibility for
DOT financial assistance.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(7) If you fail to establish and implement goals as provided in this section, you are not in compliance with this
part. If you establish and implement goals in a way different from that provided in this part, you are not in
compliance with this part. If you fail to comply with this requirement, you are not eligible to receive DOT
financial assistance.
(g) In establishing an overall goal, you must provide for public participation. This public participation must include:
(1) Consultation with minority, women's and general contractor groups, community organizations, and other
officials or organizations which could be expected to have information concerning the availability of
disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs,
and your efforts to establish a level playing field for the participation of DBEs.
(2) A published notice announcing your proposed overall goal, informing the public that the proposed goal and
its rationale are available for inspection during normal business hours at your principal office for 30 days
following the date of the notice, and informing the public that you and the Department will accept comments
on the goals for 45 days from the date of the notice. The notice must include addresses to which comments
may be sent, and you must publish it in general circulation media and available minority-focused media and
trade association publications.
(h) Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 68 FR 35553,
June 16, 2003; 75 FR 5536, Feb. 3, 2010; 76 FR 5097, Jan. 28, 2011]
§ 26.47 Can recipients be penalized for failing to meet overall goals?
(a) You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your
DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith.
(b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good
faith, you are in noncompliance with this part.
(c) If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the
end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in
order to be regarded by the Department as implementing your DBE program in good faith:
(1) Analyze in detail the reasons for the difference between the overall goal and your awards and commitments
in that fiscal year;
(2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to
enable you to meet fully your goal for the new fiscal year;
(3) (i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or
an Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit,
within 90 days of the end of the fiscal year, the analysis and corrective actions developed under paragraphs
(c)(1) and (2) of this section to the appropriate operating administration for approval. If the operating
administration approves the report, you will be regarded as complying with the requirements of this section
for the remainder of the fiscal year.
(ii) As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i) of this section, you must
retain analysis and corrective actions in your records for three years and make it available to FTA or
FAA on request for their review.
(4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis
and corrective actions including, but not limited to, modifications to your overall goal methodology, changes
in your race-conscious/race-neutral split, or the introduction of additional race-neutral or race-conscious
measures.
(5) You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in
§26.1 03 or §26.1 05 of this part and other applicable regulations, for failing to implement your DBE program
in good faith if any of the following things occur:
(i) You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as
required under paragraph (c)(3) of this section;
(ii) FHWA, FTA, or FAA disapproves your analysis or corrective actions; or
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(iii) You do not fully implement the corrective actions to which you have committed or conditions that
FHWA, FTA, or FAA has imposed following review of your analysis and corrective actions.
(d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming
to the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve
DBE awards and commitments that would be necessary to allow you to meet your overall goal at the end of the
fiscal year, FHWA, FTA, or FAA, as applicable, may require you to make further good faith efforts, such as by
modifying your race-conscious/race-neutral split or introducing additional race-neutral or race-conscious
measures for the remainder of the fiscal year.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011]
§ 26.49 How are overall goals established for transit vehicle manufacturers?
(a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a
condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has
complied with the requirements of this section. You do not include FTA assistance used in transit vehicle
procurements in the base amount from which your overall goal is calculated.
(b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall
percentage goal. In setting your overall goal, you should be guided, to the extent applicable, by the principles
underlying §26.45. The base from which you calculate this goal is the amount of FTA financial assistance
included in transit vehicle contracts you will perfonm during the fiscal year in question. You must exclude from
this base funds attributable to work performed outside the United States and its territories, possessions, and
commonwealths. The requirements and procedures of this part with respect to submission and approval of
overall goals apply to you as they do to recipients.
(c) As a transit vehicle manufacturer, you may make the certification required by this section if you have submitted
the goal this section requires and FTA has approved it or not disapproved it.
(d) As a recipient, you may, with FTA approval, establish project-specific goals for DBE participation in the
procurement of transit vehicles in lieu of complying through the procedures of this section.
(e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section
with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the
manufacturers of this equipment must meet the same requirements (including goal approval by FHWA or FAA)
as transit vehicle manufacturers must meet in FTA-assisted procurements.
§ 26.51 What means do recipients use to meet overall goals?
(a) You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating DBE
participation. Race-neutral DBE participation includes any time a DBE wins a prime contract through customary
competitive procurement procedures, is awarded a subcontract on a prime contract that does not carry a DBE
goal, or even if there is a DBE goal, wins a subcontract from a prime contractor that did not consider its DBE
status in making the award (e.g., a prime contractor that uses a strict low bid system to award subcontracts).
(b) Race-neutral means include, but are not limited to, the following:
( 1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules
in ways that facilitate participation by DBEs and other small businesses and by making contracts more
accessible to small businesses, by means such as those provided under §26.39 of this part.
(2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such
means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety
costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and
financing);
(3) Providing technical assistance and other services;
(4) Carrying out information and communications programs on contracting procedures and specific contract
opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for
bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors;
provision of information in languages other than English, where appropriate);
(5) Implementing a supportive services program to develop and improve immediate and long-term business
management, record keeping, and financial and accounting capability for DBEs and other small businesses;
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(6) Providing services to help DBEs, and other small businesses, improve long-term development, increase
opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve
eventual self-sufficiency;
(7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has
historically been low;
(8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible
universe of potential prime contractors; and
(9) Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and
conduct business through electronic media.
(c) Each time you submit your overall goal for review by the concerned operating administration, you must also
submit your projection of the portion of the goal that you expect to meet through race-neutral means and your
basis for that projection. This projection is subject to approval by the concerned operating administration, in
conjunction with its review of your overall goal.
(d) You must establish contract goals to meet any portion of your overall goal you do not project being able to meet
using race-neutral means.
(e) The following provisions apply to the use of contract goals:
(1) You may use contract goals only on those DOT-assisted contracts that have subcontracting possibilities.
(2) You are not required to set a contract goal on every DOT-assisted contract. You are not required to set each
contract goal at the same percentage level as the overall goal. The goal for a specific contract may be
higher or lower than that percentage level of the overall goal, depending on such factors as the type of work
involved, the location of the work, and the availability of DBEs for the work of the particular contract.
However, over the period covered by your overall goal, you must set contract goals so that they will
cumulatively result in meeting any portion of your overall goal you do not project being able to meet through
the use of race-neutral means.
(3) Operating administration approval of each contract goal is not necessarily required. However, operating
administrations may review and approve or disapprove any contract goal you establish.
(4) Your contract goals must provide for participation by all certified DBEs and must not be subdivided into
group-specific goals.
(f) To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination,
you must adjust your use of contract goals as follows:
(1) If your approved projection under paragraph (c) of this section estimates that you can meet your entire
overall goal for a given year through race-neutral means, you must implement your program without setting
contract goals during that year, unless it becomes necessary in order meet your overall goal.
Example to paragraph (f)(1): Your overall goal for Year 1 is 12 percent. You estimate that you can obtain 12
percent or more DBE participation through the use of race-neutral measures, without any use of contract
goals. In this case, you do not set any contract goals for the contracts that will be performed in Year 1.
However, if part way through Year 1, your DBE awards or commitments are not at a level that would permit
you to achieve your overall goal for Year 1, you could begin setting race-conscious DBE contract goals
during the remainder of the year as part of your obligation to implement your program in good faith.
Example to paragraph (f)(1): Your overall goal for Year I is 12 percent. You estimate that you can obtain 12
percent or more DBE participation through the use of race-neutral measures, without any use of contract
goals. In this case, you do not set any contract goals for the contracts that will be performed in Year I.
(2) If, during the course of any year in which you are using contract goals, you determine that you will exceed
your overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure
that the use of contract goals does not result in exceeding the overall goal. If you determine that you will fall
short of your overall goal, then you must make appropriate modifications in your use of race-neutral and/or
race-conscious measures to allow you to meet the overall goal.
Example to paragraph (f)(2): In Year II, your overall goal is 12 percent. You have estimated that you can
obtain 5 percent DBE participation through use of race-neutral measures. You therefore plan to obtain the
remaining 7 percent participation through use of DBE goals. By September, you have already obtained 11
percent DBE participation for the year. For contracts let during the remainder of the year, you use contract
goals only to the extent necessary to obtain an additional one percent DBE participation. However, if you
determine in September that your participation for the year is likely to be only 8 percent total, then you would
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increase your use of race-neutral and/or race-conscious means during the remainder of the year in order to
achieve your overall goal.
(3) If the DBE participation you have obtained by race-neutral means alone meets or exceeds your overall goals
for two consecutive years, you are not required to make a projection of the amount of your goal you can
meet using such means in the next year. You do not set contract goals on any contracts in the next year.
You continue using only race-neutral means to meet your overall goals unless and until you do not meet
your overall goal for a year.
Example to paragraph (f)(3): Your overall goal for Years I and Year II is 10 percent. The DBE participation
you obtain through race-neutral measures alone is 10 percent or more in each year. (For this purpose, it
does not matter whether you obtained additional DBE participation through using contract goals in these
years.) In Year Ill and following years, you do not need to make a projection under paragraph (c) of this
section of the portion of your overall goal you expect to meet using race-neutral means. You simply use
race-neutral means to achieve your overall goals. However, if in Year VI your DBE participation falls short of
your overall goal, then you must make a paragraph (c) projection for Year VII and, if necessary, resume use
of contract goals in that year.
(4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of
contract goals (i.e., not through the use of race-neutral means alone), you must reduce your use of contract
goals proportionately in the following year.
Example to paragraph (f)(4): In Years I and II, your overall goal is 12 percent, and you obtain 14 and 16
percent DBE participation, respectively. You have exceeded your goals over the two-year period by an
average of 25 percent. In Year Ill, your overall goal is again 12 percent, and your paragraph (c) projection
estimates that you will obtain 4 percent DBE participation through race-neutral means and 8 percent through
contract goals. You then reduce the contract goal projection by 25 percent (i.e., from 8 to 6 percent) and set
contract goals accordingly during the year. If in Year Ill you obtain 11 percent participation, you do not use
this contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of
exceeding overall goals.
(g) In any year in which you project meeting part of your goal through race-neutral means and the remainder through
contract goals, you must maintain data separately on DBE achievements in those contracts with and without
contract goals, respectively. You must report this data to the concerned operating administration as provided in
§26.11.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011]
§ 26.53 What are the good faith efforts procedures recipients follow in situations where there are
contract goals?
(a) When you have established a DBE contract goal, you must award the contract only to a bidder/offeror who
makes good faith efforts to meet it. You must determine that a bidder/offeror has made good faith efforts if the
bidder/offeror does either of the following things:
(1) Documents that it has obtained enough DBE participation to meet the goal; or
(2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in
obtaining enough DBE participation to do so. If the bidder/offeror does document adequate good faith
efforts, you must not deny award of the contract on the basis that the bidder/offeror failed to meet the goal.
See Appendix A of this part for guidance in determining the adequacy of a bidder/offeror's good faith efforts.
(b) In your solicitations for DOT-assisted contracts for which a contract goal has been established, you must require
the following:
(1) Award of the contract will be conditioned on meeting the requirements of this section;
(2) All bidders/offerors will be required to submit the following information to the recipient, at the time provided in
paragraph (b)(3) of this section:
(i) The names and addresses of DBE firms that will participate in the contract;
(ii) A description of the work that each DBE will perform;
(iii) The dollar amount of the participation of each DBE firm participating;
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(iv) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose
participation it submits to meet a contract goal;
(v) Written confirmation from the DBE that it is participating in the contract as provided in the prime
contractor's commitment; and
(vi) If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part); and
(3) At your discretion, the bidder/offeror must present the information required by paragraph (b)(2) of this
section-
(i) Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract
negotiation procedures; or
(ii) At any time before you commit yourself to the performance of the contract by the bidder/offeror, as a
matter of responsibility.
(c) You must make sure all information is complete and accurate and adequately documents the bidder/offeror's
good faith efforts before committing yourself to the performance of the contract by the bidder/offeror.
(d) If you determine that the apparent successful bidder/offeror has failed to meet the requirements of paragraph (a)
of this section, you must, before awarding the contract, provide the bidder/offeror an opportunity for
administrative reconsideration.
(1) As part of this reconsideration, the bidder/offeror must have the opportunity to provide written documentation
or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so.
(2) Your decision on reconsideration must be made by an official who did not take part in the original
determination that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so.
(3) The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss
the issue of whether it met the goal or made adequate good faith efforts to do so.
(4) You must send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that
the bidder did or did not meet the goal or make adequate good faith efforts to do so.
(5) The result of the reconsideration process is not administratively appealable to the Department of
Transportation.
(e) In a "design-build" or "turnkey" contracting situation, in which the recipient lets a master contract to a contractor,
who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the
project. The master contractor then establishes contract goals, as appropriate, for the subcontracts it lets.
Recipients must maintain oversight of the master contractor's activities to ensure that they are conducted
consistent with the requirements of this part.
(f) (1) You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph
(b)(2) of this section (or an approved substitute DBE firm) without your prior written consent. This includes, but is
not limited to, instances in which a prime contractor seeks to perform work originally designated for a OBE
subcontractor with its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm.
(2) You may provide such written consent only if you agree, for reasons stated in your concurrence document,
that the prime contractor has good cause to terminate the DBE firm.
(3) For purposes of this paragraph, good cause includes the following circumstances:
(i) The listed DBE subcontractor fails or refuses to execute a written contract;
(ii) The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent
with normal industry standards. Provided, however, that good cause does not exist if the failure or
refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or
discriminatory action of the prime contractor;
(iii) The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable,
nondiscriminatory bond requirements.
(iv) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;
(v) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and
debarment proceedings pursuant 2 CFR Parts 180, 215 and 1 ,200 or applicable state law;
(vii) You have determined that the listed DBE subcontractor is not a responsible contractor;
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(vi) The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice
of its withdrawal;
(vii) The listed DBE is ineligible to receive DBE credit for the type of work required;
(viii) A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to
complete its work on the contract;
(ix) Other documented good cause that you determine compels the termination of the DBE subcontractor.
Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon
to obtain the contract so that the prime contractor can self-perform the work for which the DBE
contractor was engaged or so that the prime contractor can substitute another DBE or non-DBE
contractor after contract award.
(4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime
contractor must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to
terminate and/or substitute, and the reason for the request.
(5) The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you
and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and
why you should not approve the prime contractor's action. If required in a particular case as a matter of
public necessity (e.g., safety), you may provide a response period shorter than five days.
(6) In addition to post-award terminations, the provisions of this section apply to pre-award deletions of or
substitutions for DBE firms put forward by offerors in negotiated procurements.
(g) When a DBE subcontractor is terminated, or fails to complete its work on the contract for any reason, you must
require the prime contractor to make good faith efforts to find another DBE subcontractor to substitute for the
original DBE. These good faith efforts shall be directed at finding another DBE to perform at least the same
amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract
goal you established for the procurement.
(h) You must include in each prime contract a provision for appropriate administrative remedies that you will invoke if
the prime contractor fails to comply with the requirements of this section.
(i) You must apply the requirements of this section to DBE bidders/offerors for prime contracts. In determining
whether a DBE bidder/offeror for a prime contract has met a contract goal, you count the work the DBE has
committed to performing with its own forces as well as the work that it has committed to be performed by DBE
subcontractors and DBE suppliers.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011)
§ 26.55 How is DBE participation counted toward goals?
(a) When a DBE participates in a contract, you count only the value of the work actually performed by the DBE
toward DBE goals.
(1) Count the entire amount of that portion of a construction contract (or other contract not covered by
paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies and
materials obtained by the DBE for the work of the contract, including supplies purchased or equipment
leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the
prime contractor or its affiliate).
(2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service,
such as professional, technical, consultant, or managerial services, or for providing bonds or insurance
specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you
determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar
services.
(3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted
work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE
subcontracts to a non-DBE firm does not count toward DBE goals.
(b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract
equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces
toward DBE goals.
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(c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful
function on that contract
(1) A DBE performs a commercially useful function when it is responsible for execution of the work of the
contract and is carrying out its responsibilities by actually performing, managing, and supervising the work
involved. To perform a commercially useful function, the DBE must also be responsible, with respect to
materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering
the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE
is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry
practices, whether the amount the finm is to be paid under the contract is commensurate with the work it is
actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.
(2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a
transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE
participation. In determining whether a DBE is such an extra participant, you must examine similar
transactions, particularly those in which DBEs do not participate.
(3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract
with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be
expected on the basis of normal industry practice for the type of work involved, you must presume that it is
not performing a commercially useful function.
(4) When a DBE is presumed not to be perfonming a commercially useful function as provided in paragraph
(c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that the
firm is perfonming a commercially useful function given the type of work involved and normal industry
practices.
(5) Your decisions on commercially useful function matters are subject to review by the concerned operating
administration, but are not administratively appealable to DOT.
(d) Use the following factors in determining whether a DBE trucking company is perfonming a commercially useful
function:
(1) The DBE must be responsible for the management and supervision of the entire trucking operation for which
it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of
meeting DBE goals.
(2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the
contract.
(3) The DBE receives credit for the total value of the transportation services it provides on the contract using
trucks it owns, insures, and operates using drivers it employs.
(4) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE.
The DBE who leases trucks from another DBE receives credit for the total value of the transportation
services the lessee DBE provides on the contract.
(5) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE who
leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided by
non-DBE lessees not to exceed the value of transportation services provided by DBE-owned trucks on the
contract. Additional participation by non-DBE lessees receives credit only for the fee or commission it
receives as a result of the lease arrangement If a recipient chooses this approach, it must obtain written
consent from the appropriate Department Operating Administration.
Example to this paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks
from DBE Firm Y and six trucks from non-DBE Finm Z. DBE credit would be awarded for the total value of
transportation services provided by Firm X and Firm Y, and may also be awarded for the total value of
transportation services provided by four of the six trucks provided by Firm Z. In all, full credit would be
allowed for the participation of eight trucks. With respect to the other two trucks provided by Firm Z, DBE
credit could be awarded only for the fees or commissions pertaining to those trucks Firm X receives as a
result of the lease with Firm Z.
(6) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over
the truck. This does not preclude the leased truck from working for others during the term of the lease with
the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck.
Leased trucks must display the name and identification number of the DBE.
(e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
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(1) (i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this paragraph (e)(1 ), a manufacturer is a firm that operates or maintains a factory or
establishment that produces, on the premises, the materials, supplies, articles, or equipment required
under the contract and of the general character described by the specifications.
(2) (i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store,
warehouse, or other establishment in which the materials, supplies, articles or equipment of the general
character described by the specifications and required under the contract are bought, kept in stock, and
regularly sold or leased to the public in the usual course of business.
(A) To be a regular dealer, the firm must be an established, regular business that engages, as its
principal business and under its own name, in the purchase and sale or lease of the products in
question.
(B) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel,
stone, or asphalt without owning, operating, or maintaining a place of business as provided in this
paragraph (e)(2)(ii) if the person both owns and operates distribution equipment for the products.
Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease
agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite
transactions are not regular dealers within the meaning of this paragraph (e)(2).
(3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular
dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the
materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on
a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as
compared with fees customarily allowed for similar services. Do not count any portion of the cost of the
materials and supplies themselves toward DBE goals, however.
(f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time
of the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided
for in §26.87(i)).
(g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified
toward your overall goal.
(h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE
obligations on a contract until the amount being counted has actually been paid to the DBE.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003]
Subpart D-Certification Standards
§ 26.61 How are burdens of proof allocated in the certification process?
(a) In determining whether to certify a firm as eligible to participate as a DBE, you must apply the standards of this
subpart.
(b) The firm seeking certification has the burden of demonstrating to you, by a preponderance of the evidence, that it
meets the requirements of this subpart concerning group membership or individual disadvantage, business size,
ownership, and control.
(c) You must rebuttably presume that members of the designated groups identified in §26.67(a) are socially and
economically disadvantaged. This means they do not have the burden of proving to you that they are socially
and economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must
submit a signed, notarized statement that they are a member of one of the groups in §26.67(a). Applicants do
have the obligation to provide you information concerning their economic disadvantage (see §26.67).
(d) Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning
whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a
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preponderance of the evidence, that they are socially and economically disadvantaged. (See Appendix E of this
part.)
(e) You must make determinations concerning whether individuals and firms have met their burden of demonstrating
group membership, ownership, control, and social and economic disadvantage (where disadvantage must be
demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003)
§ 26.63 What rules govern group membership determinations?
(a) ( 1) If, after reviewing the signed notarized statement of membership in a presumptively disadvantaged group
(see §26.61 (c)}, you have a well founded reason to question the individual's claim of membership in that group,
you must require the individual to present additional evidence that he or she is a member of the group.
(2) You must provide the individual a written explanation of your reasons for questioning his or her group
membership and a written request for additional evidence as outlined in paragraph (b) of this section.
(3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate
burden on members of any particular designated group. Imposing a disproportionate burden on members of
a particular group could violate §26. 7(b) and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21.
(b) In making such a determination, you must consider whether the person has held himself out to be a member of
the group over a long period of time prior to application for certification and whether the person is regarded as a
member of the group by the relevant community. You may require the applicant to produce appropriate
documentation of group membership.
( 1) If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not
a member of a designated disadvantaged group, the individual must demonstrate social and economic
disadvantage on an individual basis.
(2) Your decisions concerning membership in a designated group are subject to the certification appeals
procedure of §26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003)
§ 26.65 What rules govern business size determinations?
(a) To be an eligible DBE, a firm (including its affiliates) must be an existing small business, as defined by Small
Business Administration (SBA) standards. As a recipient, you must apply current SBA business size standard(s)
found in 13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in DOT-assisted contracts.
(b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an eligible DBE in any Federal
fiscal year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA
regulations (see 13 CFR 121.402}, over the firm's previous three fiscal years, in excess of $22.41 million.
(c) The Department adjusts the number in paragraph (b) of this section annually using the Department of Commerce
price deflators for purchases by State and local governments as the basis for this adjustment.
[74 FR 15224, Apr. 3, 2009)
§ 26.67 What rules determine social and economic disadvantage?
(a) Presumption of disadvantage. (1) You must rebuttably presume that citizens of the United States (or lawfully
admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans,
Asian-Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the
SBA, are socially and economically disadvantaged individuals. You must require applicants to submit a signed,
notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically
disadvantaged.
(2) (i) You must require each individual owner of a firm applying to participate as a DBE, whose ownership
and control are relied upon for DBE certification to certify that he or she has a personal net worth that does
not exceed $1.32 million.
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(ii) You must require each individual who makes this certification to support it with a signed, notarized
statement of personal net worth, with appropriate supporting documentation. This statement and
documentation must not be unduly lengthy, burdensome, or intrusive.
(iii) In determining an individual's net worth, you must observe the following requirements:
(A) Exclude an individual's ownership interest in the applicant firm;
(B) Exclude the individual's equity in his or her primary residence (except any portion of such equity
that is attributable to excessive withdrawals from the applicant firm).
(C) Do not use a contingent liability to reduce an individual's net worth.
(D) With respect to assets held in vested pension plans, Individual Retirement Accounts, 401 (k)
accounts, or other retirement savings or investment programs in which the assets cannot be
distributed to the individual at the present time without significant adverse tax or interest
consequences, include only the present value of such assets, less the tax and interest penalties
that would accrue if the asset were distributed at the present time.
(iv) Notwithstanding any provision of Federal or state law, you must not release an individual's personal net
worth statement nor any documents pertaining to it to any third party without the written consent of the
submitter. Provided, that you must transmit this information to DOT in any certification appeal
proceeding under section 26.89 of this part or to any other state to which the individual's firm has
applied for certification under §26.85 of this part.
(b) Rebuttal of presumption of disadvantage. (1) If the statement of personal net worth that an individual submits
under paragraph (a)(2) of this section shows that the individual's personal net worth exceeds $1.32 million, the
individual's presumption of economic disadvantage is rebutted. You are not required to have a proceeding under
paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case.
(2) If you have a reasonable basis to believe that an individual who is a member of one of the designated
groups is not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to
determine whether the presumption should be regarded as rebutted with respect to that individual. Your
proceeding must follow the procedures of §26.87.
(3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the
individual is not socially and economically disadvantaged. You may require the individual to produce
information relevant to the determination of his or her disadvantage.
(4) When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her
ownership and control of the firm in question cannot be used for purposes of DBE eligibility under this
subpart unless and until he or she makes an individual showing of social and/or economic disadvantage. If
the basis for rebutting the presumption is a determination that the individual's personal net worth exceeds
$1.32 million, the individual is no longer eligible for participation in the program and cannot regain eligibility
by making an individual showing of disadvantage.
(c) [Reserved)
(d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who
are not presumed to be socially and economically disadvantaged (including individuals whose presumed
disadvantage has been rebutted) may apply for DBE certification. You must make a case-by-case determination
of whether each individual whose ownership and control are relied upon for DBE certification is socially and
economically disadvantaged. In such a proceeding, the applicant firm has the burden of demonstrating to you, by
a preponderance of the evidence, that the individuals who own and control it are socially and economically
disadvantaged. An individual whose personal net worth exceeds $1.32 million shall not be deemed to be
economically disadvantaged. In making these determinations, use the guidance found in Appendix E of this part.
You must require that applicants provide sufficient information to permit determinations under the guidance of
Appendix E of this part.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35554, June 16, 2003; 76 FR 5099,
Jan. 28, 2011)
§ 26.69 What rules govern determinations of ownership?
(a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must
consider all the facts in the record, viewed as a whole.
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(b) To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged
individuals.
(1) In the case of a corporation, such individuals must own at least 51 percent of the each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding.
(2) In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and
economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership
agreement.
(3) In the case of a limited liability company, at least 51 percent of each class of member interest must be
owned by socially and economically disadvantaged individuals.
(c) The firm's ownership by socially and economically disadvantaged individuals must be real, substantial, and
continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. The
disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and profits
commensurate with their ownership interests, as demonstrated by the substance, not merely the form, of
arrangements.
(d) All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as
provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are
considered as held by disadvantaged persons in determining the ownership of a firm. However, securities or
assets held in trust are regarded as held by a disadvantaged individual for purposes of determining ownership of
the firm, if-
(1) The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the
same or another such individual; or
(2) The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective
control over the management, policy-making, and daily operational activities of the firm. Assets held in a
revocable living trust may be counted only in the situation where the same disadvantaged individual is the
sole grantor, beneficiary, and trustee.
(e) The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their
ownership interests must be real and substantial. Examples of insufficient contributions include a promise to
contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or
mere participation in a firm's activities as an employee. Debt instruments from financial institutions or other
organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the
debtor's ownership interest is security for the loan.
(f) The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged
owner's contribution to acquire ownership:
(1) The owner's expertise must be-
(i) In a specialized field;
(ii) Of outstanding quality;
(iii) In areas critical to the firm's operations;
(iv) Indispensable to the firm's potential success;
(v) Specific to the type of work the firm performs; and
(vi) Documented in the records of the firm. These records must clearly show the contribution of expertise
and its value to the firm.
(2) The individual whose expertise is relied upon must have a significant financial investment in the firm.
(g) You must always deem as held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual-
(1) As the result of a final property settlement or court order in a divorce or legal separation, provided that no
term or condition of the agreement or divorce decree is inconsistent with this section; or
(2) Through inheritance, or otherwise because of the death of the former owner.
(h) (1) You must presume as not being held by a socially and economically disadvantaged individual, for purposes
of determining ownership, all interests in a business or other assets obtained by the individual as the result of a
gift, or transfer without adequate consideration, from any non-disadvantaged individual or non-DBE firm who is-
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(i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm;
(ii) Involved in the same or a similar line of business; or
(iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the
individual is seeking certification.
(2) To overcome this presumption and permit the interests or assets to be counted, the disadvantaged
individual must demonstrate to you, by clear and convincing evidence, that-
(i) The gift or transfer to the disadvantaged individual was made for reasons other than obtaining
certification as a DBE; and
(ii) The disadvantaged individual actually controls the management, policy, and operations of the firm,
notwithstanding the continuing participation of a non-disadvantaged individual who provided the gift or
transfer.
(i) You must apply the following rules in situations in which marital assets form a basis for ownership of a firm:
(1) When marital assets (other than the assets of the business in question), held jointly or as community
property by both spouses, are used to acquire the ownership interest asserted by one spouse, you must
deem the ownership interest in the firm to have been acquired by that spouse with his or her own individual
resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership
interest in the manner sanctioned by the laws of the state in which either spouse or the firm is domiciled.
You do not count a greater portion of joint or community property assets toward ownership than state law
would recognize as belonging to the socially and economically disadvantaged owner of the applicant firm.
(2) A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or
community assets used to acquire an ownership interest in the firm must be included as part of the firm's
application for DBE certification.
U) You may consider the following factors in determining the ownership of a firm. However, you must not regard a
contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because-
(1) A socially and economically disadvantaged individual acquired his or her ownership interest as the result of
a gift, or transfer without adequate consideration, other than the types set forth in paragraph (h) of this
section;
(2) There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged
individual on financing agreements, contracts for the purchase or sale of real or personal property, bank
signature cards, or other documents; or
(3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who
is not a socially and economically disadvantaged individual to a spouse who is such an individual. In this
case, you must give particularly close and careful scrutiny to the ownership and control of a firm to ensure
that it is owned and controlled, in substance as well as in form, by a socially and economically
disadvantaged individual.
§ 26.71 What rules govern determinations concerning control?
(a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the
facts in the record, viewed as a whole.
(b) Only an independent business may be certified as a DBE. An independent business is one the viability of which
does not depend on its relationship with another firm or firms.
(1) In determining whether a potential DBE is an independent business, you must scrutinize relationships with
non-DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other
resources.
(2) You must consider whether present or recent employer/employee relationships between the disadvantaged
owner(s) of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise
the independence of the potential DBE firm.
(3) You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive
or primary dealings with a prime contractor compromises the independence of the potential DBE firm.
(4) In considering factors related to the independence of a potential DBE firm, you must consider the
consistency of relationships between the potential DBE and non-DBE firms with normal industry practice.
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(c) A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the
socially and economically disadvantaged owners. There can be no restrictions through corporate charter
provisions, by-law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights,
voting powers attached to different classes of stock, employment contracts, requirements for concurrence by
non-disadvantaged partners, conditions precedent or subsequent, executory agreements, voting trusts,
restrictions on or assignments of voting rights) that prevent the socially and economically disadvantaged owners,
without the cooperation or vote of any non-disadvantaged individual, from making any business decision of the
firm. This paragraph does not preclude a spousal co-signature on documents as provided for in §26.69(j)(2).
(d) The socially and economically disadvantaged owners must possess the power to direct or cause the direction of
the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of
management, policy and operations.
(1) A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or
president).
(2) In a corporation, disadvantaged owners must control the board of directors.
(3) In a partnership, one or more disadvantaged owners must serve as general partners, with control over all
partnership decisions.
(e) Individuals who are not socially and economically disadvantaged may be involved in a DBE firm as owners,
managers, employees, stockholders, officers, and/or directors. Such individuals must not, however, possess or
exercise the power to control the firm, or be disproportionately responsible for the operation of the firm.
(f) The socially and economically disadvantaged owners of the firm may delegate various areas of the
management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether
these participants are socially and economically disadvantaged individuals. Such delegations of authority must
be revocable, and the socially and economically disadvantaged owners must retain the power to hire and fire any
person to whom such authority is delegated. The managerial role of the socially and economically disadvantaged
owners in the firm's overall affairs must be such that the recipient can reasonably conclude that the socially and
economically disadvantaged owners actually exercise control over the firm's operations, management, and
policy.
(g) The socially and economically disadvantaged owners must have an overall understanding of, and managerial
and technical competence and experience directly related to, the type of business in which the firm is engaged
and the firm's operations. The socially and economically disadvantaged owners are not required to have
experience or expertise in every critical area of the firm's operations, or to have greater experience or expertise
in a given field than managers or key employees. The socially and economically disadvantaged owners must
have the ability to intelligently and critically evaluate information presented by other participants in the firm's
activities and to use this information to make independent decisions concerning the firm's daily operations,
management, and policymaking. Generally, expertise limited to office management, administration, or
bookkeeping functions unrelated to the principal business activities of the firm is insufficient to demonstrate
control.
(h) If state or local law requires the persons to have a particular license or other credential in order to own and/or
control a certain type of firm, then the socially and economically disadvantaged persons who own and control a
potential DBE firm of that type must possess the required license or credential. If state or local law does not
require such a person to have such a license or credential to own and/or control a firm, you must not deny
certification solely on the ground that the person lacks the license or credential. However, you may take into
account the absence of the license or credential as one factor in determining whether the socially and
economically disadvantaged owners actually control the firm.
(i) (1) You may consider differences in remuneration between the socially and economically disadvantaged owners
and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in
the context of the duties of the persons involved, normal industry practices, the firm's policy and practice
concerning reinvestment of income, and any other explanations for the differences proffered by the firm. You
may determine that a firm is controlled by its socially and economically disadvantaged owner although that
owner's remuneration is lower than that of some other participants in the firm.
(2) In a case where a non-disadvantaged individual formerly controlled the firm, and a socially and economically
disadvantaged individual now controls it, you may consider a difference between the remuneration of the
former and current controller of the firm as a factor in determining who controls the firm, particularly when
the non-disadvantaged individual remains involved with the firm and continues to receive greater
compensation than the disadvantaged individual.
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0) In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in
outside employment or other business interests that conflict with the management of the firm or prevent the
individual from devoting sufficient time and attention to the affairs of the firm to control its activities. For example,
absentee ownership of a business and part-time work in a full-time firm are not viewed as constituting control.
However, an individual could be viewed as controlling a part-time business that operates only on evenings and/or
weekends, if the individual controls it all the time it is operating.
(k) ( 1) A socially and economically disadvantaged individual may control a firm even though one or more of the
individual's immediate family members (who themselves are not socially and economically disadvantaged
individuals) participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise
provided in this paragraph, you must make a judgment about the control the socially and economically
disadvantaged owner exercises vis-a-vis other persons involved in the business as you do in other situations,
without regard to whether or not the other persons are immediate family members.
(2) If you cannot determine that the socially and economically disadvantaged owners-as distinct from the
family as a whole-control the firm, then the socially and economically disadvantaged owners have failed to
carry their burden of proof concerning control, even though they may participate significantly in the firm's
activities.
(I) Where a firm was formerly owned and/or controlled by a non-disadvantaged individual (whether or not an
immediate family member), ownership and/or control were transferred to a socially and economically
disadvantaged individual, and the non-disadvantaged individual remains involved with the firm in any capacity,
the disadvantaged individual now owning the firm must demonstrate to you, by clear and convincing evidence,
that:
(1) The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than
obtaining certification as a DBE; and
(2) The disadvantaged individual actually controls the management, policy, and operations of the firm,
notwithstanding the continuing participation of a non-disadvantaged individual who formerly owned and/or
controlled the firm.
(m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may
consider whether the firm owns equipment necessary to perform its work. However, you must not determine that
a firm is not controlled by socially and economically disadvantaged individuals solely because the firm leases,
rather than owns, such equipment, where leasing equipment is a normal industry practice and the lease does not
involve a relationship with a prime contractor or other party that compromises the independence of the firm.
(n) You must grant certification to a firm only for specific types of work in which the socially and economically
disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the
firm need demonstrate to you only that its socially and economically disadvantaged owners are able to control
the firm with respect to that type of work. You must not require that the firm be recertified or submit a new
application for certification, but you must verify the disadvantaged owner's control of the firm in the additional
type of work.
(1) The types of work a firm can perform (whether on initial certification or when a new type of work is added)
must be described in terms of the most specific available NAICS code for that type of work. If you choose,
you may also, in addition to applying the appropriate NAICS code, apply a descriptor from a classification
scheme of equivalent detail and specificity. A correct NAICS code is one that describes, as specifically as
possible, the principal goods or services which the firm would provide to DOT recipients. Multiple NAICS
codes may be assigned where appropriate. Program participants must rely on, and not depart from, the plain
meaning of NAICS code descriptions in determining the scope of a firm's certification. If your Directory does
not list types of work for any firm in a manner consistent with this paragraph (a)(1 ), you must update the
Directory entry for that firm to meet the requirements of this paragraph (a)( 1) by August 28, 2011.
(2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept
up-to-date and accurately reflect work which the UCP has determined the firm's owners can control. The firm
bears the burden of providing detailed company information the certifying agency needs to make an
appropriate NAICS code designation.
(3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s) of work in which it
is seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification
documentation, supplement the assigned NAICS code(s) with a clear, specific, and detailed narrative
description of the type of work in which the firm is certified. A vague, general, or confusing description is not
sufficient for this purpose, and recipients should not rely on such a description in determining whether a
firm's participation can be counted toward DBE goals.
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(4) A certifier is not precluded from changing a certification classification or description if there is a factual basis
in the record. However, certifiers must not make after-the-fact statements about the scope of a certification,
not supported by evidence in the record of the certification action.
(o) A business operating under a franchise or license agreement may be certified if it meets the standards in this
subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether
affiliation exists, you should generally not consider the restraints relating to standardized quality, advertising,
accounting format, and other provisions imposed on the franchisee or licensee by the franchise agreement or
license, provided that the franchisee or licensee has the right to profit from its efforts and bears the risk of loss
commensurate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by
virtue of such provisions in the franchise agreement or license, affiliation could arise through other means, such
as common management or excessive restrictions on the sale or transfer of the franchise interest or license.
(p) In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non-
disadvantaged partners must not have the power, without the specific written concurrence of the socially and
economically disadvantaged partner(s}, to contractually bind the partnership or subject the partnership to
contract or tort liability.
(q) The socially and economically disadvantaged individuals controlling a firm may use an employee leasing
company. The use of such a company does not preclude the socially and economically disadvantaged
individuals from controlling their firm if they continue to maintain an employer-employee relationship with the
leased employees. This includes being responsible for hiring, firing, training, assigning, and otherwise controlling
the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related
to the employees.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28, 2011]
§ 26.73 What are other rules affecting certification?
(a) (1) Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely
to counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as
provided in paragraph (a)(2) of this section, you must not consider commercially useful function issues in any
way in making decisions about whether to certify a firm as a DBE.
(2) You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct
indicating its involvement in attempts to evade or subvert the intent or requirements of the DBE program.
(b) (1) You must evaluate the eligibility of a firm on the basis of present circumstances. You must not refuse to
certify a firm based solely on historical information indicating a lack of ownership or control of the firm by socially
and economically disadvantaged individuals at some time in the past, if the firm currently meets the ownership
and control standards of this part.
(2) You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed
projects or contracts at the time of its application, has not yet realized profits from its activities, or has not
demonstrated a potential for success. If the firm meets disadvantaged, size, ownership, and control
requirements of this Part, the firm is eligible for certification.
(c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for
information relevant to the certification process. Failure or refusal to provide such information is a ground for a
denial or removal of certification.
(d) Only firms organized for profit may be eligible DBEs. Not-for-profit organizations, even though controlled by
socially and economically disadvantaged individuals, are not eligible to be certified as DBEs.
(e) An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as
provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm-
even a DBE firm-cannot be an eligible DBE.
(1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding
company, established for tax, capitalization or other purposes consistent with industry practice, and the
parent or holding company in turn owns and controls an operating subsidiary, you may certify the subsidiary
if it otherwise meets all requirements of this subpart. In this situation, the individual owners and controllers of
the parent or holding company are deemed to control the subsidiary through the parent or holding company.
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(2) You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by
socially and economically disadvantaged individuals. The following examples illustrate how this cumulative
ownership provision works:
Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company,
which has a wholly-owned subsidiary. The subsidiary may be certified, if it meets all other
requirements.
Example 2: Disadvantaged individuals own 100 percent of the holding company, which owns 51 percent of
a subsidiary. The subsidiary may be certified, if all other requirements are met.
Example 3: Disadvantaged individuals own 80 percent of the holding company, which in turn owns 70
percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by
disadvantaged individuals is 56 percent (80 percent of the 70 percent). This is more than 51
percent, so you may certify the subsidiary, if all other requirements are met.
Example 4: Same as Example 2 or 3, but someone other than the socially and economically
disadvantaged owners of the parent or holding company controls the subsidiary. Even though
the subsidiary is owned by disadvantaged individuals, through the holding or parent company,
you cannot certify it because it fails to meet control requirements.
Example 5: Disadvantaged individuals own 60 percent of the holding company, which in turn owns 51
percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by
disadvantaged individuals is about 31 percent. This is less than 51 percent, so you cannot
certify the subsidiary.
Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other
companies. The combined gross receipts of the holding companies and its subsidiaries are
greater than the size standard for the subsidiary seeking certification and/or the gross receipts
cap of §26.65(b). Under the rules concerning affiliation, the subsidiary fails to meet the size
standard and cannot be certified.
(f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to
demonstrate that a firm is an independent business, owned and controlled by socially and economically
disadvantaged individuals.
(g) You must not require a DBE firm to be prequalified as a condition for certification unless the recipient requires all
firms that participate in its contracts and subcontracts to be prequalified.
(h) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native
Hawaiians as individuals, may be eligible for certification. Such a firm must meet the size standards of §26.35.
Such a firm must be controlled by socially and economically disadvantaged individuals, as provided in §26.71.
(i) The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs).
(1) Notwithstanding any other provisions of this subpart, a direct or indirect subsidiary corporation, joint venture,
or partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following
requirements:
(i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of
the Settlement Common Stock and by Natives and descendents of Natives represents a majority of
both the total equity of the ANC and the total voting power of the corporation for purposes of electing
directors;
(ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or
partnership entity held by the ANC and by holders of its Settlement Common Stock represent a majority
of both the total equity of the entity and the total voting power of the entity for the purpose of electing
directors, the general partner, or principal officers; and
(iii) The subsidiary, joint venture, or partnership entity has been certified by the Small Business
Administration under the 8(a) or small disadvantaged business program.
(2) As a recipient to whom an ANC-related entity applies for certification, you do not use the DOT uniform
application form (see Appendix F of this part). You must obtain from the firm documentation sufficient to
demonstrate that entity meets the requirements of paragraph (i)(1) of this section. You must also obtain
sufficient information about the firm to allow you to administer your program (e.g., information that would
appear in your DBE Directory).
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(3) If an ANC-related firm does not meet all the conditions of paragraph (i)(1) of this section, then it must meet
the requirements of paragraph (h) of this section in order to be certified, on the same basis as firms owned
by Indian Tribes or Native Hawaiian Organizations.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan. 28, 2011)
Subpart E-Certification Procedures
§ 26.81 What are the requirements for Unified Certification Programs?
(a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP).
(1) Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement
establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary
may, on the basis of extenuating circumstances shown by the recipients in the state, extend this deadline for
no more than one additional year.
(2) The agreement must provide for the establishment of a UCP meeting all the requirements of this section.
The agreement must specify that the UCP will follow all certification procedures and standards of this part,
on the same basis as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring
activities of DOT and its operating administrations; and that the UCP shall implement DOT directives and
guidance concerning certification matters. The agreement shall also commit recipients to ensuring that the
UCP has sufficient resources and expertise to carry out the requirements of this part. The agreement shall
include an implementation schedule ensuring that the UCP is fully operational no later than 18 months
following the approval of the agreement by the Secretary.
(3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients
in that state.
(4) The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state
for revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is
deemed to be accepted.
(5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall
have the opportunity to make an explanation to the Secretary why a deadline could not be met and why
meeting the deadline was beyond your control. If you fail to make such an explanation, or the explanation
does not justify the failure to meet the deadline, the Secretary shall direct you to complete the required
action by a date certain. If you and the other recipients fail to carry out this direction in a timely manner, you
are collectively in noncompliance with this part.
(b) The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to
participation in the DOT DBE Program.
(1) Certification decisions by the UCP shall be binding on all DOT recipients within the state.
(2) The UCP shall provide "one-stop shopping" to applicants for certification, such that an applicant is required
to apply only once for a DBE certification that will be honored by all recipients in the state.
(3) All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs,
and recipients may use only UCPs that comply with the certification and nondiscrimination requirements of
this part.
(c) All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due
date for bids or offers on a contract on which a firm seeks to participate as a DBE.
(d) A UCP is not required to process an application for certification from a firm having its principal place of business
outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of
business. The "home state" UCP shall share its information and documents concerning the firm with other UCPs
that are considering the firm's application.
(e) Subject to DOT approval as provided in this section, the recipients in two or more states may form a regional
UCP. UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline
the specific responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT
recipient.
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(f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements
with other recipients, on a regional or inter-jurisdictional basis, to perfonm certification functions required by this
part. You may also grant reciprocity to other recipient's certification decisions.
(g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those
from other states certified under the provisions of this part), the information required by §26.31. The UCP shall
make the directory available to the public electronically, on the internet, as well as in print. The UCP shall update
the electronic version of the directory by including additions, deletions, and other changes as soon as they are
made and shall revise the print version of the Directory at least once a year.
(h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to
recipients also apply to UCPs.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5100, Jan. 28, 2011]
§ 26.83 What procedures do recipients follow in making certification decisions?
(a) You must ensure that only firms certified as eligible DBEs under this section participate as DBEs in your
program.
(b) You must determine the eligibility of firms as DBEs consistent with the standards of subpart D of this part. When
a UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that
recipients are required to meet.
(c) You must take all the following steps in detenmining whether a DBE firm meets the standards of subpart D of this
part:
(1) Perfonm an on-site visit to the offices of the firm. You must interview the principal officers of the firm and
review their resumes and/or work histories. You must also perform an on-site visit to job sites if there are
such sites on which the finm is working at the time of the eligibility investigation in your jurisdiction or local
area. You may rely upon the site visit report of any other recipient with respect to a firm applying for
certification;
(2) If the firm is a corporation, analyze the ownership of stock in the firm;
(3) Analyze the bonding and financial capacity of the finm;
(4) Determine the work history of the finm, including contracts it has received and work it has completed;
(5) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its
preferred locations for performing the work, if any;
(6) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its
key personnel possess to perform the work it seeks to do as part of the DBE program;
(7) Require potential DBEs to complete and submit an appropriate application fonm, unless the potential DBE is
an SBA certified firm applying pursuant to the DOT/SBA MOU.
(i) You must use the application form provided in Appendix F to this part without change or revision.
However, you may provide in your DBE program, with the approval of the concerned operating
administration, for supplementing the form by requesting additional information not inconsistent with this
part.
(ii) You must make sure that the applicant attests to the accuracy and truthfulness of the information on the
application form. This shall be done either in the form of an affidavit sworn to by the applicant before a
person who is authorized by state law to administer oaths or in the form of an unsworn declaration
executed under penalty of perjury of the laws of the United States.
(iii) You must review all information on the fonm prior to making a decision about the eligibility of the firm.
(d) When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for
certification infonmation you have obtained about that firm (e.g., including application materials or the report of a
site visit, if you have made one to the finm), you must promptly make the information available to the other
recipient.
(e) [Reserved]
(f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose
a reasonable application fee for certification. Fee waivers shall be made in appropriate cases.
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(g) You must safeguard from disclosure to unauthorized persons information gathered as part of the certification
process that may reasonably be regarded as proprietary or other confidential business information, consistent
with applicable Federal, state, and local law.
(h) Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in
whole or in part, through the procedures of section 26.87. You may not require DBEs to reapply for certification
or require "recertification" of currently certified firms. However, you may conduct a certification review of a
certified DBE firm, including a new on-site review, three years from the date of the firm's most recent certification,
or sooner if appropriate in light of changed circumstances (e.g., of the kind requiring notice under paragraph (i) of
this section), a complaint, or other information concerning the firm's eligibility. If you have grounds to question the
firm's eligibility, you may conduct an on-site review on an unannounced basis, at the firm's offices and jobsites.
(i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your
ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change
in the information provided in your application form.
(1) Changes in management responsibility among members of a limited liability company are covered by this
requirement.
(2) You must attach supporting documentation describing in detail the nature of such changes.
(3) The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by
state law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of
the United States. You must provide the written notification within 30 days of the occurrence of the change.
If you fail to make timely notification of such a change, you will be deemed to have failed to cooperate under
§26.109(c).
(j) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your
certification, an affidavit sworn to by the firm's owners before a person who is authorized by state law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States.
This affidavit must affirm that there have been no changes in the firm's circumstances affecting its ability to meet
size, disadvantaged status, ownership, or control requirements of this part or any material changes in the
information provided in its application form, except for changes about which you have notified the recipient under
paragraph (i) of this section. The affidavit shall specifically affirm that your firm continues to meet SBA business
size criteria and the overall gross receipts cap of this part, documenting this affirmation with supporting
documentation of your firm's size and gross receipts. If you fail to provide this affidavit in a timely manner, you
will be deemed to have failed to cooperate under §26.109(c).
(k) If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from
the applicant firm all information required under this part. You may extend this time period once, for no more than
an additional 60 days, upon written notice to the firm, explaining fully and specifically the reasons for the
extension. You may establish a different time frame in your DBE program, upon a showing that this time frame is
not feasible, and subject to the approval of the concerned operating administration. Your failure to make a
decision by the applicable deadline under this paragraph is deemed a constructive denial of the application, on
the basis of which the firm may appeal to DOT under §26.89.
(I) As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application
whether the application is complete and suitable for evaluation and, if not, what additional information or action is
required.
(m) Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application
before you have issued a decision on the application, the applicant can resubmit the application at any time. As a
recipient or UCP, you may not apply the waiting period provided under §26.86(c) of this part before allowing the
applicant to resubmit its application. However, you may place the reapplication at the "end of the line," behind
other applications that have been made since the firm's previous application was withdrawn. You may also apply
the waiting period provided under §26.86(c) of this part to a firm that has established a pattern of frequently
withdrawing applications before you make a decision.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011)
§ 26.85 Interstate certification.
(a) This section applies with respect to any firm that is currently certified in its home state.
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(b) When a firm currently certified in its home state ("State A") applies to another State ("State B") for DBE
certification, State B may, at its discretion, accept State A's certification and certify the firm, without further
procedures.
(1) To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from
State A.
(2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A.
State B can do so by reviewing State A's electronic directory or obtaining written confirmation from State A.
(c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph
(b) of this section, as the applicant firm you must provide the information in paragraphs (c)(1) through (4) of this
section to State B.
(1) You must provide to State B a complete copy of the application form, all supporting documents, and any
other information you have submitted to State A or any other state related to your firm's certification. This
includes affidavits of no change (see §26.830)) and any notices of changes (see §26.83(i)) that you have
submitted to State A, as well as any correspondence you have had with State A's UCP or any other recipient
concerning your application or status as a DBE firm.
(2) You must also provide to State B any notices or correspondence from states other than State A relating to
your status as an applicant or certified DBE in those states. For example, if you have been denied
certification or decertified in State C, or subject to a decertification action there, you must inform State B of
this fact and provide all documentation concerning this action to State B.
(3) If you have filed a certification appeal with DOT (see §26.89), you must inform State B of the fact and
provide your letter of appeal and DOT's response to State B.
(4) You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United
States.
(i) This affidavit must affirm that you have submitted all the information required by 49 CFR 26.85(c) and
the information is complete and, in the case of the information required by §26.85(c)(1), is an identical
copy of the information submitted to State A.
(ii) If the on-site report from State A supporting your certification in State A is more than three years old, as
of the date of your application to State B, State B may require that your affidavit also affirm that the facts
in the on-site report remain true and correct.
(d) As State B, when you receive from an applicant firm all the information required by paragraph (c) of this section,
you must take the following actions:
(1) Within seven days contact State A and request a copy of the site visit review report for the firm (see
§26.83(c)(1 )), any updates to the site visit review, and any evaluation of the firm based on the site visit. As
State A, you must transmit this information to State B within seven days of receiving the request. A pattern
by State B of not making such requests in a timely manner or by "State A" or any other State of not
complying with such requests in a timely manner is noncompliance with this Part.
(2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or
should not apply in your State. Reasons for making such a determination may include the following:
(i) Evidence that State A's certification was obtained by fraud;
(ii) New information, not available to State A at the time of its certification, showing that the firm does not
meet all eligibility criteria;
(iii) State A's certification was factually erroneous or was inconsistent with the requirements of this part;
(iv) The State law of State B requires a result different from that of the State law of State A.
(v) The information provided by the applicant firm did not meet the requirements of paragraph (c) of this
section.
(3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you
received from the applicant firm all the information required by paragraph (c) of this section, send to the
applicant firm a notice that it is certified and place the firm on your directory of certified firms.
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(4) If, as State B, you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you
received from the applicant firm all the information required by paragraph (c) of this section, send to the
applicant firm a notice stating the reasons for your determination.
(i) This notice must state with particularity the specific reasons why State B believes that the firm does not
meet the requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to
State B with respect to these reasons.
(ii) The firm may elect to respond in writing, to request an in-person meeting with State B's decision maker
to discuss State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B
you must schedule the meeting to take place within 30 days of receiving the firm's request.
(iii) The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the
requirements of this Part with respect to the particularized issues raised by State B's notice. The firm is
not otherwise responsible for further demonstrating its eligibility to State B.
(iv) The decision maker for State B must be an individual who is thoroughly familiar with the provisions of
this Part concerning certification.
(v) State B must issue a written decision within 30 days of the receipt of the written response from the firm
or the meeting with the decision maker, whichever is later.
(vi) The firm's application for certification is stayed pending the outcome of this process.
(vii) A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under
s§26.89 of this part.
(e) As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you
have made a timely request for it, you may hold action required by paragraphs (d)(2) through (4) of this section in
abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the
date on which you received from an applicant firm all the information required by paragraph (c) of this section,
notify the firm in writing of the delay in the process and the reason for it.
(f) (1) As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other
State in which the firm is certified, through the procedures of paragraph (d)(4) of this section, or decertify a firm,
in whole or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOCR's)
Ineligibility Determination Online Database. You must enter the following information:
(i) The name of the firm;
(ii) The name(s) of the firm's owner(s);
(iii) The type and date of the action;
(iv) The reason for the action.
(2) As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm
that is applying to you for certification or that you have already certified is on the list.
(3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP
that made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting
UCP within 7 days of receiving the request. As the UCP receiving the decision, you must then consider the
information in the decision in determining what, if any, action to take with respect to the certified DBE firm or
applicant.
(g) You must implement the requirements of this section beginning January 1, 2012.
[76 FR 5100, Jan. 28, 2011)
§ 26.86 What rules govern recipients' denials of initial requests for certification?
(a) When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must
provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the
record that supports each reason for the denial. All documents and other information on which the denial is
based must be made available to the applicant, on request.
(b) When you deny DBE certification to a firm certified by the SBA, you must notify the SBA in writing. The
notification must include the reason for denial.
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(c) When a firm is denied certification, you must establish a time period of no more than twelve months that must
elapse before the firm may reapply to the recipient for certification. You may provide, in your DBE program,
subject to approval by the concerned operating administration, a shorter waiting period for reapplication. The
time period for reapplication begins to run on the date the explanation required by paragraph (a) of this section is
received by the firm.
(d) When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial
to the Department under §26.89.
[64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003]
§ 26.87 What procedures does a recipient use to remove a DBE's eligibility?
(a) Ineligibility complaints. (1) Any person may file with you a written complaint alleging that a currently-certified firm
is ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general
allegation that a firm is ineligible or an anonymous complaint. The complaint may include any information or
arguments supporting the complainant's assertion that the firm is ineligible and should not continue to be
certified. Confidentiality of complainants' identities must be protected as provided in §26.1 09(b ).
(2) You must review your records concerning the firm, any material provided by the firm and the complainant,
and other available information. You may request additional information from the firm or conduct any other
investigation that you deem necessary.
(3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible,
you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the
reasons for the proposed determination. If you determine that such reasonable cause does not exist, you
must notify the complainant and the firm in writing of this determination and the reasons for it. All statements
of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the
record on which each reason is based.
(b) Recipient-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other
information that comes to your attention, you determine that there is reasonable cause to believe that a currently
certified firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible,
setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable
cause must specifically reference the evidence in the record on which each reason is based.
(c) DOT directive to initiate proceeding. (1) If the concerned operating administration determines that information in
your certification records, or other information available to the concerned operating administration, provides
reasonable cause to believe that a firm you certified does not meet the eligibility criteria of this part, the
concerned operating administration may direct you to initiate a proceeding to remove the firm's certification.
(2) The concerned operating administration must provide you and the firm a notice setting forth the reasons for
the directive, including any relevant documentation or other information.
(3) You must immediately commence and prosecute a proceeding to remove eligibility as provided by
paragraph (b) of this section.
(d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph
(a), (b), or (c) of this section, you must give the firm an opportunity for an informal hearing, at which the firm may
respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments
concerning why it should remain certified.
(1) In such a proceeding, you bear the burden of proving, by a preponderance of the evidence, that the firm
does not meet the certification standards of this part.
(2) You must maintain a complete record of the hearing, by any means acceptable under state law for the
retention of a verbatim record of an administrative hearing. If there is an appeal to DOT under §26.89, you
must provide a transcript of the hearing to DOT and, on request. to the firm. You must retain the original
record of the hearing. You may charge the firm only for the cost of copying the record.
(3) The firm may elect to present information and arguments in writing, without going to a hearing. In such a
situation, you bear the same burden of proving, by a preponderance of the evidence, that the firm does not
meet the certification standards, as you would during a hearing.
(e) Separation of functions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made
by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to
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remove the firm's eligibility and are not subject, with respect to the matter, to direction from the office or
personnel who did take part in these actions.
(1) Your method of implementing this requirement must be made part of your DBE program.
(2) The decision maker must be an individual who is knowledgeable about the certification requirements of your
DBE program and this part.
(3) Before a UCP is operational in its state, a small airport or small transit authority (i.e., an airport or transit
authority serving an area with less than 250,000 population) is required to meet this requirement only to the
extent feasible.
(f) Grounds for decision. You must not base a decision to remove eligibility on a reinterpretation or changed opinion
of information available to the recipient at the time of its certification of the firm. You may base such a decision
only on one or more of the following:
(1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm
unable to meet the eligibility standards of this part;
(2) Information or evidence not available to you at the time the firm was certified;
(3) Information that was concealed or misrepresented by the firm in previous certification actions by a recipient;
(4) A change in the certification standards or requirements of the Department since you certified the firm; or
(5) A documented finding that your determination to certify the firm was factually erroneous.
(g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the
reasons for it, including specific references to the evidence in the record that supports each reason for the
decision. The notice must inform the firm of the consequences of your decision and of the availability of an
appeal to the Department of Transportation under §26.89. You must send copies of the notice to the complainant
in an ineligibility complaint or the concerned operating administration that had directed you to initiate the
proceeding.
(h) [Reserved]
(i) Status affirm during proceeding. (1) A firm remains an eligible DBE during the pendency of your proceeding to
remove its eligibility.
(2) The firm does not become ineligible until the issuance of the notice provided for in paragraph (g) of this
section.
U) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action:
(1) When a prime contractor has made a commitment to using the ineligible firm, or you have made a
commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before
you issue the decertification notice provided for in paragraph (g) of this section, the ineligible firm does not
count toward the contract goal or overall goal. You must direct the prime contractor to meet the contract goal
with an eligible DBE firm or demonstrate to you that it has made a good faith effort to do so.
(2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its
ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive
credit toward its DBE goal for the firm's work. In this case, or in a case where you have let a prime contract
to the DBE that was later ruled ineligible, the portion of the ineligible firm's performance of the contract
remaining after you issued the notice of its ineligibility shall not count toward your overall goal, but may
count toward the contract goal.
(3) Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the
performance of the contract, you may continue to count its participation on that contract toward overall and
contract goals.
(k) Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section,
the firm may appeal the removal to the Department under §26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011)
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§ 26.89 What is the process for certification appeals to the Department of Transportation?
(a) (1) If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA-
certified firms applying pursuant to the DOT/SBA MOU, you may make an administrative appeal to the
Department.
(2) If you are a complainant in an ineligibility complaint to a recipient (including the concerned operating
administration in the circumstances provided in §26.87(c)). you may appeal to the Department if the
recipient does not find reasonable cause to propose removing the firm's eligibility or, following a removal of
eligibility proceeding, determines that the firm is eligible.
(3) Send appeals to the following address: Department ofTransportation, Office of Civil Rights, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
(b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does
not stay the effect of the recipient's decision while it is considering an appeal.
(c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's
final decision, including information and arguments concerning why the recipient's decision should be reversed.
The Department may accept an appeal filed later than 90 days after the date of the decision if the Department
determines that there was good cause for the late filing of the appeal.
(1) If you are an appellant who is a firm which has been denied certification, whose certification has been
removed, whose owner is determined not to be a member of a designated disadvantaged group, or
concerning whose owner the presumption of disadvantage has been rebutted, your letter must state the
name and address of any other recipient which currently certifies the firm, which has rejected an application
for certification from the firm or removed the firm's eligibility within one year prior to the date of the appeal, or
before which an application for certification or a removal of eligibility is pending. Failure to provide this
information may be deemed a failure to cooperate under §26.109(c).
(2) If you are an appellant other than one described in paragraph (c)(1) of this section, the Department will
request, and the firm whose certification has been questioned shall promptly provide, the information called
for in paragraph (c)(1) of this section. Failure to provide this information may be deemed a failure to
cooperate under §26.1 09( c).
(d) When it receives an appeal, the Department requests a copy of the recipient's complete administrative record in
the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript,
within 20 days of the Department's request. The Department may extend this time period on the basis of a
recipient's showing of good cause. To facilitate the Department's review of a recipient's decision, you must
ensure that such administrative records are well organized, indexed, and paginated. Records that do not comport
with these requirements are not acceptable and will be returned to you to be corrected immediately. If an appeal
is brought concerning one recipient's certification decision concerning a firm, and that recipient relied on the
decision and/or administrative record of another recipient, this requirement applies to both recipients involved.
(e) The Department makes its decision based solely on the entire administrative record. The Department does not
make a de novo review of the matter and does not conduct a hearing. The Department may supplement the
administrative record by adding relevant information made available by the DOT Office of Inspector General;
Federal, state, or local law enforcement authorities; officials of a DOT operating administration or other
appropriate DOT office; a recipient; or a firm or other private party.
(f) As a recipient, when you provide supplementary information to the Department, you shall also make this
information available to the ftrm and any third-party complainant involved, consistent with Federal or applicable
state laws concerning freedom of information and privacy. The Department makes available, on request by the
firm and any third-party complainant involved, any supplementary information it receives from any source.
(1) The Department affirms your decision unless it determines, based on the entire administrative record, that
your decision is unsupported by substantial evidence or inconsistent with the substantive or procedural
provisions of this part concerning certification.
(2) If the Department determines, after reviewing the entire administrative record, that your decision was
unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part
concerning certification, the Department reverses your decision and directs you to certify the firm or remove
its eligibility, as appropriate You must take the action directed by the Department's decision immediately
upon receiving written notice of it.
(3) The Department is not required to reverse your decision if the Department determines that a procedural
error did not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the
appellant to present its case.
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(4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact
on the outcome of the case, the Department may remand the record to you with instructions seeking
clarification or augmentation of the record before making a finding. The Department may also remand a
case to you for further proceedings consistent with Department instructions concerning the proper
application of the provisions of this part.
(5) The Department does not uphold your decision based on grounds not specified in your decision.
(6) The Department's decision is based on the status and circumstances of the firm as of the date of the
decision being appealed.
(7) The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility
complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision
has been involved in the proceeding (see paragraph (d) of this section). The Department will also notify the
SBA in writing when DOT takes an action on an appeal that results in or confirms a loss of eligibility to any
SBA-certified firm. The notice includes the reasons for the Department's decision, including specific
references to the evidence in the record that supports each reason for the decision.
(8) The Department's policy is to make its decision within 180 days of receiving the complete administrative
record. If the Department does not make its decision within this period, the Department provides written
notice to concerned parties, including a statement of the reason for the delay and a date by which the
appeal decision will be made.
(g) All decisions under this section are administratively final, and are not subject to petitions for reconsideration.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556, June 16, 2003; 73 FR 33329,
June 12, 2008)
§ 26.91 What actions do recipients take following DOT certification appeal decisions?
(a) If you are the recipient from whose action an appeal under §26.89 is taken, the decision is binding. It is not
binding on other recipients.
(b) If you are a recipient to which a DOT determination under §26.89 is applicable, you must take the following
action:
(1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on
receipt of the determination, without further proceedings on your part. Effective on the date of your receipt of
the Department's determination, the consequences of a removal of eligibility set forth in §26.87(i) take effect.
(2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's
eligibility, you must expeditiously commence a proceeding to determine whether the firm's eligibility should
be removed, as provided in §26.87.
(3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm,
you must certify the firm, effective on the date of your receipt of the written notice of Department's
determination.
( 4) If the Department determines that you erroneously determined that the presumption of social and economic
disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action
as determined by the Department.
(5) If the Department affirms your determination, no further action is necessary.
(c) Where DOT has upheld your denial of certification to or removal of eligibility from a firm, or directed the removal
of a firm's eligibility, other recipients with whom the firm is certified may commence a proceeding to remove the
firm's eligibility under §26.87. Such recipients must not remove the firm's eligibility absent such a proceeding.
Where DOT has reversed your denial of certification to or removal of eligibility from a firm, other recipients must
take the DOT action into account in any certification action involving the firm. However, other recipients are not
required to certify the firm based on the DOT decision.
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Subpart F-Compliance and Enforcement
§ 26.101 What compliance procedures apply to recipients?
(a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under
§26.1 03 or §26. 105 or appropriate program sanctions by the concerned operating administration, such as the
suspension or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies
are remedied. Program sanctions may include, in the case of the FHWA program, actions provided for under 23
CFR 1.36; in the case of the FAA program, actions consistent with 49 U.S.C. 471 06(d), 47111 (d), and 47122;
and in the case of the FTA program, any actions permitted under 49 U.S.C. chapter 53 or applicable FTA
program requirements.
(b) As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any
requirement of this part because you have been prevented from complying because a Federal court has issued a
final order in which the court found that the requirement is unconstitutional.
§ 26.103 What enforcement actions apply in FHWA and FTA programs?
The provisions of this section apply to enforcement actions under FHWA and FTA programs:
(a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations
under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If
you want to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the
date on which you learned of a continuing course of conduct in violation of this part. In response to your written
request, the Office of Civil Rights may extend the time for filing in the interest of justice, specifying in writing the
reason for so doing. The Office of Civil Rights may protect the confidentiality of your identity as provided in
§26.1 09(b ). Complaints under this part are limited to allegations of violation of the provisions of this part.
(b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this
part at any time, including reviews of paperwork and on-site reviews, as appropriate. The Office of Civil Rights
may direct the operating administration to initiate a compliance review based on complaints received.
(c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance
review, that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends
you, return receipt requested, a written notice advising you that there is reasonable cause to find you in
noncompliance. The notice states the reasons for this finding and directs you to reply within 30 days concerning
whether you wish to begin conciliation.
(d) Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30,
but not more than 120, days from the date of your request. The appropriate DOT office may extend the
conciliation period for up to 30 days for good cause, consistent with applicable statutes.
(2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed
and you are regarded as being in compliance. The conciliation agreement sets forth the measures you have
taken or will take to ensure compliance. While a conciliation agreement is in effect, you remain eligible for
FHWA or FTA financial assistance.
(3) The concerned operating administration shall monitor your implementation of the conciliation agreement and
ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are
in noncompliance.
(4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in
paragraph (d)(1) of this section, then enforcement proceedings begin.
(e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart.
(2) Applicable findings in enforcement proceedings are binding on all DOT offices.
§ 26.105 What enforcement actions apply in FAA programs?
(a) Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance
is enforced through the procedures ofTitle 49 of the United States Code, including 49 U.S. C. 47106(d),
47111 (d), and 47122, and regulations implementing them.
(b) The provisions of §26.1 03(b) and this section apply to enforcement actions in FAA programs.
(c) Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR
part 16 with the Federal Aviation Administration Office of Chief Counsel.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.107 What enforcement actions apply to firms participating in the DBE program?
(a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate
in a DOT-assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations
or under circumstances indicating a serious lack of business integrity or honesty, the Department may initiate
suspension or debarment proceedings against you under 2 CFR parts 180 and 1200.
(b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts
to use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances
indicating a serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of
subpart D of this part, the Department may initiate suspension or debarment proceedings against you under 2
CFR parts 180 and 1200.
(c) In a suspension or debarment proceeding brought under paragraph (a} or (b) of this section, the concerned
operating administration may consider the fact that a purported DBE has been certified by a recipient. Such
certification does not preclude the Department from determining that the purported DBE, or another firm that has
used or attempted to use it to meet DBE goals, should be suspended or debarred.
(d) The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies,
against any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31.
(e) The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other
applicable provisions of law, any person who makes a false or fraudulent statement in connection with
participation of a DBE in any DOT-assisted program or otherwise violates applicable Federal statutes.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5101, Jan. 28, 2011)
§ 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation
or retaliation?
(a) Availability of records. (1) In responding to requests for information concerning any aspect of the DBE program,
the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552
and 552a). The Department may make available to the public any information concerning the DBE program
release of which is not prohibited by Federal law.
(2) Notwithstanding any provision of Federal or state law, you must not release any information that may
reasonably be construed as confidential business information to any third party without the written consent
of the firm that submitted the information. This includes applications for DBE certification and supporting
information. However, you must transmit this information to DOT in any certification appeal proceeding
under §26.89 of this part or to any other state to which the individual's firm has applied for certification under
§26.85 of this part.
(b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a) of this section,
the identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the
investigation, proceeding or hearing, or result in a denial of appropriate administrative due process to other
parties, the complainant must be advised for the purpose of waiving the privilege. Complainants are advised that,
in some circumstances, failure to waive the privilege may result in the closure of the investigation or dismissal of
the proceeding or hearing. FAA follows the procedures of 14 CFR part 16 with respect to confidentiality of
information in complaints.
(c) Cooperation. All participants in the Department's DBE program (including, but not limited to, recipients, DBE
firms and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet
contract goals) are required to cooperate fully and promptly with DOT and recipient compliance reviews,
certification reviews, investigations, and other requests for information. Failure to do so shall be a ground for
appropriate action against the party involved (e.g., with respect to recipients, a finding of noncompliance; with
respect to DBE firms, denial of certification or removal of eligibility and/or suspension and debarment; with
respect to a complainant or appellant, dismissal of the complaint or appeal; with respect to a contractor which
uses DBE firms to meet goals, findings of non-responsibility for future contracts and/or suspension and
debarment).
(d) Intimidation and retaliation. if you are a recipient, contractor, or any other participant in the program, you must
not intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with
any right or privilege secured by this part or because the individual or firm has made a complaint, testified,
assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. If you violate
this prohibition, you are in noncompliance with this part.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011]
Appendix A to Part 26-Guidance Concerning Good Faith Efforts
I. When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order to be
responsible and/or responsive, make good faith efforts to meet the goal. The bidder can meet this requirement in
either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms
sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith
efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE
goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, could
reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful.
II. In any situation in which you have established a contract goal, part 26 requires you to use the good faith efforts
mechanism of this part. As a recipient, it is up to you to make a fair and reasonable judgment whether a bidder
that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality,
quantity, and intensity of the different kinds of efforts that the bidder has made. The efforts employed by the
bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and
aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts
are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your
determination concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting quantitative
formulas is not required.
Ill. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e. , obtain a
specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an
adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts.
IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to
obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or
exhaustive. Other factors or types of efforts may be relevant in appropriate cases.
A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising
and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the
contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the
solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate steps
to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE
goals will be achieved. This includes, where appropriate, breaking out contract work items into economically
feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to
perform these work items with its own forces.
C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of
the contract in a timely manner to assist them in responding to a solicitation.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the
work available to DBE subcontractors and suppliers and to select those portions of the work or material
needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE
participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of
DBEs that were considered; a description of the information provided regarding the plans and
specifications for the work selected for subcontracting; and evidence as to why additional agreements
could not be reached for DBEs to perform the work.
(2) A bidder using good business judgment would consider a number of factors in negotiating with
subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as
contract goals into consideration. However, the fact that there may be some additional costs involved in
finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the contract DBE
goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform
the work of a contract with its own organization does not relieve the bidder of the responsibility to make
good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if
the price difference is excessive or unreasonable.
E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or
associations and political or social affiliations (for example union vs. non-union employee status) are not
legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the project
goal.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the
recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services.
H. Effectively using the services of available minority/women community organizations; minority/women
contractors' groups; local, state, and Federal minority/women business assistance offices; and other
organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of
DBEs.
V. In determining whether a bidder has made good faith efforts, you may take into account the performance of other
bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the contract
goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts, the
apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but
meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction
with other factors, as evidence of the apparent successful bidder having made good faith efforts.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix 8 to Part 26-Uniform Report of DBE Awards or Commitments and Payments Form
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003]
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86
00 '-I 2. AlP Numbers (FAA Recipients Only): Hispanic American (dollars) Native American tnumber) Subcont. Asian American (dollars} Asian· Pacific American , Signature-ol A~.<!hcrl;z.ed Conscious {number) Non· Minority Women Other {I.e., not o1 any other group listed here) Neutral lnumtw) reporting period only) dollars to DBEs Year-End TOTALS Participation
INSfiHTTIOI"S FOR CO;VIPLETING THE UNIFORM REPORT OJ<' OBE AWARDS OR Clf\1\11 1'\·lENTS ANO
PAYMENTS
l, Indicate the DOT Oper:>ting Administwtion (Oo<\) that prnvide:'
vour F.:.:dC'n:l tlnancia.l asst_stance, If asststancc com-e'$ tfom rnorc
i.han on~..· OA~ usc s~paratc reporting forms f~.._tr c:~~L~h OA. lf y~)u are an
FTA recipient inJ.i..:atc j'our Vendor Nurnbcr in the SJXl(~t; pr"-widecL
:;_ If you arc a11 FAA recipient, mdicate the relevant AlP Numbet,;
covered by this rcporL If more than six, attach a separate sheet
3, Spcctfy the f<.,dcra! fiscal year (i.e .. October l
which the covered reporting period falls.
September 30) in
5, Check the appropriate box that indicates the reporting pcri,)d
that the dma provided in this report covers. ff this report is du.:
June L dat;1 should cover O~tobcr 1 March 3 l. lf this report is
due December L data should cover April l " September 30 If this
report is dnc to the FAA, data should cover the entire year.
6. Name of the recipient.
7, State your annual DBE goa!(s) established for the Federal f1scnl
year of this report to be submitted to and approved by the relevant
OA. Your Ovemll Goal is to be reported as well as the breakdown
for specitic Race Conscious and Race Neutral Goals (both of which
indul.le gender-conscious/neutral goals). The Race Conscious Goal
portion should be based on programs that focus on ami pr<>Yide
benefits only for DBE-~ ·nu: me of contract goals is a primary
example of a Race Conscious measure, The Race Neutral Goa I
portion should indudc f.>tog,rarns that, while benefiting DBE<, arc
not solely focused on DBE firms. For example, a sm<~ H bnsi ness
outr>i:'adt program, technical ::.tSSlStance~ and prompt payt~tent
clauses can a~slst a "''ide 'ld.1rlcty of bu~lnessc;; in ~tddltion to
helping DB!' ttrms.
8-9. The <~mounts in items R(A)·'i(l) should include aH types of
prime contracts awarded and all types of subcontrads awcuded or
conHlliltetL tnciuding: prnft~ssional or con:\ult.ant st"f'".ti('C$,
construction. purchase C1 f m.atetials or supplies. lease or purchase t1f
equipmenr and <my other types of services. :\!! dollar amounts arc
to rdlcet unly the Federal sham of such contracts, and shuuld be
rounded to the nearest dollar.
8(A), Ptovide the to\31 dolhr aroolmt for ali prime contracts
as$i5tcd with DOT fnnds that were awarded during this reporting
period.
g(B). Provide the tOtal number of all prime contracts asst,l<:d with
DOT funds tlwt were awarded during this reporting period.
S(C), From the total d(>llor amount awarded in it.:m 8(.-\)_ provid<.:
the doJ!u amount awarded to certified DBEs during this reponing
period,
ti(D). From the total number of prime contracts awarded in item
8(B), spe-:ify the numbs;r awarded to certified DBEs during this
reponing period
S(E). From the total dollars awarded in 8(('), provide the ilii.J.l.;u:
amO\mt aw~rnlcd t<• DBEs though the use of Race Cons.::iom
melbods. Set: th~ definition of Race Conscious Goal in item 7 and
the cxpiarwtion of project types in item 8 to include in your
ca!cularion
8(F), f'rom 1!w total number <-•f prime contracts awanh:d in X( D),
specifY the I.!JJlll!ls.r aw:mied to DBEs through Race Conscious
methoJs.
88
~(G) From the total dollar amount ;nv;.nkd in item 3(C). provide
the dollar amnunt awarded to •ertiri;:d DBEs through the us,~ of
Race "<emral methods, Sc.e the ddimtion of Race Neutral Goal in
item 7 and the expianatlun of pn~je(-t types ln ittnl 8 to include.
g(H). From the total numher of prime contr;~.cts awarded in 8(D),
specify the number awarded to DBEs thwugh Race Neutral methods,
8(1l. Of all prim~ .:contracts aw::nJcd this rcpolling period, calculate
the ocrcc>ntage going to DBEs. Di"idc the uollar amount in it~m
X(C) by the dollar amount in item 81A) to derive this pen.centage.
Round percentage to the nearest tenth,
9(A)-9(1). Items 9(A)-9(l) are derived in the same way as items 1\{A)-
l>(IJ. except that these calculations should be based on subcontracts
rather than prime contracts. Unlike prime contracts. which may
only be awarded, subcontracts may be either awarded nr committed,
!O{A)-11(1). For all DBEs <rwanlt•d prime contract$ and awarded or
committed subcontracts as indicated in S(C)-(D) and 9(C)-(D), break
the data dov<'n further by total dnllar amount as well as the number
of aH contracts going to e~Jch ethnic group ~ts \VCH a-s to non"'
minority wnmetL The "Other'· category includes those DBEs who
are not rnernuers of the prc>umptively di~«dV<rtllaged groups
already listed, but who arc determined digibtc for the DBE program
on an individual basis (e.g. a Caucasian male with a disability), The
l OTALS value in lO(H) should equal the sum of tl(C) plus 9(C), and
sir.1ilarly, the TOTALS value in li(H) should equal the sum of 8(D)
plus 9(0). Column l should only he filled nul if thts report is due
on December I, as ind1cated in item 5. The values for this column
r.n: derived by adding the v:1lues rt!port~d in cohmnl H in your first
rqmrt with the values reported in this second report
12(A). Provide the \otai number of prime contracts completed
during th;s repoHi"g pcriml tlMt had Race Conscious goals. Race
Consdou~ t;untntcts arc th~"s;: with contract goals or another l{aee
Conscious measure.
l2{B). Pro\·ide the tNal dollar value of prime contracts completed
!his reporting period that had Race: Consdom goals.
12(C), Provide the total dol!nr amount <>f DHE participation on a 11
Race Conscious prime contracts completed this reporting period
that was neccssnr:y to meet the conrrn.ct t;.oaJs on th-crn This applies
only to Race Consdous prin1e contr~c:ts.
l 2(D). Provide the anua! total DBE participation in dollars on the
race <:onsdou!> prime contrJcts completed this reporting period.
12{1'1. Of all the prime contracts wmpl~w<l this reporting period,
<:akulatc th.: percentage of DBE piifticipation. Divide the actual
wu>l dollar amount in l2(D) by the tnwl dollar value provided in
l2(B) to derive thi;; percentage. Round to the nearest tenth.
13(A)-13(E), ltems l3(A)-D(E) are derived in the same manner as
items !2(A)-!2(E), except tht'SC figures should he based (>n Rncc
Ncntral prime contacts (Le, those with no race conscious measures),
14(A)-14(E). Cakul•te the totals for ca.:h column by adding the
race conscious and neutral figures provided in each row above.
15. Name of the Authorized Representative preparing this form.
i 6. Signature of the Authorized Repre>entmivc.
17. Phone number ni the Authorized RqJre>entative.
18. Fax number of the Au1herized Representative.
,. •submit your c:omplt•tt·d n:port t-o your RegtunaJ or Division Office~
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix C to Part 26-DBE Business Development Program Guidelines
The purpose of this program element is to further the development of DBEs, including but not limited to assisting
them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the
provision of training and assistance from the recipient.
(A) Each firm that participates in a recipient's business development program (BOP) program is subject to a program
term determined by the recipient. The term should consist of two stages; a developmental stage and a
transitional stage.
(B) In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria
contained in part 26.
(C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a
comprehensive business plan setting forth the participant's business targets, objectives and goals. The
participant will not be eligible for program benefits until such business plan is submitted and approved by the
recipient. The approved business plan will constitute the participant's short and long term goals and the strategy
for developmental growth to the point of economic viability in non-traditional areas of work and/or work outside
the DBE program.
(D) The business plan should contain at least the following:
(1) An analysis of market potential, competitive environment and other business analyses estimating the
program participant's prospects for profitable operation during the term of program participation and after
graduation from the program.
(2) An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting
any financial, managerial, technical, or labor conditions which could impede the participant from receiving
contracts other than those in traditional areas of DBE participation.
(3) Specific targets, objectives, and goals for the business development of the participant during the next two
years, utilizing the results of the analysis conducted pursuant to paragraphs (C) and (0)(1) of this appendix;
(4) Estimates of contract awards from the DBE program and from other sources which are needed to meet the
objectives and goals for the years covered by the business plan; and
(5) Such other information as the recipient may require.
(E) Each participant should annually review its currently approved business plan with the recipient and modify the
plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently
approved plan should be considered the applicable plan for all program purposes until the recipient approves in
writing a modified plan. The recipient should establish an anniversary date for review of the participant's business
plan and contract forecasts.
(F) Each participant should annually forecast in writing its need for contract awards for the next program year and
the succeeding program year during the review of its business plan conducted under paragraph (E) of this
appendix. Such forecast should be included in the participant's business plan. The forecast should include:
(1) The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the
business plan;
(2) The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE
participation;
(3) The types of contract opportunities being sought, based on the firm's primary line of business; and
(4) Such other information as may be requested by the recipient to aid in providing effective business
development assistance to the participant.
(G) Program participation is divided into two stages; (1) a developmental stage and (2) a transitional stage. The
developmental stage is designed to assist participants to overcome their social and economic disadvantage by
providing such assistance as may be necessary and appropriate to enable them to access relevant markets and
strengthen their financial and managerial skills. The transitional stage of program participation follows the
developmental stage and is designed to assist participants to overcome, insofar as practical, their social and
economic disadvantage and to prepare the participant for leaving the program.
(H) The length of service in the program term should not be a pre-set time frame for either the developmental or
transitional stages but should be figured on the number of years considered necessary in normal progression of
achieving the firm's established goals and objectives. The setting of such time could be factored on such items
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
as, but not limited to, the number of contracts, aggregate amount of the contract received, years in business,
growth potential, etc.
(I) Beginning in the first year of the transitional stage of program participation, each participant should annually
submit for inclusion in its business plan a transition management plan outlining specific steps to promote
profitable business operations in areas other than traditional areas of DBE participation after graduation from the
program. The transition management plan should be submitted to the recipient at the same time other
modifications are submitted pursuant to the annual review under paragraph (E) of this section. The plan should
set forth the same information as required under paragraph (F) of steps the participant will take to continue its
business development after the expiration of its program term.
(J) When a participant is recognized as successfully completing the program by substantially achieving the targets,
objectives and goals set forth in its program term, and has demonstrated the ability to compete in the
marketplace, its further participation within the program may be detenmined by the recipient.
(K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the
following factors, among others, should be considered by the recipient:
( 1) Profitability;
(2) Sales, including improved ratio of non-traditional contracts to traditional-type contracts;
(3) Net worth, financial ratios, working capital, capitalization, access to credit and capital;
(4) Ability to obtain bonding;
(5) A positive comparison of the DBE's business and financial profile with profiles of non-DBE businesses in the
same area or similar business category; and
(6) Good management capacity and capability.
(L) Upon determination by the recipient that the participant should be graduated from the developmental program,
the recipient should notify the participant in writing of its intent to graduate the finm in a letter of notification. The
letter of notification should set forth findings, based on the facts, for every material issue relating to the basis of
the program graduation with specific reasons for each finding. The letter of notification should also provide the
participant 45 days from the date of service of the letter to submit in writing information that would explain why
the proposed basis of graduation is not warranted.
(M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's
program term for good cause due to the failure of the firm to engage in business practices that will promote its
competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of
inadequate performance or unjustified delinquent performance. Also, the recipient can discontinue the
participation of a firm that does not actively pursue and bid on contracts, and a firm that, without justification,
regularly fails to respond to solicitations in the type of work it is qualified for and in the geographical areas where
it has indicated availability under its approved business plan. The recipient should take such action if over a 2-
year period a DBE firm exhibits such a pattern.
Appendix D to Part 26-Mentor-Protege Program Guidelines
(A) The purpose of this program element is to further the development of DBEs, including but not limited to assisting
them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via
the provision of training and assistance from other firms. To operate a mentor-protege program, a recipient must
obtain the approval of the concerned operating administration.
(B) (1) Any mentor-protege relationship shall be based on a written development plan, approved by the recipient,
which clearly sets forth the objectives of the parties and their respective roles, the duration of the
arrangement and the services and resources to be provided by the mentor to the protege. The formal
mentor-protege agreement may set a fee schedule to cover the direct and indirect cost for such services
rendered by the mentor for specific training and assistance to the protege through the life of the agreement.
Services provided by the mentor may be reimbursable under the FTA, FHWA, and FAA programs.
(2) To be eligible for reimbursement, the mentor's services provided and associated costs must be directly
attributable and properly allowable to specific individual contracts. The recipient may establish a line item for
the mentor to quote the portion of the fee schedule expected to be provided during the life of the contract.
The amount claimed shall be verified by the recipient and paid on an incremental basis representing the time
the protege is working on the contract. The total individual contract figures accumulated over the life of the
agreement shall not exceed the amount stipulated in the original mentor/protege agreement.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(C) DBEs involved in a mentor-protege agreement must be independent business entities which meet the
requirements for certification as defined in subpart D of this part. A protege firm must be certified before it begins
participation in a mentor-protege arrangement If the recipient chooses to recognize mentor/protege agreements,
it should establish formal general program guidelines. These guidelines must be submitted to the operating
administration for approval prior to the recipient executing an individual contractor/ subcontractor mentor-protege
agreement
Appendix E to Part 26-lndividual Determinations of Social and Economic Disadvantage
The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic
disadvantage determinations (see 13 CFR 124.103(c) and 124.104).
Social Disadvantage
I. Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural
bias within American society because of their identities as members of groups and without regard to their
individual qualities. Social disadvantage must stem from circumstances beyond their control. Evidence of
individual social disadvantage must include the following elements:
(A) At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic
origin, gender, disability, long-term residence in an environment isolated from the mainstream of American
society, or other similar causes not common to individuals who are not socially disadvantaged;
(B) Personal experiences of substantial and chronic social disadvantage in American society, not in other
countries; and
(C) Negative impact on entry into or advancement in the business world because of the disadvantage.
Recipients will consider any relevant evidence in assessing this element. In every case, however, recipients
will consider education, employment and business history, where applicable, to see if the totality of
circumstances shows disadvantage in entering into or advancing in the business world.
(1) Education. Recipients will consider such factors as denial of equal access to institutions of higher
education and vocational training, exclusion from social and professional association with students or
teachers, denial of educational honors rightfully earned, and social patterns or pressures which
discouraged the individual from pursuing a professional or business education.
(2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other
aspects of professional advancement, pay and fringe benefits, and other terms and conditions of
employment; retaliatory or discriminatory behavior by an employer or labor union; and social patterns or
pressures which have channeled the individual into non-professional or non-business fields.
(3) Business history. The recipient will consider such factors as unequal access to credit or capital,
acquisition of credit or capital under commercially unfavorable circumstances, unequal treatment in
opportunities for government contracts or other work, unequal treatment by potential customers and
business associates, and exclusion from business or professional organizations.
II. With respect to paragraph I.(A) of this appendix, the Department notes that people with disabilities have
disproportionately low incomes and high rates of unemployment Many physical and attitudinal barriers remain to
their full participation in education, employment, and business opportunities available to the general public. The
Americans with Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with
disabilities. It is plausible that many individuals with disabilities-especially persons with severe disabilities (e.g.,
significant mobility, vision, or hearing impairments)-may be socially and economically disadvantaged.
Ill. Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed
to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by
individuals with disabilities, making a case-by-case judgment about whether such an individual meets the criteria
of this appendix. As public entities subject to Title II of the ADA, recipients must also ensure their DBE programs
are accessible to individuals with disabilities. For example, physical barriers or the lack of application and
information materials in accessible formats cannot be permitted to thwart the access of potential applicants to the
certification process or other services made available to DBEs and applicants.
Economic Disadvantage
(A) General. 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 who are not socially disadvantaged.
(B) Submission of narrative and financial information.
Page 48 of 50
91
----------------------------------
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(1) Each individual claiming economic disadvantage must describe the conditions which are the basis for the
claim in a narrative statement, and must submit personal financial information.
(2) [Reserved]
(C) Factors to be considered. In considering diminished capital and credit opportunities, recipients will examine
factors relating to the personal financial condition of any individual claiming disadvantaged status, including
personal income for the past two years (including bonuses and the value of company stock given in lieu of cash),
personal net worth, and the fair market value of all assets, whether encumbered or not. Recipients will also
consider the financial condition of the applicant compared to the financial profiles of small businesses in the
same primary industry classification, or, if not available, in similar lines of business, which are not owned and
controlled by socially and economically disadvantaged individuals in evaluating the individual's access to credit
and capital. The financial profiles that recipients will compare include total assets, net sales, pre-tax profit,
sales/working capital ratio, and net worth.
(D) Transfers within two years.
(1) Except as set forth in paragraph (0)(2) of this appendix, recipients will attribute to an individual claiming
disadvantaged status any assets which that individual has transferred to an immediate family member, or to
a trust, a beneficiary of which is an immediate family member, for less than fair market value, within two
years prior to a concern's application for participation in the DBE program, unless the individual claiming
disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for
that individual's education, medical expenses, or some other form of essential support.
(2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that
individual to an immediate family member that are consistent with the customary recognition of special
occasions, such as birthdays, graduations, anniversaries, and retirements.
(3) In determining an individual's access to capital and credit, recipients may consider any assets that the
individual transferred within such two-year period described by paragraph (0)(1) of this appendix that are not
considered in evaluating the individual's assets and net worth (e.g., transfers to charities).
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 2003]
Page 49 of 50
92
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix F to Part 26-Uniform Certification Application Form
See Exhibit D: CUCP DBE C.ertification Application or www.californiaucp.org.
[68 FR 35559, June 16, 2003]
Page 50 of 50
93
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit B
DBE Program Organizational Chart
94
-------------------------------------.
Exhibit B
Riverside County Transportation Commission (RCTC}
Disadvantaged Business Enterprise (DBE} Program
Organizational Chart
For DBE Purposes:
DBE Liaison Officer Reports
Directly to Executive Director
DBE Liaison Officer Contact Information:
Mr. Matthew Wallace
Riverside County Transportation Commission (RCTC)
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
(951) 787-7908
(951) 787-7906 fax
E-Mail: mwallace@rctc.org
95
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit C
RCTC Goal Setting Methodology
96
RIVERSIDE COUNTY
TRANSPORTATION
COMMISSION (RCTC)
Overall DBE Project
Goal Methodology
for the
State Route 91 Corridor
Improvement Project
Submitted in fulfillment of:
Title 49 Code of Federal Regulations Part 26
97
RCTC
State Route 91 Corridor Improvement Project Overall DBE Project Goal Methodology
Page 2 of 11
OVERALL DBE PROJECT GOAL METHODOLOGY FOR
STATE ROUTE 91 CORRIDOR IMPROVEMENT PROJECT
I. INTRODUCTION
The State Route 91 Corridor Improvement Project (Project) is the critical link between
Riverside and Orange Counties in Southern California connecting the coastal and inland
job centers. In addition to the relief provided to Southern California's most congested
corridor, the project is critical to the local and regional economy.
In 2002, the residents of Riverside County voted for Measure A, Riverside County local
sales tax initiative, providing leverage and over 60% of the funding for the Project. An
additional 34.18% of the funding is planned to be provided by the U.S. Department of
Transportation through the Transportation Infrastructure and Innovation Act (TIFIA)
loan. As the agency responsible for the implementation of transportation projects within
Riverside County, Riverside County Transportation Commission (RCTC) is the direct
recipient of federal funds provided for the Project.
In 2010, the Governor of California signed into law AB 2098 allowing RCTC to use the
design-build project delivery method to deliver the Project. This delivery method
provides the opportunity to accelerate the creation of local jobs and the completion of
the Project by at least three years.
RCTC herein sets forth its proposed Overall DBE Project Goal and corresponding
methodology for the Project, in accordance with Title 49 CFR Part 26 requirements.
RCTC does not have demonstrable evidence on-hand of discrimination in its
transportation contracting program. Therefore, RCTC adopted a wholly race-neutral
Overall DBE Project Goal. In accordance with the federally prescribed goal setting
requirements, a race conscious component is not included for this goal. The proposed
Overall DBE Project Goal is separate and apart from RCTC's other FHWA-assisted
contracts administered in conformance with the Caltrans Local Agency DBE sub-
recipient Agreement.
The Project scope will include making significant improvements to State Route 91,
including construction of an additional general purpose lane in each direction from the
Orange County Line to Pierce Street; an extension of the tolled Express Lanes High
Occupancy Toll facility from SR-241 to Interstate 15 (including direct connectors to 1-
15); and improvement of the SR-91/SR-71 Interchange.
The Proposed Overall DBE Project Goal for the Project is 2.9% of the total project
amount. The goal is representative of the relative availability of DBEs based on
evidence of ready, willing and able DBEs with offices located within RCTC's defined
market area (Riverside County, San Bernardino County and Orange County), to all
comparable businesses which are known to be available to compete for the contracting
opportunities associated with this project. Additionally, the methodology also took into
consideration RCTC's past DBE goal attainments/commitments to the extent applicable,
Bidders List, Caltrans Disparity Study, other similar Agencies' DBE goals, and
attainments within RCTC's jurisdiction and other relevant evidence. Sections II and Ill
98
RCTC
State Route 91 Corridor Improvement Design-Build Project Overall DBE Project Goal Methodology
Page 3 of 11
delineate the methodology undertaken to establish the proposed Overall DBE Project
Goal for this wholly race-neutral program.
The selected Design-Builder will be required, to develop a performance plan, to identify
the approach used to utilize DBE firms and other small businesses to the greatest
extent possible.
II. FHWA-ASSISTED CONTRACTING PROGRAM: SR-91 CORRIDOR
IMPROVEMENT DESIGN-BUILD PROJECT
Chart 1 identifies the Project's anticipated federal dollar share 1 considered in preparing
this proposed Overall DBE Project Goal.
CHART 1
Total Estimated Project Cost
Table 1 provides a summary of the categories of work with estimated cost breakdown
for each. This Design-Build Project is grouped by categories of work utilizing
comparable North American Industry Classification System (NAICS) codes for purposes
of weighting the categories of work based on the engineer's estimate.
1 1n the event the percentage of the federal funding changes from the projected amount of 34.18 for this
project, the goal will be subject to further modification.
99
RCTC
State Route 91 Corridor Improvement Project Overall DBE Project Goal Methodology
Page 4 of 11
TABLE 1
237130 and Communication Line and Related 22,900,000 ctures Construction
237310 541 ,341,000
237990 39,086,000
238120 I Steel and Precast Concrete 7,400,000
238210 ectrical Contractors and Other Wiring 15,141,000 nstallation Contractors
238910 Preparation Contractors 40,128,400
238990 I Other Specialty Trade Contractors 985,000
484110 neral Freight Trucking, Local 1,621,600
541320 Architectural Services 3,020,000
541330 59,800,000
541370 urveying and Mapping (except Geophysical) 4,700,000
541380 ng Laboratories 1,553,250
541614 s, Physical Distribution, and Logistics 32,514,000 onsulting Services
541620 mental Consulting Services 8,801,750
561730 17,600,000
6,347,000
$804,084,000
2.85%
67.32%
4.86%
0.92%
1.88%
4.99%
0.12%
0.20%
0.38%
7.44%
0.58%
0.19%
4.04%
1.09%
2.19%
0.79%
100%
Ill. PROPOSED OVERALL DBE PROJECT GOAL -METHODOLOGY
Step 1: Determination of a Base Figure (26.45/
To establish the Base Figure for this Project, RCTC followed one of the five prescribed
federal methodologies to determine relative availability of DBEs to all comparable firms
available to bid or propose on the Project. This was accomplished by accessing the
California Unified Certification Program (CUCP) DBE Directory of Certified Firms
2 26.45 represents Title 49 CFR Part 26 regulatory goal setting methodology reference.
100
RCTC
State Route 91 Corridor Improvement Design-Build Project Overall DBE Project Goal Methodology
Page 5 of 11
and the 2009 U.S. Census Bureau County Business Patterns (CBP) Database by
corresponding counties within RCTC's market area (defined as Riverside County, San
Bernardino County, and Orange County) for each of the identified subcontracting
possibilities compiled by North American Industry Classification System (NAICS)
Codes. RCTC's defined market area represents where the Project will be built and
where the substantial majority of RCTC's funding dollars are intended to be expended.
Additionally, the established market area has historically been utilized in other RCTCs
goal-setting analysis. 3
RCTC made a concerted effort to ensure that the type of businesses included in the
numerator was as close as possible to the types of businesses included in the
denominator. For corresponding detail of all work category classifications grouped, refer
to Attachments I and II.
¢ For the numerator:
¢ For the denominator:
CUCP Directory of Certified DBE Firms*
2009 U.S. Census Bureau CBP Database of Firms*
*located in RCTC's market area
To determine the relative availability of DBEs, RCTC divided the numerator
representing the number of ready, willing and able DBE firms by NAICS that are
located within RCTC's defined market area, by the denominator representing all firms
(DBEs and Non-DBEs) available within the defined market area by each work category.
RCTC further refined its analysis by weighting each individual work category (from
Table 1 above) relative to the engineer's estimate and corresponding federal dollar
share of the major work category codes.
The proposed Overall DBE Project Goal Base Figure resulting from this weighted
calculation is as follows:
[
Number of Ready, Willing, and Able DBEs Weight of J
Number of All Available Firms X NAICS% x 100 =
(Including DBEs and Non-DBEs)
98
179
99
105
PROPOSED OVERALL DBE
PROJECT GOAL BASE FIGURE
0 0.0285 0.00%
18 0.6732 6.77%
11 0.0486 0.54%
12 0.0092 0.11%
3 RCTC has utilized the same market area for the RCTC DBE Overall Annual goal submittal to Caltrans
for FY 2009/10.
101
RCTC
State Route 91 Corridor Improvement Project Overall DBE Project Goal Methodology
Page 6 of 11
Contractors and Other
Installation Contractors 1658 31 0.0188 0.04%
578 20 0.0499 0.17%
794 20 0.0012 0.00%
I Freight Trucking, Local 583 18 0.0020 0.01%
195 5 0.0038 0.01%
neering Services 1596 64 0.0744 0.30%
ing and Mapping (except 120 10 0.0058 0.05% Services
179 3 0.0019 0.00%
170 7 0.0404 0.17%
221 39 0.0109 0.19%
1498 5 0.0219 0.01%
0.08%
8.44%
2.9%
STEP 2: Adjusting the Base Figure
Upon establishing the Base Figure, RCTC reviewed and assessed other known
evidence potentially impacting the relative availability of DBEs within RCTC's market
area, in accordance with prescribed narrow tailoring provisions set forth under 49 CFR,
Part 26.45 Step II DBE Goal Adjustment guidelines.
Evidence considered in making an adjustment to the Base Figure included RCTC's Past
DBE Goal Attainments/Commitments as applicable, RCTC's Bidders List, Caltrans
Disparity Study, Other Agencies' DBE Goals and Attainments within Riverside County
Transportation Commission's jurisdiction and Other Relevant Evidence. A summary of
these considerations follows:
A. Past RCTC DBE Goal Attainments/Commitments
While historical DBE goal attainments provide a viable means of determining DBEs
availability to bid and capacity to perform on DOT-assisted contracts, based on prior
RCTC contracts of similar types of work, DBEs have shown the capacity to work at
this level. Table 3 below serves to identify DBE commitments and/or attainments of
federal-assisted contracts let and awarded by RCTC from 2007 to present:
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RCTC
State Route 91 Corridor Improvement Design-Build Project Overall DBE Project Goal Methodology
Page 7 of 11
TABLE 3
0%
$22,700,000 10.5% 8.5% 8.5%
Not available
$13,400,000 5.6% 4.18% (Project in
$185,955,000 12.0% %Not yet Not available available
R-91/SR-71 Interchange $11,700,000 3.79% %Not yet Not available available
As RCTC does not have comparable projects of similar size and scope to the
Project, no adjustment to the Base Figure resulted from this consideration.
B. Riverside County Transportation Commission's Bidders List
The Bidders List serves as important demonstrable evidence of DBEs availability
and capacity to perform, however, RCTC's available Bidders List(s) is limited to On-
Call Maintenance Repair Services, and is not representative of all Bidders/Firms
available and capable of performing work under the defined work categories for this
project. Therefore, no adjustment to the Base Figure was made in consideration of
this factor.
C. Evidence from Disparity Studies
RCTC's market area is different than the market area considered in the State of
California Department of Transportation (Caltrans) Disparity Study. Therefore, the
results of the disparity study are not applicable to this project. In lieu of this and the
fact that RCTC lacks sufficient evidence of discrimination in our transportation
contracting program, RCTC is adopting a race neutral program.
D. Other Agencies DBE Project Goals
RCTC surveyed other DOT -recipients design-build and other construction projects
within RCTC's market area, to assess their DBE goals toward making an adjustment
to the Step I Base Figure. Agencies included in the survey were the Orange County
Transportation Authority and San Bernardino Associated Governments. The
calculated average contract-specific DBE goal amounted to 8.54%, which was found
to be in alignment with RCTC's Base Figure of 8.44%. Therefore, no further
adjustment to the Base Figure was recommended to be taken.
103
RCTC
State Route 91 Corridor Improvement Project Overall DBE Project Goal Methodology
Page 8 of 11
1-215 Widening (4 Phases) $800,000,000 $244,325,327
San Bernardino
Associated SR-21 0: Foothill Freeway $714,000,000 $96,900,000 Governments
1-Avenue $34,000,000 $1,600,000 Rialto
Orange County SR-22 HOV Lane-Design Transportation $550,000,000 $306,000,000
Auth Build Project
E. Other Evidence
1.37%
14%
6.79%
12%
RCTC has not received any anecdotal evidence nor is aware of any other factors or
adverse considerations that would have a material affect on DBEs availability within
RCTC's market place, or on DBEs ability to participate (meeting bonding, insurance
and financial requirements) in RCTC's Project at this time. However, the public
facilitation process may result in the identification of evidence that may have a
material effect on the proposed DBE goal's Base Figure which would require an
adjustment. Prior to finalizing this goal-setting process and establishing the Overall
DBE Project Goal this factor will once again be considered if new evidence is
identified. RCTC will continue to explore and consider all available evidence that
materially would affect the opportunities for DBEs to form, grow, and compete in
developing this and future Overall DBE Project goals, as applicable.
RACE-NEUTRAURACE-CONSCIOUS PROJECTIONS
RCTC's market area is different than the market area considered in the State of
California Department of Transportation (Caltrans) Disparity Study. Therefore,
RCTC is adopting a race neutral program. RCTC projects to meet the overall DBE
project goal through race neutral means.
IV. GOAL APPLICATION
The projected federal dollar share of this project is $274,835,911 (34.18% of the overall
project cost). In accordance with Section 26.45(e), the Proposed Overall DBE Project
Goal is expressed as a percent of FHWA funds anticipated to be expended on the
Project, as follows:
Total Estimated Project Value $804,084,000
Estimated Federal Dollar Value $27 4,835,911 (34.18%)
Step 1 Base Figure Based on Federal Share 8.44% X 34.18% = 2.9%
The information RCTC reviewed in Step 2 does not merit an adjustment, therefore we
propose an overall DBE project goal of 2.9%.
104
RCTC
State Route 91 Corridor Improvement Design-Build Project Overall DBE Project Goal Methodology
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The proposed Overall DBE Project Goal based on the federal share is a Race Neutral
goal for RCTC and the Design-Builder (the prime contractor on the Design-Build
Project). RCTC and the Design-Builder will implement race neutral measures to achieve
this goal, as generally described in the following section. Additionally RCTC will require
the Design-Builder to develop a performance plan that will specify their approach to
implementing these race neutral measures. The performance plan will also require the
Design-Builder to specify elements of the contract or specific subcontracts that are of a
size that small businesses, including DBEs, can reasonably perform.
V. RACE-NEUTRAL IMPLEMENTATION MEASURES
In accordance with Title 49 CFR Part 26.51, RCTC understands its obligation to ensure
that the selected Design-Builder meets the maximum feasible portion of the Proposed
Overall DBE Project Goal by utilizing race-neutral means of facilitating DBE
participation. RCTC plans to require full implementation of the following race-neutral
measures in conjunction with others necessary to meet DOT's DBE program objectives
and RCTC's Overall DBE Project goal for the Project, including but not limited to:
'Y RCTC has considered the full complement of race-neutral measures identified in
49 CFR part 26. Based on the PROJECT circumstances, RCTC plans to
implement the following race-neutral activities aimed at increasing DBE and other
small business participation in the PROJECT.
'Y RCTC will structure and present the PROJECT solicitation and schedules in
ways that facilitate DBE and other small business participation with prospective
Design-Builders. RCTC will also facilitate Small Business conferences for the
PROJECT, which includes a networking component to promote teaming
opportunities between prospective Design-Builders and the DBE and Small
Business contracting community.
'Y RCTC will require the Design-Builder to provide assistance to Small Business
including DBEs in overcoming limitations such as inability to obtain bonding or
financing RCTC will additionally refer the DBE and Small Business contracting
community to the SBA Bonding Assistance Program.
'Y RCTC will carry out a communications effort to inform DBEs and other Small
Businesses of opportunities that may be available with the Design-Builder on the
PROJECT.
'Y As a supportive service to help develop and improve immediate and long-term
business management, record keeping, and financial and accounting capability
for DBEs and other small businesses, RCTC will actively promote Small
Business conferences, programs and supportive services currently offered by
peer agencies which have mature DBE and Small Business Programs and are
seeking increased DBE and Small Business participation in their programs.
105
RCTC
State Route 91 Corridor Improvement Project Overall DBE Project Goal Methodology
Page 10 of 11
RCTC will advise the Design-Builder and other contractors seeking to participate
on the PROJECT to the online directory of certified DBEs, found at the California
Unified Certification Program website: www.CaliforniaUCP.com
VI. PUBLIC PARTICIPATION AND FACILITATION
In accordance with Public Participation Regulatory Requirements of 49 CFR Part 26,
minority, women, local business chambers, and community organizations within RCTC's
market area will be consulted and provided an opportunity to review this goal analysis.
RCTC will prepare an Outreach Consultation Letter advising the aforementioned
business community of the DBE goal analysis and its availability for review and conduct
a public meeting to solicit public comment and input.
RCTC will also issue a Public Notice of the proposed Overall DBE Project Goal for the
Project in the Press Enterprise, a general circulation media and the following small
business and minority focused media and trade publications: Precinct Reporter Group,
The Hispanic News, Minority Business Entrepreneur Magazine, The BVN, Pacific Asian
Current, Minority Bidders Bulletin, The Thomas Bid Register, McGraw Hill Construction,
On Line Service: www.ContractorsEstimate.com, and/or www.goodfaitheffort.com.
Such Notice will inform the public that the goal and its rationale is available for
inspection at RCTC's offices (from 8:00 a.m. to 4:30 p.m., Pacific Standard Time,
Monday through Friday), for 30 days following the date of the Public Notice and that
RCTC will accept comments on the goal analysis for 45 days from the date of the Public
Notice. The Notice will also include, as required, the FHWA's point of contact
information, as follows:
FHWA Point of Contact Information for the DBE Program
• Lance Yakota, Civil Rights Program Manager,
650 Capitol Mall, Ste. 4-100, Sacramento, CA 95814-4708; FHWA California
Division: http://www.fhwa.dot.gov/cadiv/index.htm; (916) 498-5012, X-262 (Lance
Yokota)
The notice shall additionally include the address to which comments may be sent and
phone number for questions.
VII. Prompt Payment Mechanisms
RCTC will include the following clause in the Design-Build contract, which includes flow
down provisions:
PROMPT PAYMENT
Design-Builder agrees to pay each subcontractor under this contract for satisfactory
performance of its contract no later than 10 days from the receipt of each payment the
Design-Builder receives from RCTC. Any delay or postponement of payment from the
above referenced time frame may occur only for good cause following written approval
from RCTC. This clause applies to all (DBE and non-DBE) subcontractors and
subconsultants.
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RCTC
State Route 91 Corridor Improvement Design-Build Project Overall DBE Project Goal Methodology
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PROMPT PAYMENT OF FUNDS WITHHELD TO SUBCONTRACTORS
RCTC shall hold retainage from the Design-Builder and shall make prompt and regular
incremental acceptances of portions, as determined by RCTC, of the contract work, and
pay retainage to the Design-Builder based on these acceptances. The Design-Builder,
or subcontractor, shall return all monies withheld in retention from a subcontractor within
30 days after receiving payment for work satisfactorily completed and accepted
including incremental acceptances of portions of the contract work by RCTC. Federal
law (49CFR26.29) requires that any delay or postponement of payment over 30 days
may take place only for good cause and with the agency's prior written approval. Any
violation of this provision shall subject the violating Design-Builder or subcontractor to
the penalties, sanctions and other remedies specified in Section 7108.5 of the Business
and Professions Code. These requirements shall not be construed to limit or impair any
contractual, administrative, or judicial remedies otherwise available to the Design-
Builder or subcontractor in the event of a dispute involving late payment or nonpayment
by the Design-Builder, deficient subcontract performance, or noncompliance by a
subcontractor.
107
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit D
CUCP DBE Certification Application
108
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM
(CUCP)
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
CERTIFICATION APPLICATION
ucp
UNIFIED CERTIFICATION PROGRAM
To access the statewide CUCP DBE database, please log onto:
CALIFORNIAUCP.COM
(Rev 6111/20 II)
109
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Dear Business Owner:
Thank you for your interest in participating in the California Unified Certification Program
(CUCP) for Disadvantaged Business Enterprises (DBEs). As mandated by the United States
Department ofTransportation (U.S. DOT) in the DBE Program, Final Rule 49 Code of Federal
Regulations (CFR), Part 26, all U.S. DOT recipients of federal financial assistance must
participate in a statewide UCP by March 2002. The UCP is a "One-Stop Shopping" certification
procedure that eliminates the need for DBE firms to obtain certifications from multiple agencies
within the State.
The CUCP is charged with the responsibility of certifying firms and compiling and maintaining
the Database of certified DBEs for U.S. DOT grantees in California, pursuant to 49 CFR Part 26.
The Database is intended to expand the use ofDBE firms by maintaining complete and current
information on those businesses and the products and services they can provide to all grantees of
California.
Please complete the attached application and supplemental questionnaire ifyou wish to be
considered for DBE certification and your business meets the following general guidelines:
a) The firm must be at least 51% owned by one or more socially and economically
disadvantaged individuals.
b) The firm must be an independent business, and one or more ofthe socially and economically
disadvantaged owners must control its management and daily operations.
c) Only existing for-profit "Small Business Concerns," as defined by the Small Business Act
and Small Business Administration (SBA) regulations may be certified. DBE applicants are
first subject to the applicable small business size standards of the SBA. Second, the average
annual gross receipts for the firm (including its affiliates) over the previous three fiscal years
must not exceed U.S. DOT's cap of$22.41 million.
d) The Personal Net Worth (PNW) of each socially and economically disadvantaged owner
must not exceed $1.32 million, excluding the individual's ownership interest in the applicant
firm and the equity in his/her primary residence.
For firms applying for Airport Concession DBE certification: Please refer to the Airport
Concessions Disadvantaged Business Enterprise (ACDBE) Certification Application for
applicable average annual gross receipts and personal net worth dollar limitations.
(Rev 2/28/20 II)
110
Page 2
Socially and economically disadvantaged individual means any individual who is a citizen of the
United States (or lawfully admitted permanent resident) and who is a member of the following
groups: Black American, Hispanic American, Native American, Asian-Pacific American,
Subcontinent Asian American, or Women,
or
Any individual found to be socially and economically disadvantaged on a case-by-case basis by a
certifying agency pursuant to the standards of the U.S. DOT 49 CFR Part 26.
In order to avoid unnecessary delays, please complete all portions of the application and
supplemental questionnaire, placing "N/A" next to items that are not applicable. Include all
copies of documents requested on the application, and have the Affidavit of Certification
notarized. Additional documentation may be requested if it is considered necessary to make a
certification determination. Incomplete applications/supplemental questionnaires or
applications/supplemental questionnaires without all the required documents will not be
evaluated until such documents are submitted. We recommend keeping a copy of all submitted
documents for your records.
REMEMBER: It is no longer necessary to apply at more than one agency. If your firm
meets the criteria for certification, it will be entered into the Database ofDBEs for all U.S.
DOT grantees in California. Only firms currently certified as eligible DBEs may
participate in the DBE programs of U.S. DOT grantees of California. Ifyou wish to be
considered for Airport Concession DBE certification only, you will need to complete the
Airport Concession DBE Certification Application Package, which can be accessed at
www.CaliforniaUCP.com.
The CUCP has established two Regional DBE Certification Clusters throughout the State to
effectively facilitate statewide DBE certification activities. Please forward your completed
certification packet to one of the agencies serving the county where your firm has its principal
place of business. (See enclosed Roster of CertifYing Agencies.)
For Out-of-State Firms: The CUCP will not process a new application for DBE certification
from a firm having its principal place of business in another state unless the firm has already
been certified in that state. Ifyour firm is located outside of California and is certified as a DBE
in your home state, please forward your completed certification packet, along with a copy of
your DBE certificate, to the California Department of Transportation. (See page 2 of the
enclosed Roster of Certifying Agencies.)
(Rev 2/28/20 I I)
111
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM
INSTRUCTIONS FOR COMPLETING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM UNIFORM CERTIFICATION APPLICATION
NOTE: If you require additional space for any question in this application, please attach additional sheets or copies as needed,
taking care to indicate on each attached sheet/copy the section and number of this application to which it refers.
Section 1: CERTIFICATION INFORMATION
A. Prior/Other Certifications
Check the appropriate box indicating for which
program your firm is currently certified. If you are
already certified as a DBE, indicate in the appropriate
box the name of the certirying agency that has
previously certified your firm, and also indicate
whether your firm has undergone an onsite visit. If
your firm has already undergone an onsite
visit/review, indicate the most recent date of that
review and the state UCP that conducted the review.
B. Prior/Other Applications and Privileges
Indicate whether your firm or any of the persons listed
has ever withdrawn an application for a DBE program
or whether any have ever been denied certification,
decertified, debarred, suspended, or had bidding
privileges denied or restricted by ill!Y state or local
agency or Federal entity. If your answer is yes,
indicate the date of such action, identiry the name of
the agency, and explain fully the nature of the action
in the space provided.
Section 2: GENERAL INFORMATION
A. Contact Information
(I) State the name and title of the person who will
serve as your firm's primary contact under this
application.
(2) State the legal name of your firm, as indicated in
your firm's Articles oflncorporation or charter.
(3) State the primary phone number of your firm.
(4) State a secondary phone number, if any.
(5) State your firm's fax number, if any.
(6) State your firm's or your contact person's email
address.
(7) State your firm's website address, if any.
(8) State the street address of your firm (i.e. the
physical location of its offices --not a post office
box address).
(9) State the mailing address of your firm, if it is
different from your firm's street address.
B. Business Profile
(I) In the box provided, briefly describe the primary
business and professional activities in which your
firm engages.
(2) State the Federal Tax ID number of your firm as
provided on your firm's filed tax returns, if you
have one. This could also be the Social Security
number of the owner of your firm.
(3) State the date on which your firm was officially
established, as stated in your firm's Articles of
Incorporation or charter.
(4) State the date on which you and/or each other
owner took ownership of the firm.
(5) Check the appropriate box that describes the
manner in which you and each other owner
acquired ownership of your firm. If you checked
"Other," explain in the space provided.
Instructions
112
(6) Check the appropriate box that indicates whether
your firn1 is "for profit."
NOTE: If you checked "No," then you do NOT
qualify for the DBE program and therefore do not
need to complete the rest of this application. The
DBE program requires all participating firms be
for-profit enterprises.
(7) Check the appropriate box that describes the legal
form of ownership of your firm, as indicated in
your firm's Articles of Incorporation. If you
checked "Other," briefly explain in the space
provided.
(8) Check the appropriate box that indicates whether
your firm has ever existed under different
ownership, a different type of ownership, or a
different name. If you checked "Yes," speciry
which and briefly explain the circumstances in
the space provided.
(9) Indicate in the spaces provided how many
employees your firm has, specirying the number
of employees who work on a full-time and part-
time basis.
(I 0) Speciry the total gross receipts of your firm for
each of the past three years, as declared in your
firm's filed tax returns.
C. Relationships with Other Businesses
(I) Check the appropriate box that indicates whether
your firm is co-located at any of its business
locations, or whether your firm shares a
telephone number(s), a post office box, any office
space, a yard, warehouse, other facilities, any
equipment, or any office staff with any other
business, organization, or entity of any kind. If
you answered "Yes," then speciry the name of
the other firm(s) and briefly explain the nature of
the shared facilities or other items in the space
provided.
(2) Check the appropriate box that indicates whether
at present, or at any time in the past:
(a) Your firm has been a subsidiary of any other
firm;
(b) Your firm consisted of a partnership in
which one or more of the partners are other
firms;
(c) Your firm has owned any percentage of any
other firm; and
(d) Your firm has had any subsidiaries of its
own.
(3) Check the appropriate box that indicates whether
any other firm has ever had an ownership interest
in your firm.
(4) If you answered "Yes" to any of the questions in
(2)(a)-(d) or (3), identiry the name, address and
type of business for each.
D. Immediate Family Member Businesses
Check the appropriate box that indicates whether any
of your immediate family members own or manage
Page 1 of 3
another company. An ·'immediate family member·• is
any person who is your father, mother. husband. wife,
son. daughter. brother. sister. grandmother.
grandfather. grandson, granddaughter. mother-in-law,
or father-in-law. If you answered ''Yes," provide the
name of each relative, your relationship to them. the
name of the company they own or manage, the type of
business, and whether they own or manage the
company.
Section 3: OWNERSHIP
Identify all individuals or holding companies with any
ownership interest in yom· firm, providing the
information requested below (if your firm has more
than one owner, provide completed copies ofthis section
for each additional owner):
A. Background Information
(I) Give the name of the owner.
(2) State his/her title or position within your firm.
(3) Give his/her home phone number.
(4) State his/her home (street) address.
(5) Check the appropriate box that indicates this
owner's gender.
(6) Check the appropriate box that indicates this
owner's ethnicity (check all that apply). If you
checked "Other," specifY this owner's ethnic
group/identity not otherwise listed.
(7) Check the appropriate box to indicate whether
this owner is a U.S. citizen.
(8) If this owner is not a U.S. citizen, check the
appropriate box that indicates whether this owner
is a lawfully admitted permanent resident. If this
owner is neither a U.S. citizen nor a lawfully
admitted pennanent resident of the U.S., then this
owner is NOT eligible for certification as a DBE
owner. This, however, does not necessarily
disqualifY your finn altogether from the DBE
program if another owner is a U.S. citizen or
lawfully admitted permanent resident and meets
the program's other qualifYing requirements.
B. Ownership Interest
(I) State the number of years during which this
owner has been an owner of your fim1.
(2) Indicate the dollar value of this owner's initial
investment to acquire an ownership interest in
your firm, broken down by cash, real estate,
equipment, and/or other investment.
(3) State the percentage of total ownership control of
your firm that this owner possesses.
(4) State the familial relationship of this owner to
each other owner of your firm.
(5) Indicate the number, percentage of the total,
class, date acquired, and method by which this
owner acquired his/her shares of stock in your
firm.
(6) Check the appropriate box that indicates whether
this owner performs a management or
supervisory function for any other business. If
you checked "Yes," state the name of the other
business and this owner's title or function held in
that business.
Instructions
113
(7) Check the appropriate box that indicates whether
this owner owns or works for any other fim1(s)
that has llliY relationship with your firm. If you
checked '·Yes," identify the name of the other
business and this owner's title or function held in
that business. Briefly describe the nature of the
business relationship in the space provided.
C. Disadvantaged Status
NOTE: You only need to complete this section fot·
each owner that is applying fot· DBE qualification
(i.e. for each owner who is claiming to be "socially
and economically disadvantaged" and whose
ownership interest is to be counted toward the
control and 51% ownership requirements of the
DBE program)
(I) Indicate in the space provided the total Personal
Net Worth (PNW) of each owner who is applying
for DBE qualification. Use the PNW calculator
fom1 at the end of this application to compute
each owner's PNW.
(2) Check the appropriate box that indicates whether
any trust has ever been created for the benefit of
this disadvantaged owner. If you answered
"Yes," briefly explain the nature, history.
purpose, and current value of the trust(s).
Section 4: CONTROL
A. Identify your firm's Officers and Board of
Directors:
(I) In the space provided, state the name, title, date
of appointment, ethnicity, and gender of each
officer of your firm.
(2) In the space provided, state the name, title, date
of appointment, ethnicity, and gender of each
individual serving on your firm's Board of
Directors.
(3) Check the appropriate box that indicates whether
any of your firm's officers and/or directors listed
above perform a management or supervisory
function for any other business. lf you answered
"Yes," identify each person by name, his/her title,
the name of the other business in which s/he is
involved, and his/her function performed in that
other business.
(4) Check the appropriate box that indicates whether
any of your firm's officers and/or directors listed
above own or work for any other firm(s) that has
a relationship with your firm. lf you answered
·•y es," identify the name of the firm, the officer
or director, and the nature of his/her business
relationship with that other firm.
B. Identify your firm's management personnel (by
name, title, ethnicity, and gender) who control yout·
firm in the following areas:
(I) Making of financial decisions on your firm's
behalf, including the acquisition of lines of credit,
surety bonds, supplies, etc.;
(2) Estimating and bidding, including calculation of
cost estimates, bid preparation and submission;
(3) Negotiating and contract execution, including
participation in any of your firm's negotiations
and executing contracts on your firm's behalf;
Page 2 of 3
(4) Hiring and/or firing of management personneL
including interviewing and conducting
performance evaluations;
( 5) Field/Production operations superviSIOn.
including site supervision, scheduling, project
management services, etc.;
(6) Office management;
(7) Marketing and sales;
(8) Purchasing of major equipment;
(9) Signing company checks (for any purpose); and
(I 0) Conducting any other financial transactions on
your firm's behalf not otherwise listed.
(II) Check the appropriate box that indicates whether
any of the persons listed in (l) through (10)
above perform a management or supervisory
function for any other business. If you answered
"Yes," identify each person by name, his/her title,
the name of the other business in which s/he is
involved, and his/her function performed in that
other business.
(12) Check the appropriate box that indicates whether
any of the persons listed in (I) through (I 0)
above own or work for any other firm(s) that has
a relationship with your firm. If you answered
"Yes," identicy the name of the firm, the name of
the person, and the nature of his/her business
relationship with that other firm.
C. Indicate your firm's inventory in the following
categories:
(1) Equipment
State the type, make and model, and current dollar value of
each piece of equipment held and/or used by your firm.
Indicate whether each piece is either owned or leased by
your firm.
(2) Vehicles
State the type, make and model, and current dollar value of
each motor vehicle held and/or used by your firm. Indicate
whether each vehicle is either owned or leased by your
firm.
(3) Office Space
State the street address of each office space held and/or
used by your firm. Indicate whether your firm owns or
leases the office space and the current dollar value of that
property or its lease.
(4) Storage Space
State the street address of each storage space held and/or
used by your fim1. Indicate whether your firm owns or
leases the storage space and the current dollar value of that
property or its lease.
D. Does your firm rely on any other firm for
management functions or employee payroll?
Check the appropriate box that indicates whether your
firm relies on any other firm for management
functions or for employee payroll. If you answered
"Yes," briefly explain the nature of that reliance and
the extent to which the other firm carries out such
functions.
E. Financial Information
(I) Banking Information
(a) State the name of your firm's bank.
(b) Give the main phone number of your firm's
bank branch.
Instructions
114
(c) Give the address of your firm's bank branch.
(2) Bonding Information
(a) State your fim1's Binder Number.
(b) State the name of your firm's bond agent
and/or broker.
(c) Give your agent's/broker's phone number.
(d) Give your agent's/broker's address.
(e) State your firm's bonding limits (in dollars),
specicying both the Aggregate and Project
Limits.
F. Identify all sources, amounts, and purposes of
money loaned to your firm, including the names of
persons or firms securing the loan, if other than the
listed owner:
State the name and address of each source, the original
dollar amount and the current balance of each loan,
and the purpose for which each loan was made to your
firm.
G. List all contributions or transfers of assets to/from
your firm and to/from any of its owners over the
past two years:
Indicate in the spaces provided, the type of
contribution or asset that was transferred, its current
dollar value, the person or firm from whom it was
transferred, the person or firm to whom it was
transferred, the relationship between the two persons
and/or firms, and the date of the transfer.
H. List current licenses/permits held by any owner or
employee of your firm.
List the name of each person in your firm who holds a
professional license or permit, the type of permit or
license, the expiration date of the permit or license,
and the license/permit number and issuing State of the
license or permit.
I. List the three largest contracts completed by your
firm in the past three years, if any.
List the name of each owner or contractor for each
contract, the name and location of the projects under
each contract, the type of work performed on each
contract, and the dollar value of each contract.
J. List the three largest active jobs on which your
firm is currently working.
For each active job listed, state the name of the prime
contractor and the project number, the location, the
type of work performed, the project start date, the
anticipated completion date, and the dollar value of
the contract.
AFFJDA VIT & SIGNATURE
Carefully read the attached affidavit in its entirety. Fill in
the required information for each blank space, and sign and
date the afiidavit in the presence of a Notary Public, who
must then notarize the form.
Page 3of 3
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
49 C.F.R. PART 26
UNIFORM CERTIFICATION APPLICATION
ROADMAP FOR APPLICANTS
CD Should I apply?
o Is your firm at least 51 %-owned by a socially and economically disadvantaged individual(s)
who also controls the firm?
o Is the disadvantaged owner a U.S. citizen or lawfully admitted permanent resident of the U.S.?
o Does the disadvantaged owner's Personal Net Worth not exceed $1.32 million (excluding the
individual's ownership interest in the applicant firm and the equity in his/her primary
residence)?
o Is your firm a small business that meets the Small Business Administration's (SBA's) size
standard and does not exceed $22.41 million in gross annual receipts?
o Is your firm organized as a for-profit business?
=> If you answered "Yes" to all of the questions above, you may be eligible to
participate in the U.S. DOT DBE program.
~ Be sure to attach all of the required documents listed in the Documents Check List at the end
of this form with your completed application.
G) Where can I find more information?
o U.S. DOT-http://osdbuweb.dot.gov/DBEProgram/index.cfm (this site provides useful
links to the rules and regulations governing the DBE program, questions and answers, and
other pertinent information)
o SBA-http://www.sba.gov/services/contractingopportunities/sizestandardstopics/index.html
(provides listing ofNAICS codes and Table of size standards)
o 49 CFR Part 26 (the rules and regulations governing the DBE program)
Updated 5/11/2011
Under Sec. 26.107 of 49 CFR Part 26, dated February 2, 1999, if at any time, the Department or a recipient has
reason to believe that any person or firm has willfully and knowingly provided incorrect information or made
false statements, the Department may initiate suspension or debarment proceedings against the person or firm
under 49 CFR Part 29, take enforcement action under 49 CFR Part 3I, Program Fraud and Civil Remedies, and/or
refer the matter to the Department of Justice for criminal prosecution under I8 U.S.C. I OOI, which prohibits false
statements in Federal programs.
Page I of8 Uniform Certification Application
115
Section 1: CERTIFICATION INFORMATION
A. Prior/Other Certifications
Is your firm currently certified for 0 DBE Name of certifying agency:
any of the following programs?
(If Yes, check appropriate box(es)) Has your firm's state UCP conducted an on-site visit?
0 Yes, on I State: ONo
B. Prior/Other A lications and Privile es
----------
nnel, ever Has your firm (under any name) or any of its owners, Board of Directors, officers or management perso
withdrawn an application for any of the programs listed above, or ever been denied certification, decerti
debarred or suspended or otherwise had bidding privileges denied or restricted by any state or local agen
fied,or
cy,or
Federal entity?
0 Yes, on _1_1_ 0 No
If Yes, identify State and name of state, local, or Federal agency and explain the nature of the action:
Section 2: GENERAL INFORMATION
A. Contact Information
( 1) Contact person and Title: (2) Legal name of firm:
(3) Phone#: (4) Other Phone#: (5) Fax#:
(6) E-mail: (7) Website (ifhave one):
(8) Street address of firm (No P.O. Box): City: County/Parish: State: z ip:
(9) Mailing address of firm (if different): City: County/Parish: State: z ip:
B. Business Profile
(1) Describe the primary activities of your firm: (2) Federal Tax lD (if an y):
(3 This firm was established on I I IIWe have owned this firm since: I
(5) Method of acquisition (check all that apply):
0 Started new business 0 Bought existing business 0 Inherited business 0 Secured con cession
0 Mer er or consolidation 0 Other (ex lain)
(6) Is your firm "for profit"? 0 Yes 0 No ®STOP! If your firm is NOT for-profit, then you doN OT qualify
tion. for this ro ram and do NOT need to fill out this a lica
Page 2 of8 Uniform Certificatio n Application
116
-
(7) Type of firm (check all that app(v):
0 Sole Proprietorship
0 Partnership
0 Corporation
0 Limited Liability Partnership
0 Limited Liability Corporation
0 Joint Venture
0 Other, Describe:
(8) Has your firm ever existed under different ownership, a different type of ownership, or a different name?
0 Yes 0 No
IfYes, explain:
(9) Number of employees: Full-time Pa1t-time Total --------~~~~------------~~----~----------------~ (I 0) Specify the gross receipts of the firm for the last 3 years: Year _____ Total receipts$ ______ _
Year Total receipts $ ______ _
Year Total receipts$
C. Relationships with Other Businesses ~~=------------------------------------------~----. (I) Is your firm co-located at any of its business locations, or does it share a telephone number, P.O. Box, office
space, yard, warehouse, facilities, equipment, or office staff, with any other business, organization, or entity?
0 Yes ONo
IfYes, identify: OtherFirm'sname: ___________________ _
Explain nature of shared facilities:
(2) At present, or at any time in the
past, has your firm:
1---'(a) been a subsidia of any other firm? 0 Yes 0 No
(b) consisted of a partnership in which one or more of the partners are other
firms? 0 Yes 0 No 1--'
(c) owned an 0 Yes 0 No
I--' ( 0~0~ r-------------------------~
(3)Has any other firm had an ownershi 0 Yes 0 No
(4) Ifyou answered "Yes" to any ofthe
extra sheets, if needed):
Name
I.
2.
3.
Address Type of Business
D. Immediate Family Member Businesses --~~--------------------------.
Do any of your immediate family members own or manage another company? 0 Yes 0 No
If Yes, then list (attach extra sheets, if needed):
Name Relationship Company Type of Business Own or Manage?
I.
2.
Page 3 of8 Uniform Certification Application
117
Section 3: OWNERSHIP
Identify all individuals or holding companies with any ownership interest in your firm, providing the
information requested below (if more than one owner, attach separate sheets for each additional owner):
A B k ac "groun d I ~ n ormatiOn
(l)Name: (2) Title: (3) Home Phone#:
(4) Home Address (street and number): City: State: Zip:
(5) Gender: 0 Male 0 Female (6) Ethnic group membership (Check all that apply):
(7) U.S. Citizen: 0 Yes ONo 0 Black 0 Hispanic 0 Native American
(8) Lawfully Admitted Permanent Resident: 0 Asian Pacific 0 Subcontinent Asian
0 Yes ONo 0 Other (specify)
B 0 h" I t wners 1p n eres t
(1) Number of years as owner: (2) Initial investment to Im< Dollar Value
(3) Percentage owned: acquire ownership Cash $
(4) Familial relationship to other owners: interest in firm: Real Estate $
Equipment $
Other $
( 5) Shares of Stock: Number Percentage Class Date acguired Method Acguired
(6) Does this owner perform a management or supervisory function for any other business? DYes ONo
If Yes, identifY: Name ofBusiness: Function/Title:
(7) Does this owner own or work for any other firm(s) that has a relationship with this firm (e.g., ownership interest,
shared office space, financial investments, equipment, leases, personnel sharing, etc.)? 0 Yes 0 No
If Yes, identifY: Name of Business: Functionffitle:
Nature of Business Relationship:
C. Disadvantaged Status-NOTE: Complete this section only for each owner applying for DBE qualification
(i.e. for each owner claiming to be socially and economically disadvantaged)
(1) What is the Personal Net Worth (PNW) of the owner(s) applying for DBE qualification? (Use and attach the
Personal Financial Statement form at the end of this application; attach additional sheets if more than one owner is applying)
(2) Has any trust been created for the benefit of this disadvantaged owner(s)? 0 Yes 0 No
If Yes, explain (attach additional sheets if needed):
Page 4 of& Uniform Certification Application
118
Section 4: CONTROL
A. Identify your firm's Officers & Board of Directors (If additional space is re~ uired, attach a separate sheet):
Name Title Date Appointed Ethnicity Gender
(1) (a)
(b)
Officers (c)
of the (d)
(e)
Company
(2) Board of (a)
Directors (b)
(c)
(d)
(e)
(3) Do any of the persons listed in (I) and/or (2) above perform a management or supervisory function for any other
business? 0 Yes 0 No
IfYes, identify for each: Person: Title: ____________ _
Business: Function:
(4) Do any of the persons listed (I) and/or (2) above own or work for any other firm(s) that has a relationship with
this firm (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)? 0 Yes 0 No
If Yes, identify for each: Firm Name: _____________ Person: ___________ _
Nature of Business Relationship:
B. Identify your firm's management personnel who control your firm in the following areas (If more than
llvo persons attach a separate sheet):
Name Title Ethnicity Gender
(I) Financial Decisions a.
(responsibility for acquisition of lines of b. credit, surety bondin~, supplies, etc.)
(2) Estimating and bidding a.
b.
(3) Negotiating and Contract a.
Execution b.
(4) Hiring/firing of management a.
personnel b.
(5) Field/Production Operations a.
Supervisor b.
(6) Office management a.
b.
(7) Marketing/Sales a.
b.
Page 5 of8 Uniform Certification Application
119
(8) Purchasing of major a.
equipment b.
(9) Authorized to Sign Company a.
Checks (for any purpose) b.
(I 0) Authorized to make a.
Financial Transactions b.
(II) Do any of the persons I isted in (I) through ( 1 0) above perform a management or supervisory function for any
other business? 0 Yes 0 No
If Yes, identify for each: Person: Title:
Business: Function:
(12) Do any of the persons listed in (I) through (1 0) above own or work for any other firm(s) that has a relationship
with this firm (e.g.. ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)?
0 Yes ONo
IfYes, identify for each: Firm Name: Person:
Nature of Business Relationship:
C. Indicate your firm's inventory in the following categories (attach additional sheets if needed):
(1) Equipment
Type of Equipment Make/Model Current Value Owned or Leased?
(a)
(b)
(c)
(2) Vehicles
Type of Vehicle Make/Model Current Value Owned or Leased?
(a)
(b)
(c)
(3) Office Space
Street Address Owned or Leased? Current Value of Property or Lease
(a)
(b)
(4) Storage Space
Street Address Owned or Leased? Current Value of Property or Lease
(a)
(b)
D. Does your firm rely on any other firm for management functions or employee payroll? 0 Yes 0 No
I If Yes, explain:
Page 6 of8 Uniform Certification Application
120
E. Financiallnformation
(I) Banking Information:
(a) Name of bank: _____________ _ (b) Phone No: ( ) _________ _
(c Address ofbank: Ci : State: Zi
(2) Bonding Information: If you have bonding capacity, identify: (a) Binder No: __________ _
(b) Name of agent/broker______________ (c) Phone No: (
(d) Address of agent/broker: City: -----,---State: __ Zip: __ _
(e) Bondin limit: A re ate limit $ Pro·ect limit $
F. Identify all sources, amounts, and purposes of money loaned to your firm, including the names of any
ersons or firms securin the loan, if other than the listed owner:
Name of Source Address of Source Name of Person Original Current
Balance
Purpose of Loan
Securin the Loan Amount
1.
2.
3.
G. List all contributions or transfers of assets to/from your firm and to/from any of its owners over the
past two years attach additional sheets i neede :
Contribution/Asset Dollar Value From
Transferred
1.
2.
3.
To Whom
Transferred
Relationship Date of
Transfer
H. List current licenses/permits held by any owner and/or employee of your firm (e.g. contractor,
en ineer, architect, etc. (attach additional sheets i needed:
N arne of License/Permit Holder Type of License/Permit
1.
2.
3.
I. List the three Jar
1.
2.
,.,
.).
Name of
Owner/Contractor
Name/Location of
Pro·ect
Page 7 of8
121
Expiration
Date
License Number
and State
Dollar Value of
Contract
Uniform Certification Application
'---------------------------------------------------
J L' h h 1st t e t ree argest active _jobs on which your firm is currently workin_g_:
Name of Prime Location of Type of Work Project Anticipated Dollar
Contractor and Project Project Start Date Completion Value of
Number Date Contract
1.
2.
,.,
.),
Page 8 of8 Uniform Certification Application
122
DBE UNIFORM CERTIFICATION APPLICATION SUPPORTING DOCUMENTS CHECKLIST
In order to complete your application fot· DBE certification, you must attach copies of all of the following documents as
thev a I · to \'OU and your firm.
All Applicants
0 Work experience resumes (that include places of ownership/employment with corresponding dates), for all
owners and officers of your firm
0 Personal Financial Statement (form available with this application)
0 Personal tax returns for the past three years, if applicable, for each owner claiming disadvantaged status
0 Your firm's tax returns (gross receipts) and all related schedules for the past three years
0 Documented proof of contributions used to acquire ownership for each owner (e.g. both sides of cancelled
checks)
0 Your firm's signed loan agreements, security agreements, and bonding forms
0 Descriptions of all real estate (including office/storage space, etc.) owned/leased by your firm and documented
proof of ownership/signed leases
0 List of equipment leased and signed lease agreements
0 List of construction equipment and/or vehicles owned and titles/proof of ownership
0 Documented proof of any transfers of assets to/from your firm and/or to/from any of its owners over the past
two years
0 Year-end balance sheets and income statements for the past three years (or life of firm, if less than three years);
a new business must provide a current balance sheet
0 All relevant licenses, license renewal forms, permits, and haul authority forms
0 DBE certifications, denials, and/or decertifications, if applicable
0 Bank authorization and signatory cards
0 Schedule of salaries (or other compensation or remuneration) paid to all officers, managers, owners, and/or
directors of the firm
0 Trust agreements held by any owner claiming disadvantaged status, if any
Partnership or Joint Venture
0 Original and any amended Pm1nership or Joint Venture Agreements
Corporation or LLC
0 Official Articles oflncorporation (signed by the state official)
0 Both sides of all corporate stock certificates and your firm's stock transfer ledger
0 Shareholders' Agreement
0 Minutes of all stockholders and board of directors meetings
0 Corporate by-laws and any amendments
0 Corporate bank resolution and bank signature cards
0 Official Cet1ificate of Formation and Operating Agreement with any amendments (for LLCs)
Trucking Company
0 Documented proof of ownership of the company
0 Insurance agreements for each truck owned or operated by your firm
0 Title(s) and registration certificate(s) for each truck owned or operated by your firm
0 List of U.S. DOT numbers for each truck owned or operated by your firm
Regular Dealer
0 Proof of warehouse ownership or lease
0 List of product lines carried
0 List of distribution equipment owned and/or leased
NOTE: The specific state UCP to which you are applying may have additional required documents that you
must also supply with your application. Contact the appropriate certifying agency to which you are applying
to find out if more is required. (See Supplemental Document Checklist)
123
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Supplemental Document Checklist
Firm Name: ---------------------------------------------------------------
In order to complete your application for DBE certification, you must also attach copies of all of the following documents:
D Documentation of Group Membership. Please comply with one of the following: (I) For each owner seeking social
disadvantaged status on the basis of Ethnic membership, please provide a document (e.g., birth certificate, U.S. Passport,
Green Card, parents' birth certificate, etc.) evidencing Ethnic heritage or similar document evidencing Ethnic community
affiliation. (2) For each owner seeking social disadvantaged status on the basis of Gender, please provide a document
evidencing gender (e.g., birth certificate, driver's license, etc.). (3) For each owner seeking an individual showing of social
disadvantage, please provide documents you deem appropriate for consideration.
D Documentation of U.S. citizenship or lawful permanent residence, e.g., U.S. birth certificate, Green Card, etc.
Supplemental Questionnaire
I. Is the firm's principal place of business in California? Yes_O_ NoD
If no, please include a copy of the firm's DBE certificate issued in its home state. (The CUCP will not process a
new application for DBE certification from a firm having its principal place of business in another state unless
the firm has already been certified in that state.)
2. Is the firm authorized to do business in the State of California? Yes_[]_ No D
3. List all office locations in California: _____________________________________________________ _
4. Has the firm ever done business with any U.S. DOT Grantees of California? Yes_[]_ No D
If yes, please indicate the agency name(s) and latest year(s):
Agency Agency Latest Year
5. Is there an upcoming project in which the firm is interested and therefore, would need to be certified prior to a
specific date in order to be counted toward DBE participation? Yes D No 0
If yes, please provide the following information:
Agency letting contract: _______________________________________________________________ __
Contract Number Bid Opening date or
and Name: ________________________________ Request for Proposal due date: _______________ _
6. Indicate areas where you prefer to do your work.
0 01 Alameda 0 II Glenn 0 21 Marin 0 31 Placer 0 41 San Mateo 0 51 Sutter
0 02 Alpine 0 12 Humboldt 0 22 Mariposa 0 32 Plumas 0 42 Santa Barbara 0 52 Tehama
0 03 Amador 0 13 Imperial 0 23 Mendocino 0 33 Riverside 0 43 Santa Clara 0 53 Trinity
0 04 Butte 0 14 Inyo 0 24 Merced 0 34 Sacramento 0 44 Santa Cruz 0 54 Tulare
0 05 Calaveras 0 15 Kern 0 25 Modoc 0 35 San Benito 0 45 Shasta 0 55 Tuolumne
0 06 Colusa 0 16 Kings 0 26 Mono 0 36 San Bernardino 0 46 Sierra 0 56 Ventura
0 07 Contra Costa 0 17 Lake 0 27 Monterey 0 37 San Diego 0 47 Siskiyou 0 57 Yolo
0 08 Del Norte 0 18 Lassen 0 28 Napa 0 38 San Francisco 0 48 Solano 0 58 Yuba
0 09 El Dorado 0 19 Los Angeles 0 29 Nevada 0 39 San Joaquin 0 49 Sonoma
0 I 0 Fresno 0 20 Madera 0 30 Orange 0 40 San Luis Obispo 0 50 Stanislaus
124
(Rev 2120/l)
AFFIDAVIT OF CERTIFICATION
This form must be signed and notarized for each owner upon which disadvantaged status is relied.
A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH THIS APPLICATION
IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION, REVOCATION OF A PRIOR APPROVAL,
INITIATION OF SUSPENSION OR DEBARMENT PROCEEDINGS, AND MAY SUBJECT THE PERSON AND/OR
ENTITY MAKING THE FALSE STATEMENT TO ANY AND ALL CIVIL AND CRIMINAL PENALTIES
AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW.
____________ (full name printed), swear or affirm under penalty of law that I am
________ (title) of applicant firm (firm name) and that I have read and
understood all of the questions in this application and that all of the foregoing information and statements submitted
in this application and its attachments and supporting documents are true and correct to the best of my knowledge,
and that all responses to the questions are full and complete, omitting no material information. The responses
include all material information necessary to fully and accurately identity and explain the operations, capabilities
and pertinent history of the named firm as well as the ownership, control, and affiliations thereof.
I recognize that the information submitted in this application is for the purpose of inducing certification approval by
a government agency. I understand that a government agency may, by means it deems appropriate, determine the
accuracy and truth of the statements in the application, and I authorize such agency to contact any entity named in
the application, and the named firm's bonding companies, banking institutions, credit agencies, contractors, clients,
and other certifYing agencies for the purpose of verifYing the inforn1ation supplied and determining the named
firm's eligibility.
I agree to submit to government audit, examination and review of books, records, documents and files, in whatever
form they exist, ofthe named firm and its affiliates, inspection of its places(s) of business and equipment, and to
permit interviews of its principals, agents, and employees. I understand that refusal to permit such inquiries shall
be grounds for denial of certification.
If awarded a contract or subcontract, I agree to promptly and directly provide the prime contractor, if any, and the
Depmtment, recipient agency, or federal funding agency on an ongoing basis, current, complete and accurate
information regarding (I) work performed on the project; (2) payments; and (3) proposed changes, if any, to the
foregoing arrangements.
I agree to provide written notice to the recipient agency or Unified Certification Program (UCP) of any material
change in the information contained in the original application within 30 calendar days of such change (e.g.,
ownership, address, telephone number, etc.).
I acknowledge and agree that any misrepresentations in this application or in records pertaining to a contract or
subcontract will be grounds for terminating any contract or subcontract which may be awarded; denial or
revocation of ce11ification; suspension and debarment; and for initiating action under federal and/or state law
concerning false statement, fraud or other applicable offenses.
I certify that I am a socially and economically disadvantaged individual who is an owner of the above-referenced
firm seeking certification as a Disadvantaged Business Enterprise (DBE). In support of my application, I certify
that I am a member of one or more of the following groups, and that I have held myself out as a member of the
group(s) (check all that apply):
Female
Hispanic American
Native American
Other (specify)
0
0
0
0
Black American
Asian-Pacific American
Subcontinent Asian American
Affidavit
Page 1 of2
125
0
0
0
(Rev. 2/28/2011)
I certifY that I am socially disadvantaged because I have been subjected to racial or ethnic prejudice or cultural bias,
or have suffered the effects of discrimination, because of my identity as a member of one or more of the groups
identified above, without regard to my individual qualities.
I further certifY that my personal net worth does not exceed $1,320,000, and that I am economically disadvantaged
because my 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 who are not socially and economically
disadvantaged.
I declare under penalty of perjury that the information provided in this application and supporting documents is true
and correct.
Executed on _____________ (Date)
Signature _____________ _
(DBE Applicant)
NOTARY CERTIFICATE
Affidavit
Page 2 of2
126
DISADVANTAGED BUSINESS ENTERPRISE (DBE) and
AIRPORT CONCESSION DISADVANTAGED BUSINESS ENTERPRISE (ACDBE)
/T ~ \
PERSONAL FINANCIAL STATEMENT
i :'\lf·l~:nO:R'flHC\TIO:"o PK()(;i{\ \I
\
As of '
Complete this form for each individual whose ownership and control are relied upon for DBE or A CD BE certification.
Name(s) Are these figures for a married couple0 Yes Uo_ u
Residence Address: Residence Phone:
City, State, & Zip Code:
Business Name of Applicant: Business Phone:
ASSETS (Omit Cents) LIABILITIES (Omit Cents)
Cash on hand & in Banks $ Accounts Payable .. .......... $
Savings/Other Cash Accounts ................................ $ Notes Payable to Banks and Others .. .. $
IRA or Other Retirement Accounts .......................... $ (Describe in Section 2)
Accounts & Notes Receivable .................................. $ Installment Account (Auto) ................................. $
Life Insurance-Cash Surrender Value Only ............. $ Installment Account (Other) . ........................... $
(Complete Section 7)
Stocks and Bonds ...................................................... $ Loan on Life Insurance $
Mortgages on Real Estate .. ........... $
Real Estate ···························· . ... .. $ (Describe in Section 3)
(Describe in Section 3) Unpaid Taxes . . ... $
Automobile-Present Value ....................................... $ (Describe in Section 5)
Other Personal Property .......................................... $ Other Liabilities . ............................ $
(Describe in Section 6) (Describe in Section 4)
Total.. $ 0
Other Assets. .................. $
(Describe in Section 4)
Net Worth ·············································· $ Total ..................................... $ 0 (Subtract total Liabilities from Total Assets)
Contingent Liabilities (will not be used in determining net worth)
As Endorser or Co-Maker ........................................ $
Legal Claims & Judgments .. ......... $
Provision for Federal Income Tax .. . $
Other Special Debt ... . $
Section 1. Separate Property (for married applicants only) Describe all separate property held by you or your spouse, their cun·ent values, and why they are separate.
Section 2. Notes Payable to Banks and Others. (Use attachments tf necessary. Each attachment must be identified as a part of this statement and signed.)
Name and Address of Note holder(s) Original Current Payment Frequency How Secured or Endorsed
Balance Balance Amount (monthly, etc.) Type of Collateral
CUCP PNW Form Rev 2/28/2011
127
Section 3. Real Estate Owned. (List each parcel separately. Identify primary Residence. Use attachment if necessary. Each attachment must be
identified as a part of this statement and signed.)
Prope1ty A Property B Property C
Type of Property (e.g. residential, condo,
timeshare, commercial, etc )
Address (include street, city and state)
Date Purchased
Original Cost
Present Market Value
Name & Address of Mortgage Holder
Mortgage Balance
Amount of Payment per MonthNear
Status of Mortgage
Section 4. Other Personal Property and Other Assets. (Describe, and if any is pledged as security, state name and address of lien holder, amount of lien,
terms of payment and if delinquent, describe delinquency)
Section 5. Unpaid Taxes. (Describe in detail, as to type, to whom payable, when due, amount, and to what property, if any, a tax lien attaches.)
Section 6. Other Liabilities. (Describe in detail.)
Section 7. Life Insurance Held. (Give face amount and cash surrender value of policies-name of insurance company and beneficiaries)
I certify the above and the statements contained in the attach ments are true and accurate as ofth e stated date(s). These statements are made for the purpose of
becoming eligible for the Disadvantaged Business Enterprise or Airport Concession Disadvantaged Business Enterprise Programs. I authorize the CUCP to make
inquiries as necessary to verify the accuracy of the statements made and to determine my creditworthiness.
Signature: Date:
Signature: Date:
CUCP PNW Form Rev 2/28/2011
128
Instructions to Assist in Completing the
Personal Financial Statement
for the California Unified Certification Program
Please do not make adjustments to your figures pursuant to U.S. Department of Transportation (U.S. DOT) regulations 49 CFR Part 26 and
Part 23. The agency that you apply to will use the infmmation provided on your completed Personal Financial Statement to determine your
Personal Net Worth according to 49 CFR Part 26 and Pa1i 23. An individual's Personal Net Worth, according to 49 CFR Part 26 and Part 23
includes only his or her own sh are of assets held separately, jointly, or as community property with the individual's spouse and excludes the
following:
• Individual's ownership interest in the applicant firm:
• Individual's equity in his or her primary residence;
• Tax and interest penalties that would accrue i fretirem ent savings or investments (e.g., pens ion plans, Individual Retirement
Accounts, 40 I (k) accounts, etc.) were distributed at the present time.
For Airport Concessions Only:
• Other assets for which the individual is currently liable, which are properly documented and for which the individual's personal
assets are encumbered to support existing financing for the ACDBE Business, to a maximum of$3 million.
Personal Net Wmth limit for DBE certification in accordance with 49 CFR Part 26
If your Personal Net Worth, according to 49 CFR Pmt 26, exceeds the $1.32 million cap and you, individually, or you and other individuals are
the majority owners of an applicant firm, the firm is not eligible for DBE certification. If the Personal Net Worth according to 49 CFR Part 26
of the majority ovmer(s) exceeds the $1.32 million cap at any time after your fi1m is ce1tified, the firm is no longer eligible for ce1tification.
Should that occur, it is your responsibility to contact your certifYing agency in writing to advise that your firm no longer qualifies.
Personal Net Wmth limit for ACDBE certification in accordance with 49 CFR Part 23
If your Personal Net Worth, according to 49 CFR Part 23, exceeds the $750,000 cap and you, individually, or you and other individuals are the
majority owners of an applicant firm, the fi1m is not eligible for A CD BE certification. If the Personal Net Worth according to 49 CFR Part 23
of the majority owner(s) exceeds the $750,000 cap at any time after your firm is certified, the firm is no longer eligible for certification. Should
that occur, it is your responsibility to contact your certifYing agency in writing to advise that your firm no longer qualifies.
General Instructions
:;. You must fill out all line items on the Personal Financial Statement to the best ofyour ability.
:;. If necessary, use additional sheet(s) of paper to report all information and details.
:;. If you have any questions about completing this f01m, please contact one of the certifYing agencies on the Roster of CertifYing Agencies.
Specific Instructions
DATE AND CONTACT INFORMATION
Be sure to include the date in the upper right comer of the first page and your contact infmmation. Indicate whether the figures reported are for
a married couple.
ASSETS
All assets must be reported at their current fair market values as of the date of your statement. Assessor's assessed value for real estate, for
example, is not acceptable. Assets held in a trust generally should be included.
Cash on hand & in Banks: Enter the total amount of cash on-hand and in bank accounts other than savings.
Savings Accounts: Enter the total amount in all savings accounts.
IRA 01· other Retirement Account: Enter the total present value of all JRAs and other retirement accounts, including m1y defe1red
compensation and pension plans.
Accounts & Notes Receivable: Enter the total value of all monies owed to you personally, if any. This should include shareholder loans to the
applicant firm. if any.
Life Insurance-Cash Surrender Value Only: Enter the value of any life insurance polices. This aJllount should be cash surrender value only,
not the amount a beneficiary would receive upon your death, also known as face value. A complete description is required in Section 7.
Stocks and Bonds: Enter the current market value of your stocks and bonds.
Real Estate: Enter the current fair market value of all real estate owned. A complete listing and description of all real estate owned is
required in Section 3.
Automobile-Present Value: Enter the cmrent fair market value of all automobiles owned.
Other Personal Property: Enter the current fair market value of all other personal property owned, but not included in the previous entries. A
complete description of these assets is required in Section 4.
Other Assets: Enter the current fair market value of all other assets owned, but not included in the previous entries. A complete description of
these assets is required in Section 4.
LIABILITIES
Accounts Payable: Enter the total value of all unpaid accounts payable that is your responsibility.
Notes Payable to Bank and Others: Enter the total amount due on all notes payable to banks and others. This should not, however, include
any mortgage balances. A complete description of all notes payable to banks and others is required in Section 2.
Installment Account (Auto): Enter amount of the present balance of the debt that you owe for auto installment account.
Rev 2128/2011
129
Installment Account (Other): Enter amount of the present balance of the debt that you owe for other installment account.
Loans on Life Insurance: Enter the total value of all loans due on life insurance policies.
Mo11gages on Real Estate: Enter the total balance on all mortgages payable on real estate. A complete breakdown of all mortgages on real
estate is required in Section 3.
Unpaid Taxes: Enter the total amount of all taxes that are cmTently due, but are unpaid. Contingent tax liabilities or anticipated taxes for
CUJTent year should not be included. A complete description is required in Section 5.
Other Liabilities: Enter the total value due on all other liabilities not classified in the previous entries. A complete description is required in
Section 6.
Net Worth: To compute Net Worth, add all liabilities and put that figure in the Total Liabilities line. Then subtract Total Liabilities from Total
Assets to get your Net Worth. To check your figures, add Total Liabilities and Net Worth and the sum must equal Total Assets. If your figures
do not match, your form will be returned to you to coJTect and complete again.
CONTINGENT LIABILITIES
Contingent liabilities are liabilities that belong to you only if an event(s) should occur. For example, if you have co-signed on a relative's loan,
but you are not responsible for the debt until your relative defaults, that is a contingent liability. Contingent liabilities do not count toward your
net worth until they become actual liabilities.
As Endorser or Co-Maker: Enter the total potential liabilities due as a result of being a co-signer for a loan or other commitments.
Legal Claims and Judgments: Enter the potential liabilities due as a result of legal claims from judgments, lawsuits. etc.
Provisions for Federal Income Tax: Enter the total amount of all federal taxes for which you are potentially liable due to an anticipated gain
on the pending sale of an asset or other circumstances, such as pending disputes or litigation which could possibly result in a personal tax
liability.
Other Special Debt: Enter the total amount due on all remaining potential debts not accounted for.
SECTION 1. SEPARATE PROPERTY
Identify all property that is not held jointly or as community property, include values, ownership. and a brief explanation why the property is
not held jointly.
SECTION 2. NOTES PAYABLE TO BANKS AND OTHERS
Enter the name and address of note holder(s), original balance, cuJTent balance, payment amount, frequency, and how secured for each note
payable as entered in the "Liabilities" column. Do not include loans for your business or mortgages for your properties.
SECTION 3. REAL ESTATE OWNED
Starting with your primary residence (be sure to identify it as your primary residence}, enter the type of property, address, date of
purchase, original cost, present fair market value, name and address of mortgage holder, mortgage account number, mortgage
balance, amount of payment, and status of mortgage for all real estate held. Please ensure that this section contains all real
estate owned, including rental properties, vacation properties, commercial properties, etc.
Total "Present Market Value" amounts should coJTespond with the ''Real Estate" amount listed in the "Assets" column. Additionally, total
"Mortgage Balance" amounts should correspond with the "Mortgages on Real Estate" amount listed in the "Liabilities" column. Attach
additional sheets if needed.
SECTION 4. OTHER PERSONAL PROPERTY AND OTHER ASSETS
Itemize and describe in detail other personal property and other assets owned as listed in the "Assets'' column. For other personal property,
include boats, trailers, jewelry, furniture, household goods, collectibles, clothing, etc. For other assets, include equity interest in other
businesses, trusts, investments, etc.
SECTION 5. UNPAID TAXES
Describe in detail as to the type, to whom payable, when due, amount, and to what property, if any, the tax lien attaches. Please refer to the
unpaid taxes listed in the "Liabilities" column. If none, state "NONE." This section should not include the contingent tax liabilities or
anticipated taxes owed for the cuJTent year. For any unusually large amounts. you must include documentation, such as tax liens, to support the
amounts.
SECTION 6. OTHER LIABILITIES
Describe in detail any other liabilities as referenced by the value listed in the "Liabilities" column. If none, state "NONE." For any unusually
large amounts, you must include documentation, such as bills, to support the amounts.
SECTION 7. LIFE INSURANCE HELD
Describe all life insurance policies held. Please be sure to include the face amount of the policies, name of insurance company and beneficiaries
and cash suJTender values of the policies.
EXECUTION OF STATEMENT
Be sure to sign and date at the end of the statement.
Rev 2/28/2011
130
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
NAICS Codes
The California Unified Certification Program adopted the 2002 North American Industry Classification System
(NAICS), an updated federal classification system, on October 27, 2003. Please indicate below areas of expertise
that you perform in order of importance. Enclosed is a partial list ofNAICS codes for your convenience.
For a full list ofNAICS codes and assistance in locating appropriate NAICS codes and determining if your firm
meets U.S. Small Business Administration (SBA) and U.S. DOT size standards, a search tool is available on the SBA
web site at: http://www.sba.gov/size/indextableofsize.html. DBE applicants are first subject to the applicable small
business size standards of the Small Business Administration (SBA). Second, the average annual gross receipts for
the firm (including its affiliates) over the previous three fiscal years must not exceed the U.S. Department of
Transportation's cap of$22.41 million, as amended pursuant to SAFETEA-LU. Please note that size standards are
subject to change at any time by the SBA. If you do not have Internet access or need assistance, please contact one
of the certifYing agencies on the enclosed Roster.
N AI C S"---------=C~od=e Description ofWork/Service
Rev 2/28/2011
131
110000
111000
112000
113000
114000
115000
210000
211000
212000
213000
220000
221110
221120
221310
230000
236000
236115
236116
236117
236118
236210
236220
237000
237110
237120
237130
237210
237310
237990
237990
238000
238110
238120
238130
238140
238150
238160
238170
238190
238210
238220
238290
238310
238320
238330
238340
238350
238390
238910
238990
238990
CALIFORNIA UNIFIED CERTIFICATION PROGRAM
List of NA/CS Codes (partial)
Agriculture, Forestry, Fishing and Hunting
Crop Production
Animal Production
Forestry and Logging
Fishing, Hunting and Trapping
Support Activities for Agriculture and Forestry
Mining
Oil and Gas Extraction
Mining (except Oil and Gas)
Support Activities for Mining
Utilities
Hydroelectric, Fossil Fuel, Nuclear and Other Electric Power
Generation
Electric Power Transmission, Control and Distribution
Water Supply and Irrigation Systems
Construction*
Construction of Buildings
New Single-Family Housing Construction (except Operative
Builders) ~ . .
New Multifamily Housing Construction (except Operative
Builders)
New Housing Operative ~Builders
Residential Remodelers
Industrial Building Construction
Commercial and Institutional Building Construction
Heavy and Civil Engineering Construction
Water and Sewer Line and Related Structures Construction
Oil and Gas Pipeline and Related Structures Construction
Power and Communication Line and Related Structures
Construction
Land Subdivision
Highway, Street, and Bridge Construction
Other Heavy and Civil Engineering Construction
Dredging and Surface Cleanup Activities
Specialty Trade Contractors
Poured Concrete Foundation and Structure Contractors
Structural Steel and Precast Concrete Contractors
Framing Contractors
Masonry Contractors
Glass and Glazing Contractors
Roofing Contractors
Siding Contractors
Other Foundation, Structure, and Building Exterior
Contractors
Electrical Contractors
Plumbing, Heating, and Air-Conditioning Contractors
Other Building Equipment Contractors
Drywall and Insulation Contractors
Painting and Wall Covering Contractors
Flooring Contractors
Tile and Terrazzo Contractors
Finish Carpentry Contractors
Other Building Finishing Contractors
Site Preparation Contractors
All Other Specialty Trade Contractors
Building and Property Specialty Trade Services
310000
339999
311000
312000
313000
314000
315000
315211
315212
315220
315230
315299
315999
316000
316211
316213
316214
316219
321000
322000
323000
323110
323111
323112
323113
323114
323115
323116
323117
323118
323119
323121
323122
324000
324121
324122
325000
326000
326211
326212
326220
326291
326299
327000
331000
332000
332116
332322
332323
332710
332721
332996
333000
333120
333311
333313
Manufacturing
Food Manufacturing
Beverage and Tobacco Product Manufacturing
Textile Mills
Textile Product Mills
Apparel Manufacturing
Men's and Boys' Cut and Sew Apparel Contractors
Women's, Girls', and Infants' Cut and Sew Apparel
Contractors
Men's and Boys' Cut and Sew Apparel Manufacturing
Women's and Girls' Cut and Sew Apparel. Manufacturing
All Other Cut and Sew Apparel Manufacturing
Other Apparel Accessories and Other Apparel Manufacturing
Leather and Allied Product Manufacturing
Rubber and Plastics Footwear Manufacturing
Men's Footwear (exceptAth.letic) Mall!Jf1)cturing
Women's Footwear (except Athletic) r.Jianufacturing
Other Footwear Manufacturing
vyood product Manufacturing
paper Manufacturing
Printing and Related Support Activities
Comm.ercial Lithographic Printing
Commercial Gravure Printing
Commercial Flexographic Printing
Commercial Screen Printing
Quick Printing
Digital Printing
ManifoldBusiness Forms Printing
Books Printing
Blankb()Ok, Loose-leaf Binder. and [)evice Manufacturing
Other Commercial Printing
Tradebinding and Related Work
Prepress Services
Petroleum and Coal Products Manufacturing
Asphalt Paving Mixture and Block Manufacturing
. Asphalt Shingle and Coating Materials Manufacturing
Chemical Manufacturing
Plastics and Rubber Products Manufacturing
Tire Manufacturing (except Retreading)
Tire Retreading
Rubber and Plastics Hoses and Belting Manufacturing
Rubber Product Manufacturing for Mechanical Use
All Other Rubber Product Manufacturing
Nonmetallic Mineral Product Manufacturing
PrimaryMetal Manufacturing
Fabricated Metal Product Manufacturing
Metal Stamping
Sheet Metal Work Manufacturing
Ornamental and Architectural Metal Work Manufacturing
Machine Shops
Precision Turned Product Manufacturing
Fabricated Pipe and Pipe Fitting Manufacturing
Machinery Manufacturing
C()n..S!ruction Machinery fv1an!Jfacturing
Automatic Vending Machine Manufacturing
Office Machinery Manufacturing
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. (Rev. 8/106)
(This document contains a partial list of NAICS codes. For a complete list of NAICS codes, please visit www.sba.gov/sizelindextableofsize.html) Page 1
132
California Unified Certification Program
List of NA/CS Codes (partial)
333414
333415
333514
333613
333618
333911
333921
333922
333923
333924
334000
334111
334112
334113
334119
334210
334220
334290
334310
334417
334418
334419
334511
334512
334513
334514
334518
334519
334611
334612
334613
335000
336000
336112
336120
336211
336212
336311
336312
336321
336322
336330
336340
336350
336360
336370
336391
336399
Heating Equipment (except Warm Air Furnaces)
Manufacturing
Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment
Manufacturing
Special Die and Tool, Die Set, Jig and Fixture Manufacturing
Mechanical Power Transmission Equipment Manufacturing
Other Engine Equipment Manufacturing
Pump and Pumping Equipment Manufacturing
Elevator and Moving Stairway Manufacturing
Conveyor and Conveying Equipment Manufacturing
Overhead Traveling Crane, Hoist and Monorail System
Manufacturing
Industrial Truck, Tractor, Trailer and Stacker Machinery
Manufacturing
Computer and Electronic Product Manufacturing
Electronic Computer Manufacturing
Computer Storage Device Manufacturing
Computer Terminal Manufacturing
Other Computer Peripheral Equipment Manufacturing
Telephone Apparatus Manufacturing
Radicand Television Broadcasting and Wireless
Communications Equipment Manufacturing
Other Communications Equipment Manufacturing
Audio and Video Equipment Manufacturing
Electronic Connector Manufacturing
Printed Circuit Assembly (Electronic Assembly) Mfg
Other Electronic Component Manufacturing
Search, Detection, Navigation, Guidance, Aeronautical, and
Nautical System and Instrument Manufacturing
Automatic Environmental Control Manufacturing for
Residential, Commercial and Appliance Use
Instruments and Related Products Manufacturing for
Measuring, Displaying, and Controlling Industrial Process
Variables
Totalizing Fluid Meter and Counting Device Manufacturing
Watch, Clock, and Part Manufacturing
Other Measuring and Controlling Device Manufacturing
Software Reproducing
Prerecorded Compact Disc (except Software), Tape, and
Record Reproducing
Magnetic and Optical Recording Media Manufacturing
Electrical Equipment, Appliance and Component
Manufacturing
Transportation Equipm_ent Manufacturing
Light Truck and Utility Vehicle Manufacturing
Heavy Duty Truck Manufacturing
Motor Vehicle Body Manufacturing
Truck Trailer Manufacturing
Carburetor, Piston, Piston Ring and Valve Manufacturing
Gasoline Engine and Engine Parts Manufacturing
Vehicular Lighting Equipment Manufacturing
Other Motor Vehicle Electrical and Electronic Equipment
Manufacturing
Motor Vehicle Steering and Suspension Components
(except Spring) Manufacturing
Motor Vehicle Brake System Manufacturing
Motor Vehicle Transmission and Power Train Parts
_Manufacturing
Motor Vehicle Seating and Interior Trim Manufacturing
Motor Vehicle MetaiStamping
Motor Vehicle Air-Conditioning Manufacturing
All Other Motor Vehicle Parts Manufacturing
336411
336510
336611
336991
336999
337000
337127
337211
337214
337215
337920
339000
339111
339950
339991
420000
423000
423110
423120
423130
423140
423210
423310
423320
423330
423390
423410
423420
423430
423440
423450
423490
423510
423610
423620
423690
423710
423720
423730
423740
423810
423820
423830
423840
423850
423860
423930
423940
Aircraft Manufacturing
Railroad Rolling Stock Manufacturing
Ship Building and Repairing
Motorcycle, Bicycle and Parts Manufacturing
All Other Transportation Equipment Manufacturing
Furniture and Related Product Manufacturing
Institutional Furniture Manufacturing
Wood Office Furniture Manufacturing
Office Furniture (Except Wood) Manufacturing
Showcase, Partition, Shelving, and Locker Manufacturing
Blind and Shade Manufacturing
Miscellaneous Manufacturing
Laboratory Apparatus and Furniture Manufacturing
Sign Manufacturing
Gasket, Packing, and Sealing Device Manufacturing
Wholesale Trade
Merchant Wholesalers, Durable Goods __
Automobile and Other Motor Vehicle Merchant Wholesalers
Motor Vehicle Supplies and New Parts Merchant Wholeslrs
Tire and Tube Merchant Wholesalers
Motor VehicleParts(Used) Merchant Whole:se~l~rs
Furniture Merchant Wholesalers
Lumber, Ply\'lood, Millwork, and Wood Panel Merchant
Wholesalers
Brick, Stone, and Related Construction Material Merchant
Wholesalers
Roofing, Siding, and Insulation Material Merchant Wholeslrs
Other Construction Material Merchant Wholesalers
Photographic Equipment and Supplies Merchant
Wholesalers
Office EquipmentMerchant Wholesalers
Computer and Computer Peripheral Equipment and
Software Merchant Wholesalers
Other Commercial Equipment Merchant Wholesalers
Medical, Dental, and Hospital Equipment and Supplies
Merchant Wholesalers
Other Professional Equipment and Supplies Merchant
Wholesalers
Metal Service Centers and Other Metal Merchant Wholeslrs
Electrical Apparatus and Equipment, Wiring Supplies, and
Related Equipment Merchant Wholesalers
Electrical and Electronic Appliance, Television, and Radio
Set Merchant Wholesalers
Other Electronic Parts and Equipment Merchant Wholesalers
Hardware Merchant Wholesalers
Plumbing and Heating Equipment and Supplies (Hydronics)
Merchant Wholesalers
Warm Air Heating and Air-Conditioning Equipment and
Supplies Merchant Wholesalers
Refrigeration Equipment and Supplies Merchant
Wholesalers
Construction and Mining (except Oil Well) Machinery and
Equipment Merchant Wholesalers
Farm and Garden Machinery and Equipment Merchant
Wholesalers
Industrial Machinery and Equipment Merchant Wholesalers
Industrial Supplies Merchant Wholesalers
Service Establishment Equipment and Supplies Merchant
Wholesalers
Transportation Equipment and Supplies (except Motor
Vehicle) Merchant Wholesalers
Recyclable Material Merchant Wholesalers
Other Miscellaneous Durable Goods Merchant Wholesalers
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 2
133
California Unified Certification Program
List of NAICS Codes (partial)
424000
424110
424120
424130
424210
424310
424320
424330
424340
424410
424420
424490
424610
424690
424710
424720
424920
424930
424940
424950
424990
425000
425110
425120
440000
459999
441000
441110
441120
441221
441222
441229
441229
441310
441320
442000
442110
442210
442291
442299
443000
443111
443112
443120
443130
444000
444110
444120
444130
444190
444210
444220
445000
Merchant Wholesalers, Nondurable Goods
Printing and Writing Paper Merchant Wholesalers
Stationary and Office Supplies Merchant Wholesalers
Industrial andPersonal Service Paper Merchant Wholesalers
Drugs and Druggists' Sundries MerchantWholesalers
Piece Goods, Notions, and Other Dry Goods Merchant
Wholesalers
Men's and Boys' Clothing and Furnishings Merchant
Wholesalers
Women's, Children's, and Infants' Clothing and Accessories
Merchant Wholesalers
Footwear Merchant Wholesalers
General Line Grocery Merchant Wholesalers
Packaged Frozen Food Merchant Wholesalers
Other Grocery and Related Products Merchant Wholesalers
Plastics Materials and Basic Forms and Shapes Merchant
Wholesalers
Other Chemical and Allied Products Merchant Wholesalers
Petroleum Bulk Stations and Terminals
Petroleum and Petroleum Products Merchant Wholesalers
(except Bulk Stations and Terminals)
Book, Periodical, and Newspaper Merchant Wholesalers
Flower, Nursery Stock, and Florists' Supplies Merchant
Wholesalers
Tobacco and Tobacco Product Merchant Wholesalers
P<;~int, Varr1ish, and Sllpplies Merchant Wh()lf)salers
Other Miscellaneous Nondurable Goods Merchant
Wholesalers
Wholesale Electronic Markets and Agents and Brokers
Business to Business Electronic Markets
Wholesale Trade Agents and Brokers
Retail Trade
Motor Vehicle and Parts Dealers
New Car Dealers
Used Car Dealers
Motorcycle Dealers
Boat Dealers
All Other Motor Vehicle Dealers
Aircraft Dealers, Retail
Automotive Parts and Accessories Stores ...... ............ . ... .
Tire Dealers
Furniture and Home FurnishingsStores
Furniture Stores
Floor Covering Stores
Window Treatment Stores
All OtherHome Furnishings Stores
~ Electronicsand Appliance Stores
H()l!Seholdf\ppliance Stores
Radio, Television and Other Electronics Stores
Computer and Software Stores
Camera and Photographic Supplies Stores
Building Material and Garden Equipment and Supplies Dlrs
Home Centers
Paint and Wallpaper Stores
Hardware Stores
Other Building Material [)ealers
Outdoor Power Equipment Stores
Nursery and Garden Centers
Food and Beverage St()res
446000
447000
448000
448110
448120
448130
448140
448150
448190
448210
448320
451000
451211
451212
452000
453000
453110
453210
453220
453310
454000
454111
454112
454113
454210
454311
454312
454319
454390
480000
499999
481000
481111
481112
481211
481212
481219
482000
483000
484000
484110
484121
484122
484210
484220
484230
485000
485111
485112
485113
485119
485210
485310
485320
485410
485510
Health and Personal Care Stores
Gasoline Stations
Clothing and Clothing Accessories Stores
Men's Clothing Stores
Women's Clothing Stores
Children's and Infants' Clothing Stores
Family Clothing Stores
Clothing Accessories Stores
Other Clothing. Stores
Shoe Stores
Luggage and Leather Goods Stores
Sporting Good, Hobby, Book and Music Stores
Book Stores
News Dealers and Newsstands
General Merchandise Store
Miscellaneous Store Retailers
Florists
Office Supplies and Stationery Stores
Gift, Novelty and Souvenir Stores
Used Merchandise Stores
Electronic Shopping
Electronic Auctions
Mail-Order Houses
Nonstore Retailers
Vending Machine Operators
Heating Oil Dealers
Liquefied Petroleum Gas (Bottled Gas) Dealers
Other Fuel Dealers
Other Direct Selling Establishments
Transportation
Air Transportation
Scheduled Passenger Air :rransportatioJ1.
Scheduled Freight Air Transportation
Nonscheduled Chartered Passenger Air Transportation
Nonscheduled Chartered Freight Air Transport<;~tion
Other Nonscheduled Air Transportation
Rail Transportation
Water Transportation
Truck Transportation
General Freight Trucking, Local
General Freight Trucking, Long-Distance,Jruckload
General Freight Trucking, Long-Distance, Less Than
Truckload
Used HouseholdandOffice Goods Moving
Specialized Freight (except Used Goods) Trucking, Local
Specialized Freight (except Used Goods) Trucking, Long-
Distance
Transit and Ground Passenger Transportation
Mixed Mode Transit Systems
Commuter Rail Systems
Bus and Motor Vehicle TransitSystems
Other Urban Transit Systems ..
Interurban and Rural Bus Transportation
Taxi Service
Limousine Service
SchoolandEmployee Bus Transportation
Charter Bus Industry
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page3
134
California Unified Certification Program
List of NAICS Codes (partial)
485991
485999
486000
487000
488000
488111
488119
488190
488210
488310
488320
488390
488410
488490
488510
488991
488999
491000
492000
492110
492210
493000
493110
493120
493190
510000
511000
511110
511120
511130
511140
511199
511210
512110
512191
512199
512210
512220
512240
512290
515000
515111
515112
515120
515210
516000
516110
517000
517110
517211
517212
517310
517410
517510
517910
518000
518111
Special Needs Transportation
All Other Transit and Ground Passenger Transportation
Pipeline Transportation
Scenic and Sightseeing Transportation
Support Activities for Transportation
Air Traffic Control
Other Airport Operations
Other Support Activities for Air Transportation
Support Activities for Rail Transportation
Port and Harbor Operations
Marine Cargo Handling
Other Support Activities for Water Transportation
Motor Vehicle Towing
Other Support Activities for Road Transportation
Freight Transportation Arrangement
Packing and Crating
All Other Support Activities for Transportation
Postal Service
Couriers and Messengers
Couriers
Local Messengers and Local Delivery
Warehousing and Storage
General Warehousing and Storage
Refrigerated Warehousing and Storage
Other Warehousing and Storage
Information
Publishing Industries (except Internet)
Newspaper Publishers
Periodical Publishers
Book Publishers
Directory and Mailing List Publishers
All Other Publishers
Software Publishers
Motion Picture and Video Production
Teleproduction and Other Postproduction Services
Other Motion Picture and Video Industries
Record Production
Integrated Record Production/Distribution
Sound Recording Studios
Other Sound Recording Industries
Broadcasting (except Internet)
Radio Networks*
Radio Stations*
Television Broadcasting*
Cable and Other Subscription Programming
Internet Publishing and Broadcasting
Internet Publishing and Broadcasting
Telecommunications
Wired Telecommunications Carriers
Paging
Cellular and Other Wireless Telecommunications
Telecommunications Resellers
Satellite Telecommunications
Cable and Other Program Distribution
Other Telecommunications
Internet Service Providers, Web Search Portals, and Data
Processing Services
Internet Service Providers
518112
518210
519000
519110
519120
519190
520000
522000
522220
522291
522292
522298
522310
522320
522390
523000
523110
523120
523130
523140
523910
523920
523930
523991
523999
524000
524113
524114
524126
524127
524128
524130
524210
524291
524292
524298
525000
525110
525120
525190
525910
525920
525930
525990
530000
531000
531120
531130
531190
531210
531312
531320
531390
532000
532111
532112
Web Search Portals
Data Processing, Hosting, and Related Services
Other Information Services
News Syndicates
Libraries and Archives
All Other Information Services
Finance and Insurance*
Credit Intermediation and Related Activities
Sales Financing
Consumer Lending
Real Estate Credit
All Other Non-Depository Credit Intermediation
Mortgage and Nonmortgage Loan Brokers
Financial Transactions Processing, Reserve, and Clearing
House Activities
Other Activities Related to Credit Intermediation
Financial Investments and Related Activities
Investment Banking and Securities Dealing
Securities Brokerage
Commodity Contracts Dealing
Commodity Contracts Brokerage
Miscellaneous Intermediation
Portfolio Management
Investment Advice
Trust, Fiduciary and Custody Activities
Miscellaneous Financial Investment Activities
Insurance Carriers and Related Activities
Direct Life Insurance Carriers
Direct Health and Medical Insurance Carriers
Direct Property and Casualty Insurance Carriers
Direct Title Insurance Carriers
Other Direct Insurance (except Life, Health and Medical)
Carriers
Reinsurance Carriers
Insurance Agencies and Brokerages
Claims Adjusting
Third Party Administration of Insurance and Pension Funds
All Other Insurance Related Activities
Funds, Trusts and Other Financial Vehicles
Pension Funds
Health and Welfare Funds
Other Insurance Funds
Open-End Investment Funds
Trusts, Estates, and Agency Accounts
Real Estate Investment Trusts
Other Financial Vehicles
Real Estate and Rental and Leasing
Real Estate
Lessors of Nonresidential Buildings (except Miniwarehouses)
Lessors of Miniwarehouses and Self Storage Units
Lessors of Other Real Estate Property
Offices of Real Estate Agents and Brokers*
Nonresidential Property Managers
Offices of Real Estate Appraisers*
Other Activities Related to Real Estate
Rental and Leasing Services
Passenger Car Rental
Passenger Car Leasing
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page4
135
California Unified Certification Program
List of NAICS Codes (partial)
532120
532210
532299
532310
532411
532412
532420
532490
533110
540000
541110
541191
541199
541211
541213
541214
541219
541310
541320
541330
541340
541340
541350
541360
541370
541380
541410
541420
541430
541490
541511
541512
541513
541519
541611
541612
541613
541614
541618
541620
541690
541710
541720
541810
541820
541830
541840
541850
541860
541870
Truck, Utility Trailer, and RV (Recreational Vehicle) Rental
and Leasing
Consumer Electronics and Appliances Rental
All Other Consumer Goods Rental
General Rental Centers
Commercial Air, Rail, and Water Transportation Equipment
Rental and Leasing
Construction, Mining and Forestry Machinery and Equipment
Rental and Leasing
Office Machinery and Equipment Rental and Leasing
Other Commercial and Industrial Machinery and Equipment
Rental and Leasing
Lessors of Nonfinancial Intangible Assets (except
Copyrighted Works)
Professional, Scientific and Technical
Services
Offices of Lawyers*
Title Abstract and Settlement Offices
All Other Legal Services.
Offices of Certified Public Accountants*
Tax Preparation Services*
Payroll Services
. Qther Accounting Services
Architectural Services*
Landscape Architectural Services*
Engineering Seryices*
Drafting Services
Map Drafting
Building Inspection Services
Geophysical Surveying and Mapping Services*
Surveying and Mapping (except Geophysical) Services*
Testing Laboratories
Interior Design Services
Industrial Design Services
Graphic Design Services
Qther Specialized Design Services
Custom Computer Programming Services
Computer Systems Design Services
Computer Facilities Management Services
Other Computer Related Services
Administrative Management and General Management
Consulting Services
Human Resources and Executive Search Consulting
Services
Marketing Consulting Services
Process, Physical Distribution and Logistics Consulting
Services
Other Management Consulting Services
Environmental Consulting Services
Other Scientific and Technical Consulting Services
Research and Development in the Physical, Engineering,
and Life Sciences
Research and Development in the Social Sciences and
Humanities
Advertising Agencies
Public Relations Agencies
Media Buying Agencies
Meqia Representatives
Display Ad1fertising
Direct Mail Advertising
Advertising Material Distribution Services
541890
541910
541922
541930
541990
550000
551111
551112
560000
Other Services Related to Advertising
Marketing Research and Publ.ic Opinion F'ol~ng
Commercial Photography
Translation and Interpretation Services
All Other Professional, Scientific and Technical Services
Management of Companies and Enterprises
Offices of Bank HoldingC()Illpani~s~-
Offices of Other Holding Companies
Administrative and Support Services
Administrative and Support Services
Office Administrative Services
F aGilities ~upp<>.rt. ~er\liCE!S
Base rl!lai'!terlance ~··~·
Employment Placement Agencies
TemporaryHelp Services
Employee Leasing Services
Document Preparation Services
Telephone Answering Services
Telelllarl<eting Bureaus .
Private Mail Centers
OtherBusinessService Centers (including Copy Shops)
Collection Agencies
Credit Bureaus
Repossession Services
' Court F~~porti'!g_<Ji!d ~tenotype Services
All OtherB.u~n~ss§.uJ)pOrt ~~ryices ...
Travei.Agenci~s
Tour Operators
All Other Travel Arrangement and Reservation Servic~s
Investigation Services
Security Guards and PatroiServices*
Armored Car Services
Security Systems Services (except L()(;k!)llliths)
Locksmiths
Exterminating and Pest Control Services*
Janitorial Services
Landscaping Services*
561000
561110
561210
561210
561310
561320
561330
561410
561421
561422
561431
561439
561440
561450
561491
561492
561499
561510
561520
561599
561611
561612
561613
561621
561622
561710
561720
561730
561740
561790
561910
561920
561990
562000
562111
562112
562119
562211
562219
562910
562910
562920
562998
Carpet and Upholstery (:;leaning Services
~··~Other Se~ices t~ Buildings and Dwellings
610000
611410
611420
611430
611512
Pac~agingand ~abeling Services
Convention and Trade Show Organizers
All Other Support Services
Waste Management and Remediation Services
Solid Waste Collection
Hazardous Waste Collection*
Other Waste Collection
Hazardous Waste Treatment and Disposal*
Other Nonhazardous Waste Treatment and Disposal
Rerne<Jiati()n Services
Environmental Remediation Services
Materials Recovery Facilities
All Other Miscellaneous Waste Management Services
Educational Services
Business and Secretarial Schools
Computer Training
Professional and Management DevelopmentT!aining
Flight Training
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 5
136
California Unified Certification Program
List of NA/CS Codes (partial)
611513
611519
611630
611691
611692
611699
611710
620000
621000
621110
621210
621310
621320
621330
621340
621391
621399
621410
621420
621492
621493
621498
621511
621512
621610
621910
621999
622000
623000
624000
624110
Apprenticeship Training
Other Technical and Trade Schools
Language Schools
Exam Preparation and Tutoring
Automobile Driving Schools
All Other Miscellaneous Schools and Instruction
Educational Support Services
Health Care and Social Assistance*
Ambulatory Health Care Services
Offices of Physicians
Offices of Dentists
Offices of Chiropractors
Offices of Optometrists
Offices of Mental Health Practitioners (except Physicians)
Offices of Physical, Occupational and Speech Therapists
and Audiologists
Offices of Podiatrists
Offices of All Other Miscellaneous Health Practitioners
Family Planning Centers
Outpatient Mental Healthand Substance Abuse Centers
Kidney Dialysis Centers
Freestanding Ambulatory Surgical and Emergency Centers
All Other Outpatient Care Centers
Medical Laboratories
Diagnostic Imaging Centers
Home Health Care Services
Ambulance Services
All Other Miscellaneous Ambulatory Health Care Services-
Hospitals
Nursing and Residential Care Facilities
Socia/ Assistance
Child and Youth Services
624120 Services for the Elderly and Persons with Disabilities
624190 Other Individual and Family Services
624210 Community Food Services
624221 Temporary Shelters
624229 Other Community Housing Services
624230 Emergency and Other Relief Services
62431 0 Vocational Rehabilitation Services
624410 Child Day Care Services
710000 Arts, Entertainment and Recreation
711000 Performing Arts, Spectator Sports and Related Industries
712000 Museums, Historical Sites and Similar Institutions
713000 Amusement, Gambling and Recreation Industries
720000 Accommodation and Food Services
721000 Accommodation
722000 Food Services and Drinking Places
722110 Full-Service Restaurants
722211 Limited-Service Restaurants
722212 Cafeterias
722213 Snack and Nonalcoholic Beverage Bars
722310 Food Service Contractors
722320 Caterers
722330 Mobile Food Services
722410 Drinking Places (Alcoholic Beverages)
810000
811000
811111
811112
811113
811118
811121
811122
811191
811192
811198
811211
811212
811213
811219
811310
811411
811412
811420
811430
812000
812320
812331
812332
812921
812922
812930
813000
Other Services
Repair and Maintenance
General Automotive Repair
Automotive Exhaust System Repair
Automotive Transmission Repair
Other Automotive Mechanical and Electrical Repair and
Maintenance
Automotive Body, Paint and Interior Repair and Maintenance
Automotive Glass Replacement Shops
Automotive Oil Change and Lubrication Shops
Car Washes
All Other Automotive Repair and Maintenance
Consumer Electronics Repair and Maintenance
Computer and Office Machine Repair and Maintenance
Communication Equipment Repair and Maintenance
Other Electronic and Precision Equipment Repair and
Maintenance
Commercial and Industrial Machinery and Equipment
(except Automotive and Electronic)Repairand Maintenance
Home and Gardef! Equipment Repair and Maintenance
Appliance Repair and Maintenance
Reupholstery and Furniture Repair
Footwear and Leather Goods Repair
Personal and Laundry Services
Drycleaning and Laundry Services (except Coin-Operated)
Linen Supply
Industrial Launderers
Photo Finishing Laboratories (except One-Hour)
One-Hour Photo Finishing
Parking Lots and Garages
Religious, Grantmaking, Civic, Professional and Similar
Organizations
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 6
137
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Roster of Certifying Agencies
Note: If you received this information on hard copy, the California Unified Certification Program Application
Package is available on the website at http://www.dot.ca.gov/hg/bep/business forms.htm.
If the firm has its principal place of business in another state and is currently certified in that state, please
contact the California Department of Transportation in the Northern Cluster.
Southern Cluster
Area Counties
Riverside, Imperial
Riverside Imperial & San Diego
San Diego (RIS)
Los Angeles Kern
Los Angeles
Area Orange
San Bernardino
San Luis Obispo
Santa Barbara
Ventura
Note: Ltst of agenCies subject to change
Certifying Agencies
SUBMIT APPLICATION PACKAGE TO:
~ CITY OF LOS ANGELES*
~ LOS ANGELES COUNTY METROPOLITAN
TRANSPORTATION AUTHORITY
OR
~ CALIFORNIA DEPARTMENT OF TRANSPORTATION
SEE CONTACT INFORMATION BELOW
CITY OF LOS ANGELES*
Bureau of Contract Admin.
Centralized Certification Section
1149 S. Broadway, Ste 300
Los Angeles, CA 90015
Phone: (213) 847-2684
Fax: (213) 847-2777
htt(!:/lbca.lacity.org
*Only firms actively pursuing
contracting opportunities with
City of Los Angeles
or
firms located within
City of Los Angeles may apply
Roster
Page 2 of2
138
LOS ANGELES COUNTY
METROPOLITAN
TRANSPORTATION
AUTHORITY (METRO)
Diversity and Economic
Opportunity Department
One Gateway Plaza, MS 99-8-4
Los Angeles, CA 90012
Phone: (213) 922-2600
Fax: (213) 922-7660
www.metro.net
Updated 6/2011
Roster of Certifying Agencies
Northern Cluster
Area Counties
Bay Areal Alameda
Central Valley Amador
Calaveras
Contra Costa
Fresno
Kings
Madera
Marin
Mariposa
Merced
Monterey
Napa
San Benito
San Francisco
San Joaquin
San Mateo
Santa Clara
Santa Cruz
Solano
Sonoma
Stanislaus
Tulare
Tuolumne
Northern Alpine Nevada
California Butte Placer
Colusa Plumas
Del Norte Sacramento
ElDorado Shasta
Glenn Sierra
Humboldt Siskiyou
In yo Sutter
Lake Tehama
Lassen Trinity
Mendocino Yolo
Modoc Yuba
Mono
* Lzst of agenctes sub;ect to change
Certifying Agencies
S.F. BAY AREA RAPID
TRANSIT DISTRICT (BART)
Office of Civil Rights
300 Lakeside Drive
18th Floor
Oakland, CA 94612
Phone: (510) 464-6100
Fax: (510) 464-7587
www.bart.gov
CITY OF FRESNO
DBEProgram
2101 G Street, Building A
Fresno, CA 93706
Phone: (559) 621-1132
Fax: (559) 488-1069
www.fresno.gov
SANTA CLARA VALLEY
TRANSPORTATION
AUTHORITY (VTA)
Office of Small &
Disadvantaged Businesses
3331 North First Street, Bldg. A
San Jose, CA 95134-1906
Phone: (408) 321-5962
Fax: ( 408) 955-9729
www.vta.org
CENTRAL CONTRA COSTA
TRANSIT AUTHORITY
(CCCTA)
Office of Civil Rights
2477 Arnold Industrial Way
Concord, CA 94520-5327
Phone: (925) 676-1976
Fax: (925) 686-2630
www .cccta.org
CALIFORNIA
DEPARTMENT OF
TRANSPORTATION
(CAL TRANS)
Office of Business and Economic
Opportunity MS 79
1823 -14th Street
Sacramento, CA 95814
Phone: (916)324-1700or
(866) 810-6346
Fax: (916) 324-1862
www.dot.ca.gov
Roster
Page 2 of2
139
SAN FRANCISCO
MUNICIPAL
TRANSPORTATION
AGENCY (SFMTA)
Contract Compliance Office
I S. Van Ness Avenue, 6th Floor
San Francisco, CA 941 03
Phone: (415) 701-4436
Fax: (415) 701-4347
www .sfmuni.com
SAN MATEO COUNTY
TRANSIT DISTRICT (
SAM TRANS)/
PENINSULA CORRIDOR
JOINT POWERS BOARD
(JPB)
DBE Office
1250 San Carlos Avenue
San Carlos, CA 94070
Phone: (650) 508-7939
Fax: (650) 508-7738
www .samtrans.com
YOLO COUNTY
TRANSPORTATION
DISTRICT
(YO LOBUS)
DBE Programs
350 Industrial Way
Woodland, CA 95776
Phone: (530) 402-2817
Fax: (530) 661-1732
www.yolobus.com
Updated 6/2011
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit E
Uniform Report of DBE Awards or Commitments and Payments
140
Hispanic American I (dollars) 141 (nllml::>er) Subcont. Asian American Conscious I Conscious (dollars} {number) Asian-Pacific American Non-Minority Women Ht S19oature of Authctized (dollars) Other (i.e., not o1 any other group listed here) Neutral (numoor) -l l Percentage of total dollars to OBEs Year·End TOTALS Participation
INSTRUCTIONS l'OR COMPLETING Tim llNlFORM REPORT OF OBI<: AWARf>S OR COMl\HTl\U:NTS A.~D
PAYMENTS
l. Indicate the IXIT Operatmg Administration (OA) that proviclt>s
your Federal financial assistance. If assistance comes from m<>rc
than one OA, use separate reporting forms for each OA. If you arc an
FTA recipient, indicat•~ your Vendor Number in the space providctl.
2. lf you arc an fAA recipient, indicate the relevlltlt AlP Numbers
covered by this veport. If more than six, attach a scpnratc sheet
3. Specify the federal fiscal year (Lc., October ! ··September 30) in
which the covered reporting period falls.
4. State the date of submission of this report.
5. Check the appropriate box that indicates the reporting period
that the data provided in this ref'(lrt covers. If this report is due
June l, data should cover Cktober l ... March 3!. If this report i~
due December l, data should cover April l ·· September 30. If this
report is dnc w the FAA. data should cover the entire year.
6. Nam~ of the recipient
7. State your amma! DBE goal(s) established tor the Federal fiscal
year of this report to be submitted to and approve•! by the releva!lt
OA Your OvcmU Goal is to be reported as well as the breakdown
for specific Race Conscious and Race Neutral Goals {both of which
inclnde g•:ndcr-conscious/neutrai goals}. The Race Conscious Goal
portion should be based {>n programs that focus on 3llil provide
benefits only for DBEs. The usc of contract goals is a primary
example of a Race Com,dous measure. The Ruce Neutral Goal
portion should include programs that, while b.:ncfiting mms, arc
not solely focused on DBE finns, For example, n smn!l business
outreach program. technical assi$tancc, and prompt payrm:nt
clauses can assist a wid.: vnrkty of businesses in addition to
helping OBE 11rm~.
S-9. 'l11e amoullls in items !I{A)-9(1) should inclmle all t}1'cs of
prime \:ontracts awarded and all types of subcontracts awardcd e>r
committed, inciuding: professional or consulrant gerviccs.
construction. purdmse of materials or supplies. lease or purchase of
equipment and any other types ot' services. All dollar amounts arc
to rc!kct only the fcdeml share of Sitch comracrs, and should be
rounded to th~· nenrest dollar.
8(A). Provide the !P!;ll pt)!hlt :~mmmt for all prime contracts
as~ist~d with fX)T funds that were awarded during this reporting
period.
S(B). Provide the mta! numb~r of all prime contracts as>ISK-d with
DOT fimds that were awarded during this reporting period.
&(C). From the total dollar amount awarded in item 8(A), provide
the ilil.)l;<r amvunt awarded to certified DBEs during this repNling
period.
8(1)). From the total number of prime contracts awarded in item
S(B), specify the number award~>d to certified DBEs during this
reporting period
S(E). From th<: total dollars awarded in S(C), provide the 4cl.lm:
JllllQ1!Jl! awMdcd to DBEs though the usc of Race Conscious
methods. S•:e the definition of Race Consci<lUS Goal in itl.'m 7 and
the explanati<>a of project types in item 8 to induoo in y(nrr
calculation.
8(F). From the total number of prime contracts awanicd in 8(D).
specify the l1!llillltl: awarded to DBE.~ throug,h Race Conscious
methods.
S(G). From the total dollar amount awarded in item 8(C), provide
the !!QJ!ar mnoull.!. awarded to certified DBEs thr(>Ugh the u~c of
Rn<.'c Neutral methods. See t11e definition of Race Neutral Goal in
item 7 and the exp!amuion of proj~..:t types in item 8 to include.
8(H). From the total number of prime contracts awarded in 8{D},
specify the nnmher awarded to DB Es through Race Neutral methods.
8(1). Of all prime contracts awarded this reporting period, calculate
the ncrcentace going to DBE.<~. Divide the dollar amount in item
8(C) bv the dollar amount in item 8(A} to derive this perc.,ntagc.
Round' percentage to the nearest tent!;.
9(A}-9(1). Items 9(A}9(1} arc derived in toe same way as items 8(A)·
X(l). except that tllese calculations sll(>uld be based on subcontracts
rather than prime contracts. Unlike prime comracts. which may
only be awarded, subcontracts may be either awarded or committed.
lO(A)-11(1). For all DilEs awarded prime contracts and awarded or
committed subcontracts as indicated in 8{CJ-(D) nnd 9(C)-(D), break
the data down further by total dollar amount as well as the number
of a!l contracts going to each ethnic group as well as to non-
minority women. The "Other"' category includes those DBEs who
arc nnt members of the presumptively disadvantaged groups
alr.:ady listed, but who arc determined eligible for the OBE progra111
on an individnal basis (e.g. a Caucasian nmk with a disability), The
TOTALS value in lO(H} should equal the sum ofi)(C) plus. 9(C), and
similarly, the TOTALS value in 11(11) should equal the sum of 8(f))
plus 9(D ). Column I should only be filled out if this report is dw.'
on December 1, as indicated in item 5. The values for this cohnnn
arc derived by adding the values reported in column H in your first
rcporr with the wlucs rCJXlrt"d in this second report
t2(A). Provide the total number of prime contwcls completed
during this reponing period that had Rare ((>u.sci(>U> gouls. R;)ce
Conscious contracts arc tho><! with contract goals or anotl11::r Rilce
Con~ci(>US rneasnrc.
IZ(B). Provide th~ total dollar vuluc of prime contracts complct.:d
this reporting period that had Race Con~cious goals.
12((:). Provide the total dollar amount of DBE participation on all
Race Conscious prime ..:ontracts completed this reporting period
that was necessary ro nK-et the contract goals on them. This applies
only to Race Cnnscious prime contrac\5.
l2(D). Provide the actual total DBE participation in dollars on the
race conscious prime comracts completed this reporting period.
l2(E). or all the prime contracts completed this reporting period.
ct:lculute the percentage of DBE participation. Divide the actual
toml dollar amount in l2{D) by the total dvllar value provided in
12(B) to derive this perc~·ntage. Round to the nearest tcmh.
U(A)·B(E). Items !3(AH3(E) arc derived in the same manner as
itc;ns l2(A)-!2(E), except these figures shonld be based on Race
Neutral prime contacts (Le. those with no race conscious measures).
14(A)-l4(E). Calculate the totab for each column by adding the
race conscious and neutral figures prtwitlcd in each row above.
! 5. :-lame of the Authorized Representative pr..:paring this form.
16. Signature of the Authorized Represent~tivc.
l7. Phon<: number \)f the Authorbwd R.~:prcscmative.
l g, Fax number ot' the Authorized Rcpmscmativc.
*"Submll your (Omplcted report tO y<>ur Regional or Division Offite.
142
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
State Route 91 Corridor Improvement Project
Exhibit F
Monthly Subcontractors Paid Report
143
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (Month/Year) Report Number Date Prepared ' ' " '0 ''" !:!: >!!m, " ~~~~?m]A!~j)tt ~: m :i ', ' }]Rf 1) Project Name 2) Project Location : 3) Contract Number : 4) Original Contract 5) Contract Award Date i Award Amount 6) Current Contract ' 7) RCTC Payment to 8) Total Amount Paid to Value Prime This Month : Prime to Date 9) Date of Last Progress 1 0) Percent of Project 11) DBE Goal Payment Received from Complete ' Percentage RCTC l (committed) . -" ; " 12) Prime Contractor 13) Contact Person ! 14) Street Address 15) City/State/Zip T I 16) Area Code/Phone No. 17) Email Address I -ill '" ~ --" ; L -~ -" Dollars Dollar Original Dollar+/-18) SUBCONTRACTOR/SUPPLIER Paid This Amount Schedule Activity ID Type of Work Dollar resulting from Month Paid to (Construction only) Performed Amount Change Order Date Committed Activity Subcontractor/Supplier #1 ! 1 1 1 ! 1 Name Address Area Code/Phone Contact Person Subcontractor/Supplier #2 1 1 1 ! 1 Name Address Area Code/Phone Contact Person Subcontractor/Supplier #3 1 1 T 1 1 Name Address Area Code/Phone Contact Person 144
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (MonthNear) Report Number Date Prepared Subcontractor/Supplier #4 l l l l ! ! Name Address Area Code/Phone Contact Person Subcontractor/Supplier #5 ; ! ! ! ! ! ! Name Address Area Code/Phone Contact Person Subcontractor/Supplier #6 ! ! ! ! ! ! Name Address Area Code/Phone Contact Person INSTRUCTIONS The Prime shall make prompt payment of all monies due and owed to DBE and non-DBE firms within 10 business days upon receipt of payment from Riverside County Transportation Commission (RCTC) as per Contract Agreement. Payment of retention shall be made to all DBE and non-DBE subcontractors within 10 days after satisfactory completion of the subcontracted work. This form is due to RCTC by the 15th of each month and should reflect all payments made to subs through the last day of the previous month. The Prime must report monthly, even if the sub(s) did not perform any work for the previous month. Please forward signed original documents by email and/or fax. Completed By: .--------------------------------------------------------------------------------,----------------, Name Signature Date 145
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (Month/Year) Report Number Date Prepared Pavment Hist DBE Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier DBE Sub/Supplier Subcontractors/Suppliers #1 #2 #3 #4 #5 #6 Total Invoice Invoice Date Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Numbers and Date Paid I i GRAND TOTAL (Paid to Date) 146
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (MonthNear) Report Number Date Prepared Instructions -Summary of Monthly DBE Payments Information SUCCESSFUL BIDDER: This form requires specific information regarding the disadvantaged business enterprise subcontractors paid on this construction contract. The form must be completed for all DBEs. The form requires that the Reporting Period (month/year) be included. A Report Number should also be completed. This field should include a sequential number with the first form having number "1". The date prepared should also be included. IMPORTANT: Identify all DBE firms that were paid during the reporting period for the project, regardless of tier. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid. There is a column for the "Dollars Paid This Month". Enter the Total amount paid for each DBE firm for the reporting period. Also include the total amount paid to date, which shall include the amount paid for the current reporting period. Include the Schedule Activity ID for construction contracts. Include a brief description for the type of work performed. The original dollar amount committed to the DBE firm should be included in the appropriate Column and any increase or decrease in the subcontract amount resulting from a change order shall be included in the "Dollar +/-resulting from Change Order Activity" column. This form must be signed and dated by the prime contractor's representative that is responsible for reporting DBE compliance matters. The form must be submitted no later than the 151h day of each month. 147
RESOLUTION NO. 12-005
RESOLUTION OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
ADOPTING ITS
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
ATTACHMENT 2
AND OVERALL DISADVANTAGED BUSINESS ENTERPRISE PROJECT GOAL
(49 CFR PART 26) AS IT APPLIES TO FUNDING RECEIVED
DIRECTLY FROM THE FEDERAL HIGHWAY ADMINISTRATION
WHEREAS, the Riverside County Transportation Commission
(Commission) adopted a Disadvantaged Business Enterprise (DBE) program in
1999;
WHEREAS, the DBE Program adopted in 1999 was for Federal Highway
Administration (FHWA) funds received by the Commission as a sub-recipient
through the California Department of Transportation (Caltrans);
WHEREAS, the Ninth Circuit Court of Appeals, in a decision regarding
the Washington State Department of Transportation, determined that sufficient
evidence must exist to support the use of race-conscious measures on federal-aid
contracts;
WHEREAS, the Commission is still required, pursuant to 49 CFR
Part 26, to adopt a DBE goal and implement its DBE program for federal
funding received by the Commission directly from the FHWA;
WHEREAS, the methodology to determine the agency's DBE goal shall
be in accordance with 49 CFR Part 26;
WHEREAS, the Commission is a direct recipient of FHWA funds;
WHEREAS, the Commission does not currently have sufficient
evidence of discrimination or its effects which would support the adoption or
implementation of a race-conscious DBE goal;
WHEREAS, in light of the Ninth Circuit ruling and the U.S. DOT directive,
148
and in accordance with 49 CFR Part 26, the Commission has utilized all race
neutral methodology in calculating the State Route 91 Corridor Improvement
Project.
NOW, THEREFORE, the Riverside County Transportation Commission
hereby resolves as follows:
SECTION 1. The Riverside County Transportation Commission submits its
Overall DBE Project goal for the State Route 91 Corridor Improvement Project.
SECTION 2. The Overall DBE goal for the State Route 91 Corridor Improvement
Project shall be 2.9%.
SECTION 3. The Commission shall implement a race-neutral DBE program,
and shall take affirmative steps to utilize race-neutral means of meeting its overall
goal.
ADOPTED this 2nd day of February, 2012.
John J. Benoit, Chair
Riverside County Transportation Commission
ATTEST:
Jennifer Harmon, Clerk of the Board
Riverside County Transportation Commission
149
AGENDA ITEM 70
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
TO: Riverside County Transportation Commission
FROM: Matt Wallace, Procurement Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Federal Transit Administration Disadvantaged Business Enterprise
Program and Proposed Overall Project Goal
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Adopt Resolution No. 12-004, "Resolution of the Riverside County
Transportation Commission Adopting Its Disadvantaged Business Enterprise
Program and Overall Disadvantaged Business Enterprise Project Goal (49 CFR
Part 26) As It Applies to Funding Received Directly from the Federal Transit
Administration";
2) Adopt the Commission's Disadvantaged Business Enterprise (DBE) Program
for the San Jacinto Branch Line Commuter Rail (Perris Valley Line) project, a
Federal Transit Administration (FTA) assisted contract. The DBE Program
includes a proposed 3.8% overall DBE project goal for the Perris Valley Line
project. The goal is wholly race-neutral and will be finalized following the
required 45-day public comment period, which concludes on or about March
20, 2012;
3) Authorize the Executive Director to execute the DBE Program and Policy
Statement on behalf of the Commission for submission to FT A;
4) Post the proposed overall DBE project goal to allow for public participation as
required by Title 49 CFR, Part 26, make the DBE program document
available for review to the public for 30 days, and receive comments for 45
days; and
5) Submit the proposed DBE program document and overall DBE project goal to
the FT A for approval.
BACKGROUND INFORMATION:
In accordance with regulations of the U.S. Department of Transportation (U.S.
DOT) under Title 49 CFR Part 26, the Commission must implement a DBE program
and overall DBE project goal as a condition to receive a commitment for federal
financial assistance from the FTA as a direct recipient.
Agenda Item 70
150
The DBE Program and Policy Statement has been developed by the Commission to
address this requirement and will be implemented by the Commission's DBE Liaison
Officer, who is the Commission's Procurement Manager. This DBE program will be
implemented in a wholly race-neutral fashion to conform with directives issued by
the U.S. DOT related to the Ninth Circuit U.S. Court of Appeals (Ninth Circuit)
decision in the Western States Paving Co. vs. Washington State Department of
Transportation case. These directives prohibit any U.S. DOT recipient in the
jurisdiction of the Ninth Circuit, including the Commission, from using race-
conscious contract DBE goals on DOT-assisted contracts if the recipient does not
possess evidence of discrimination in its transportation contracting program. The
Commission does not possess such evidence of discrimination and for this reason
will be implementing a wholly race-neutral DBE program.
Under a wholly race-neutral DBE program, contracts let by the Commission will not
include a DBE participation goal as a condition of award. Rather, in accordance
with 49 CFR Part 26, the Commission will implement extensive small business
outreach efforts and use other race neutral measures when applicable.
The proposed race-neutral overall DBE project goal is 3.8%. The goal is based on
the relative availability of DBE firms in the Commission's geographic market area
(defined as Riverside County, San Bernardino County, and Orange County). The
established market area represents where the Commission anticipates a majority of
contractors and subcontractors will be located. Data to determine this relative
availability was extracted from the California Unified Certification Program DBE
Directory of Certified Firms and the 2009 U.S. Census Bureau County Business
Pattern Database. The analysis attached to this staff report details the
methodology utilized in developing the overall project goal for the Perris Valley Line
project.
As required, the proposed overall project goal will undergo a public notice and
comment period. The public notice will be published in a local newspaper(s) to
inform the public of the proposed goal and the rationale for setting the goal. The
goal setting document will be available for inspection at the Commission office for
30 days following the date of the notice, with a 45-day comment period.
Additionally, the Commission will contact several market area small business
professional organizations, including minority and women focused organizations, to
present the overall DBE program goal and garner any feedback. If there is
compelling evidence received during the public comment period that supports a
modification to the proposed overall DBE program goal, the Commission will make
the appropriate adjustment before submitting its final overall DBE program goal to
the FTA by March 20, 2012.
Attachments:
1) RCTC's DBE Program
2) Resolution No. 12-004
Agenda Item 70
151
ATTACHMENT 1
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
I. POLICY STATEMENT AND PROGRAM OBJECTIVES
Policy Statement (§26.3; §26.7; §26.21; §26.23)
The Riverside County Transportation Commission (RCTC) has established and adopted
a Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of
the U.S. Department of Transportation (DOT), Title 49, Code of Federal Regulations
(CFR), Part 26 "Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs." RCTC anticipates receiving Federal
financial assistance from the DOT, Federal Transit Administration (FTA), and as a
condition of receiving this assistance, RCTC will sign an assurance that it will comply
with 49 CFR Part 26.
It is the policy of RCTC to ensure that DBEs as defined in 49 CFR Part 26 have an
equal opportunity to receive and participate in RCTC'S DOT -assisted contracts.
It is also our policy to:
o Create a level playing field by which DBEs can compete for and perform in
RCTC's DOT -assisted contracting opportunities;
o Ensure non-discrimination in the award and administration of all RCTC
contracts and subcontracts;
o Ensure that RCTC's DBE Program is narrowly tailored in accordance with
applicable law and current legal standards, including the Ninth Circuit Ruling
in Western States Paving vs. Washington State Department of
Transportation;
o Ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
o Help remove procurement and contracting barriers, which impede DBE and
Small Business participation in RCTC DOT-assisted contracts;
o Assist in the development of DBEs and Small Businesses to increase their
ability to compete successfully in the market place outside the DBE Program;
and
o Ensure RCTC's prime contractors and their subcontractors take all necessary
and reasonable steps to comply with these policy objectives.
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 1 of 13
152
As evidence of RCTC's commitment to pursue these policy objectives, the Executive
Director has designated Mr. Matthew Wallace, Procurement Manager, as the DBE
Liaison Officer (DBELO). In this capacity Mr. Wallace is responsible for implementing
all aspects of the DBE Program. The DBELO has direct access to the Executive
Director for DBE-related matters. Implementation of the DBE Program is accorded the
same priority as compliance with all other legal obligations incurred by RCTC in its
financial assistance agreements with DOT.
RCTC will disseminate this policy statement to all of the departments of our
organization. Additionally, RCTC will distribute this policy to DBE and non-DBE
business communities that perform or are interested in performing work on RCTC
projects.
Through such efforts, RCTC will ensure DOT-assisted contracting and procurement
related processes promote equity in access, consideration and opportunity for DBEs
and other small businesses in response to requirements set forth under 49 CFR Part
26; "Participation of Disadvantaged Business Enterprises in U.S. Department of
Transportation Programs," effective March 4, 1999, and subsequently issued DOT
Directives and Final Rules.
Ms. Anne Mayer, Executive Director
[Signature of Executive Director] Date
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 2 of 13
153
II. APPLICABILITY (§26.3; §26.21)
RCTC, as a direct recipient of federal funds from the DOT, and as a condition of
receiving Federal financial assistance, is required to submit for approval to the DOT
Operating Administration from which it receives the majority of its funding, a DBE
Program developed in accordance with federal regulations published under 49 CFR
Part 26 and subsequent guidance. This DBE Program sets forth the policies and
procedures to be implemented by RCTC to ensure that DBEs have an equitable
opportunity to participate in RCTC's DOT-assisted contracting program.
In direct response to these regulatory requirements, RCTC hereby establishes a DBE
Program, which will:
1. Comply with federal regulations and financial assistance agreements;
2. Meet legal standards for narrow-tailoring requirements;
3. Ensure non-discrimination in the award of DOT-assisted contracts; and
4. Reaffirm RCTC's commitment to fairness and the principles of equal opportunity.
In conformance with 49 CFR Part 26, RCTC will continue to carry out its DBE Program
until all DOT funds have been expended.
RCTC additionally complies with the California Department of Transportation's
(Caltrans') DBE Program on projects on which it is a subrecipient of federal funds
through Caltrans.
RCTC will advise all applicable DOT Operating Administrations of any significant
updates and/or changes to this DBE Program.
Ill. DEFINITION OF TERMS (§26.5)
Race-Conscious Measure or Program: A program or portion thereof that focuses
specifically on assisting only DBEs, including minority and women-owned DBEs, by the
development and inclusion of participation goals or Good Faith Effort activities.
Race-Neutral Measure or Program: A program or portion thereof that assists all Small
Businesses, including DBEs, regardless of ownership status, in successfully
participating in RCTC's procurement program. For the purposes of the DBE Program,
"race-neutral" includes gender-neutrality.
Any other term used in this DBE Program shall have the meaning set forth in 49 CFR
Part 26, attached to this document under Exhibit A, specifically at §26.5.
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 3 of 13
154
IV. RESPONSIBILITIES FOR DBE PROGRAM IMPLEMENTATION
DBE Liaison Officer (§26.25)
RCTC has designated the following individual as the DBE Liaison Officer (DBELO):
Mr. Matt Wallace
Procurement Manager/DBELO
Riverside County Transportation Commission (RCTC)
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Telephone: (951) 787-7908; Fax: (951) 787-7906
Email: mwallace@rctc.org
In this capacity, the DBELO is responsible for implementing all aspects of the DBE
Program and ensuring that RCTC complies with all provisions of 49 CFR Part 26
and subsequent DOT -issued directives and final rules. The DBELO has direct,
independent access to RCTC's Executive Director concerning DBE Program matters
(Refer to Exhibit B, "DBE Program Organizational Chart"). The DBELO has
sufficient support personnel who devote a portion of their time to implement the
Program. The DBELO is responsible for developing, implementing and monitoring
the DBE Program, in coordination with other appropriate officials.
The DBELO's and/or designee's duties include, but are not limited to, the following
activities:
1. Gathers and reports statistical data and other information as required by the
DBE Program, including preparation of semi-annual DBE reports and overall
DBE goal and related analysis for submission to the applicable DOT
Operating Administration and management ad hoc reporting.
2. Reviews applicable contracts, purchase requisitions, advertisements,
boilerplate language specifications and other related documentation specific
to implementing applicable DBE requirements.
3. Consults with all affected departments in developing the overall DBE goal.
4. Ensures that bid notices and requests for proposals are made available to
DBEs in a timely manner.
5. Reviews DOT-assisted contracts and procurements for purposes of applying,
when appropriate, contract-specific DBE goals and/or applicable race-neutral
methods.
6. Analyzes RCTC's progress towards meeting overall DBE goal commitments
by monitoring individual contract DBE attainments.
7. Participates in reviewing DBE solicitation and contract requirements with
potential bidders and/or offerors.
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 4 of 13
155
8. Advises the Executive Director and/or the governing body on DBE matters
and achievements.
9. Determines contractor compliance with race-conscious DBE Good Faith Effort
provisions, as applicable in a race-conscious environment, and conducts
contract DBE responsiveness reviews, including assessing DBE participation
eligibility towards RCTC's overall DBE goal.
Additionally, the DBELO and/or designee is charged with implementing the race-
neutral measures defined in Section VI of this DBE Program document.
Reconsideration Official (§26.53 (d))
Should RCTC implement a race-conscious component to this DBE Program, the DBE
Program will be amended to provide the procedures for the administrative
reconsideration process and to specify RCTC's Reconsideration Official.
V. ADMINISTRATIVE REQUIREMENTS
Non-discrimination Requirements (§26.7)
RCTC will never exclude any person from participation in, deny any person the benefits
of, or otherwise discriminate against anyone in connection with the award and
performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex,
or national origin.
In administering its DBE Program, RCTC will not, directly or through contractual or other
arrangements, use criteria or methods of administration that have the effect of defeating
or substantially impairing accomplishment of the objectives of the DBE Program with
respect to individuals of a particular race, color, sex, or national origin.
Federal Financial Assistance Agreement Assurance (§26.13 (a))
RCTC will sign the following assurance as a condition of financial assistance
agreements with the DOT, and which is hereby made applicable to all of RCTC's DOT-
assisted contracts:
"RCTC shall not discriminate on the basis of race, color, national origin, or
sex in the award and performance of any U.S. DOT-assisted contract or in
the administration of its DBE Program or the requirements of Title 49,
CFR, Part 26. RCTC shall take all necessary and reasonable steps under
Title 49, CFR, Part 26 to ensure nondiscrimination in the award and
administration of U.S. DOT-assisted contracts. RCTC's DBE Program, as
required by Title 49, CFR, Part 26 and as approved by U.S. DOT, is
incorporated by reference in this agreement. Implementation of this
Program is a legal obligation and failure to carry out its terms shall be
treated as a violation of this agreement. Upon notification to RCTC of its
Riverside County Transportation Commission Disadvantaged Business Enterprise Program
Page 5 of 13
156
failure to carry out its approved program, the Department may impose
sanctions as provided under Title 49, CFR, Part 26 and may, in
appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001
and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et
seq.)."
DBE Financial Institutions (§26.27)
At this time, RCTC has not identified DBE-Owned financial institutions. However,
RCTC encourages contractors to use the services of minority and women-owned
financial institutions identified from listings posted at the Website of the Financial
Management Service, US Department of the Treasury, Minority Bank Deposit Program.
The Internet address of this website is: http://www.fms.treas.gov/mbdp.
DBE Directory (§26.31)
RCTC will refer contractors to the California Unified Certification Program (CUCP)
Database of Certified DBE Firms (DBE Directory) to assist in identifying certified DBEs.
The DBE Directory is published at www.CaliforniaUCP.com.
Overconcentration (§26.33)
RCTC has not identified any types of work that have a burdensome overconcentration
of DBE participation. However, should RCTC determine that overconcentration exists in
a work classification, RCTC will obtain the approval of the concerned DOT Operating
Administration of its determination and the measures devised to address it. Once these
measures are approved, they will become part of RCTC's DBE Program.
Business Development Programs (§26.35)
RCTC has not established a business development program. The DBELO will
continually evaluate the need and assess whether RCTC should establish a Business
Development Program and/or a Mentor Protege Program. If RCTC establishes either
program, the program will be guided by the applicable Appendix of 49 CFR Part 26 and
approved by the concerned DOT Operating Administration before being implemented.
Fostering Small Business Participation (§26.39)
RCTC will structure contracting requirements to facilitate competition by Small
Businesses by specifying elements of work that Small Businesses can perform and
providing subcontract opportunities for those elements to DBEs and other Small
Businesses.
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VI. DETERMINING, MEETING AND COUNTING DBE PARTICIPATION
TOWARDS THE OVERALL DBE GOAL (§26.45; §26.51; §26.55)
Methodology for Setting Overall DBE Goals (§26.45; §26.49)
In accordance with §26.45(e)(3), and with FTA approval, RCTC will establish an overall
goal which will represent the amount of DOT -assisted funds RCTC anticipates
expending on DBE firms, and will be presented as a percentage of the total DOT-
assistance received.
The overall goal will be developed in accordance with the 2-step process specified in
§26.45 (c) & (d). The first step is to determine the goal "base figure" based on the
relative availability of DBEs in RCTC's market area. The second step is to adjust the
goal "base figure" from Step 1 so that it reflects as accurately as possible the DBE
participation RCTC would expect in the absence of discrimination based on past
participation, a disparity study and/or information about barriers to DBE participation.
Annual projections on DBE participation during each fiscal year will be developed as
specified by §26.45 (e)(3)(iii).
Additionally, RCTC will provide for public participation in establishing an overall goal.
RCTC will publish a notice of the proposed overall goal, informing the public that the
proposed goal and its rationale are available for inspection during normal business
hours at RCTC for 30 days following the date of the notice, and informing the public that
RCTC and DOT will accept comments on the goals for 45 days from the date of the
notice. Notice will be issued in general circulation media and available minority-focused
media & trade publications. Additionally, RCTC will issue the notice to minority,
women's and general contractor groups, community organizations, and other officials or
organizations to solicit information concerning the availability of disadvantaged and non-
disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and
RCTC's efforts to establish a level playing field for the participation of DBEs.
RCTC will submit the overall goal to DOT in accordance with §26.45 (f)(2). The overall
goal submission to DOT will include a summary of information and comments received
during this public comment/participation process and any RCTC responses. A complete
description of the methodology applied to calculate the overall goal can be found in
Exhibit C to this program.
RCTC will begin using the overall goal with the issuance of solicitation documents, likely
to occur in the first quarter of 2012.
Transit Vehicle Manufacturers (TVM) Certifications (§26.49)
RCTC does not purchase TVM's, therefore this section is not applicable.
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Race-Neutral Measures (§26.51)
RCTC has considered the full complement of race-neutral measures identified in 49
CFR part 26. RCTC plans to implement the following race-neutral activities aimed at
increasing DBE and other Small Business participation.
1. RCTC will structure and present solicitations and schedules in ways that facilitate
DBE and other Small Business participation. RCTC will also facilitate Small
Business conferences, which includes a networking component to promote
teaming opportunities between prospective prime contractors and the DBE and
Small Business contracting community.
2. RCTC will require prime contractors to provide assistance to Small Business
including DBEs in overcoming limitations such as inability to obtain bonding or
financing. RCTC will additionally refer the DBE and Small Business contracting
community to the SBA Bonding Assistance Program.
3. RCTC will carry out a communications effort to inform DBEs and other Small
Businesses of opportunities that may be available.
4. As a supportive service to help develop and improve immediate and long-term
business management, record keeping, and financial and accounting capability
for DBEs and other Small Businesses, RCTC will actively promote Small
Business conferences, programs and supportive services currently offered by
peer agencies which have mature DBE and Small Business Programs and are
seeking increased DBE and Small Business participation in their programs.
5. RCTC will advise contractors to the online directory of certified DBEs, found at
the CUCP website: www.CaliforniaUCP.com.
Use of Set-Asides or Quotas (§26.43)
RCTC shall not permit the use of quotas for DBEs on DOT -assisted contracts in
accordance with 49 CFR Part 26. Further, RCTC shall not set aside contracts for DBEs
on DOT -assisted contracts subject to the regulatory provisions, except in limited and
extreme circumstances where no other method could be reasonably expected to
redress egregious instances of discrimination.
Counting DBE Participation and Commercially Useful Function (§26.55)
RCTC will count DBE participation toward the overall goal as provided in 49 CFR
§26.55. RCTC will not count the participation of a DBE subcontract toward final
compliance with its DBE obligations until the amount being counted has actually been
paid to the DBE.
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VII. REQUIRED CONTRACT PROVISIONS AND ENFORCEMENT
Contractor's Assurance Clause Regarding Non-Discrimination (§26.13)
RCTC will ensure that the following clause is placed in all DOT-assisted contracts and
subcontracts:
"The contractor or subcontractor shall not discriminate on the basis of
race, color, national origin, or sex in the performance of this contract. The
contractor shall carry out applicable requirements of Title 49, CFR, Part 26
in the award and administration of RCTC's U.S. DOT-assisted contracts.
Failure by the contractor to carry out these requirements is a material
breach of this contract, which may result in the termination of this contract
or such other remedy as RCTC deems appropriate."
Prompt Payment Provisions (§26.29)
The DBE Program found at 49 CFR Part 26 requires that any delay or postponement of
payment over 30 days may take place only for good cause and with RCTC's prior
written approval. Any violation of this provision shall subject the violating prime
contractor or subcontractor to the penalties, sanctions and other remedies specified in
Section 7108.5 of the Business and Professions Code. These requirements shall not
be construed to limit or impair any contractual, administrative, or judicial remedies
otherwise available to the prime contractor or subcontractor in the event of a dispute
involving late payment or nonpayment by the prime contractor, deficient subcontract
performance, or noncompliance by a subcontractor.
Any delay or postponement of payment from the above-referenced timeframes may
occur only for good cause following written approval from RCTC. Failure to comply with
this provision without prior approval from RCTC will constitute noncompliance, which
may result in the application of appropriate administrative sanctions, including, but not
limited to, withholding of payment to the prime contractor of two percent (2%) of the
invoice amount due per month, for every month that full payment is not made in
accordance with these prompt payment requirements.
1. Prompt Progress Payments to Subcontractors
RCTC will include a contract clause that will require the prime contractor to pay each
subcontractor for satisfactory performance of its contract no later than 1 0 days from
the receipt of each payment the prime contractor receives from RCTC. Any delay or
postponement of payment from the above referenced time frame may occur only for
good cause following written approval of RCTC. This clause applies to both DBE
and non-DBE subcontractors.
2. Payment of Retention Withheld from Subcontractor
RCTC elects to hold retainage from the prime contractor. RCTC will provide prompt
and regular incremental acceptances of portions of the work and pay retainage to
the prime contractor based on these acceptances.
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RCTC will include a contract clause that will require the prime contractor to make
prompt and full payment of any retainage owed to subcontractors for satisfactory
completion of the subcontractors work within 30 days after subcontractor's work has
been satisfactorily completed.
VIII. DBE CERTIFICATION STANDARDS (§26.61-§26.73; §26.81;
§26.83a)
As a non-certifying member of the CUCP, RCTC will accept DBE certifications from
certifying member agencies of the CUCP. The CUCP DBE Certification application is
presented in Exhibit D.
For more information about the certification process or to apply for certification, firms
should visit the CUCP website at www.californiaucp.com.
IX. CERTIFICATION PROCEDURES (SUBPART E)
Unified Certification Program (UCP) (§ 26.81) & Procedures for Certification
Decisions (§ 26.83)
RCTC is a member of the CUCP administered by the state of California Certifying
Members. The CUCP will meet all of the requirements of Subpart E of 49 CFR Part 26.
X. RECORD KEEPING AND MONITORING (§26.11, §26.37)
RCTC will develop an appropriate record keeping system as a mechanism for
monitoring and tracking DBE commitments/attainments. The tracking system will
include procedures adopted by RCTC to comply with DOT regulations and maintenance
of support documentation including subcontractor commitments, contract documents for
all subcontractors, and monthly Subcontractors Paid Reports (see Exhibit F) from the
prime contractor.
RCTC will also develop and maintain a hard-copy management file which will include
documentation of all DBE Program related compliance monitoring and enforcement
activities.
A. Bidders List(§ 26.11)
RCTC will develop and maintain a Bidders List consisting of all firms bidding on
RCTC projects, along with the subcontractors that are members of the firms team at
time of bid, and any new subcontractors that get added to their team over the
duration of the contract. The following information will be included in the bidders list:
1. Firm Name;
2. Address;
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3. Years in Business;
4. Status as a DBE or non-DBE;
5. Type of Work; and
6. Annual Range of Gross Receipts.
B. Reporting to DOT (§ 26.11)
RCTC will submit to the applicable DOT Operating Administration the "Uniform
Report of DBE Awards or Commitments and Payments" (Refer to Exhibit E) semi-
annually on June 1 and December 1 of each year, as required. The June 1 report
will include DBE activity from October 1 through March 31. The December 1 report
will include DBE activity from April 1 through September 30. This report presents a
summary of the prime contract and all subcontracts awarded or committed. This
report will additionally provide attainments achieved.
Upon request, RCTC will compile and submit ad-hoc DBE contract award and
progress reports. Furthermore, RCTC will continue to provide reports relative to
RCTC's DBE Program, as directed.
c. Information, Confidentiality. Cooperation(§ 26.109)
RCTC will safeguard from disclosure to third parties information that may reasonably
be regarded as confidential business information, consistent with Federal Freedom
of Information and Privacy Acts (5 U.S.C. 552 and 552a), California Public Records
Act (Government Code §6250) state, and local law. Notwithstanding the preceding
provision, RCTC will not release any information that may reasonably be construed
as confidential business information to any third party (other than DOT) without the
written consent of the firm that submitted the information. This includes applications
for DBE certification and supporting information.
D. Monitoring and Enforcement Mechanisms (§ 26.37)
RCTC will implement appropriate mechanisms to ensure compliance with 49 CFR
Part 26 requirements by all program participants (e.g., applying legal and contract
remedies available under Federal, state and local law). RCTC's DBE Program will
include a monitoring and enforcement mechanism to ensure that work committed to
DBEs is actually performed by DBEs. Such mechanisms will provide a running tally
of actual DBE attainments (e.g., payments actually made to DBE firms), including a
means of comparing these attainments to commitments.
RCTC may perform interim audits of contract payments to DBEs. The audit will
review payments to DBE subcontractors to ensure that the actual amount paid to
DBE subcontractors equals or exceeds the dollar amounts committed.
RCTC will bring to the attention of the DOT any false, fraudulent, or dishonest
conduct in connection with the program, so that DOT can take the steps provided in
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26.107 (e.g., referral to the Department of Justice for criminal prosecution, referral to
the DOT Inspector General, action under suspension and debarment or Program
Fraud and Civil Penalties rules). Additionally, RCTC will consider similar action
under its own legal authorities, including responsibility determinations in future
contracts.
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List of Exhibits
Exhibit A: DBE Program Regulations
Exhibit B: DBE Program Organizational Chart
Exhibit C: RCTC Goal Setting Methodology
Exhibit D: CUCP DBE Certification Application
Exhibit E: Uniform Report of DBE Awards or Commitments and Payments
Exhibit F: Monthly Subcontractors Paid Report
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Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
Exhibit A
DBE Program Regulations
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
TITLE 49: TRANSPORTATION
PART 26-PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
Section Contents
Subpart A-General ................................................................................................................................................... 3
§ 26.1 What are the objectives of this part? ......................................................................................... 3
§ 26.3 To whom does this part apply? .................................................................................................. 3
§ 26.5 What do the terms used in this part mean? ............................................................................... 3
§ 26.7 What discriminatory actions are forbidden? .............................................................................. 6
§ 26.9 How does the Department issue guidance and interpretations under this part? ...................... 6
§ 26.11 What records do recipients keep and report? ........................................................................... 6
§ 26.13 What assurances must recipients and contractors make? ........................................................ 7
§ 26.15 How can recipients apply for exemptions or waivers? .............................................................. 7
Subpart B-Administrative Requirements for DBE Programs for Federally-Assisted Contracting ................ 8
§ 26.21 Who must have a DBE program? .............................................................................................. 8
§ 26.23 What is the requirement for a policy statement? ....................................................................... 8
§ 26.25 What is the requirement for a liaison officer? ............................................................................ 8
§ 26.27 What efforts must recipients make concerning DBE financial institutions? .............................. 9
§ 26.29 What prompt payment mechanisms must recipients have? ...................................................... 9
§ 26.31 What information must you include in your DBE directory? ...................................................... 9
§ 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of
work? ....................................................................................................................................... 10
§ 26.35 What role do business development and mentor-protege programs have in the DBE
program? ................................................................................................................................. 10
§ 26.37 What are a recipient's responsibilities for monitoring the performance of other program
participants? ............................................................................................................................ 10
§ 26.39 Fostering small business participation .................................................................................... 11
Subpart C-Goals, Good Faith Efforts, and Counting ......................................................................................... ll
§ 26.41 What is the role of the statutory 10 percent goal in this program? .......................................... 11
§ 26.43 Can recipients use set-asides or quotas as part of this program? .......................................... 11
§ 26.45 How do recipients set overall goals? ....................................................................................... 11
§ 26.47 Can recipients be penalized for failing to meet overall goals? ................................................ 14
§ 26.49 How are overall goals established for transit vehicle manufacturers? .................................... 15
§ 26.51 What means do recipients use to meet overall goals? ............................................................ 15
§ 26.53 What are the good faith efforts procedures recipients follow in situations where there are
contract goals? ........................................................................................................................ 17
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§ 26.55 How is DBE participation counted toward goals? .................................................................... 19
Subpart D-Certification Standards ....................................................................................................................... 21
§ 26.61 How are burdens of proof allocated in the certification process? ............................................ 21
§ 26.63 What rules govern group membership determinations? ......................................................... 22
§ 26.65 What rules govern business size determinations? .................................................................. 22
§ 26.67 What rules determine social and economic disadvantage? .................................................... 22
§ 26.69 What rules govern determinations of ownership? ................................................................... 23
§ 26.71 What rules govern determinations concerning control? .......................................................... 25
§ 26.73 What are other rules affecting certification? ............................................................................ 28
Subpart E-Certification Procedures ..................................................................................................................... 30
§ 26.81 What are the requirements for Unified Certification Programs? .............................................. 30
§ 26.83 What procedures do recipients follow in making certification decisions? ............................... 31
§ 26.85 Interstate certification .............................................................................................................. 32
§ 26.86 What rules govern recipients' denials of initial requests for certification? ............................... 34
§ 26.87 What procedures does a recipient use to remove a DBE's eligibility? .................................... 35
§ 26.89 What is the process for certification appeals to the Department of Transportation? .............. 37
§ 26.91 What actions do recipients take following DOT certification appeal decisions? ..................... 38
Subpart F-Compliance and Enforcement ........................................................................................................... 39
§ 26.101 What compliance procedures apply to recipients? ................................................................. 39
§ 26.103 What enforcement actions apply in FHWA and FTA programs? ............................................ 39
§ 26.1 05 What enforcement actions apply in FAA programs? ............................................................... 39
§ 26.107 What enforcement actions apply to firms participating in the DBE program? ......................... 40
§ 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or
retaliation? ............................................................................................................................... 40
Appendix A to Part 26-Guidance Concerning Good Faith Efforts ........................................................ 41
Appendix B to Part 26-Uniform Report of DBE Awards or Commitments and Payments Form .......... 43
Appendix C to Part 26-DBE Business Development Program Guidelines ........................................... 46
Appendix D to Part 26-Mentor-Protege Program Guidelines ............................................................... 47
Appendix E to Part 26-lndividual Determinations of Social and Economic Disadvantage ................... 48
Appendix F to Part 26-Uniform Certification Application Form ............................................................. 50
Authority: 23 U.S.C. 304 and 324; 42 U.S.C. 2000d, et seq. ; 49 U.S.C. 47107, 47113, 47123; Sec.
1101(b), Pub. L. 105-178, 112 Stat. 107,113.
Source: 64 FR 5126, Feb. 2, 1999, unless otherwise noted.
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Subpart A-General
§ 26.1 What are the objectives of this part?
This part seeks to achieve several objectives:
(a) To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's
highway, transit, and airport financial assistance programs;
(b) To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
(c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law;
(d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs;
(e) To help remove barriers to the participation of DBEs in DOT-assisted contracts;
(f) To assist the development of firms that can compete successfully in the marketplace outside the DBE program;
and
(g) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing
opportunities for DBEs.
§ 26.3 To whom does this part apply?
(a) If you are a recipient of any of the following types of funds, this part applies to you:
(1) Federal-aid highway funds authorized under Titles I (other than Part B) and V of the lntermodal Surface
Transportation Efficiency Act of 1991 (ISTEA}, Pub. L. 102-240, 105 Stat. 1914, or Titles I, Ill, and V of the
Transportation Equity Act for the 21st Century (TEA-21 }, Pub. L. 105-178, 112 Stat. 107.
(2) Federal transit funds authorized by Titles I, Ill, V and VI of ISTEA, Pub. L. 102-240 or by Federal transit
laws in Title 49, U.S. Code, or Titles I, Ill, and Vofthe TEA-21, Pub. L. 105-178.
(3) Airport funds authorized by 49 U S.C. 47101, et seq.
(b) [Reserved]
(c) If you are letting a contract, and that contract is to be performed entirely outside the United States, its territories
and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract.
(d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the
contract.
§ 26.5 What do the terms used in this part mean?
Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part
121.
(1) Except as otherwise provided in 13 CFR Part 121, concerns are affiliates of each other when, either directly
or indirectly:
(i) One concern controls or has the power to control the other; or
(ii) A third party or parties controls or has the power to control both; or
(iii) An identity of interest between or among parties exists such that affiliation may be found.
(2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common
ownership, common management, and contractual relationships. Affiliates must be considered together in
determining whether a concern meets small business size criteria and the statutory cap on the participation
of firms in the DBE program.
Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian
(including Tsimshian Indians not enrolled in the Metlaktla Indian Community}, Eskimo, or Aleut blood, or a
combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen
whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska
Native.
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Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group
Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement
Act, as amended (43 U.S.C. 1601, et seq.).
Compliance means that a recipient has correctly implemented the requirements of this part.
Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not
limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is
considered to be a contract.
Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway,
transit, or airport program.
Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal
Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration
(FAA).
Disadvantaged business enterprise or DBE means a for-profit small business concern-
(1) That is at least 51 percent owned by one or more individuals who are both socially and economically
disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more
such individuals; and
(2) Whose management and daily business operations are controlled by one or more of the socially and
economically disadvantaged individuals who own it.
DOT-assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in
part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the
purchase of land.
DOT/SBA Memorandum of Understanding or MOU. refers to the agreement signed on November 23, 1999, between
the Department of Transportation (DOT) and the Small Business Administration (SBA) streamlining certification
procedures for participation in SBA's 8(a) Business Development (8(a) BD) and Small Disadvantaged Business
(SOB) programs, and DOT's Disadvantaged Business Enterprise (DBE) program for small and disadvantaged
businesses.
Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope,
intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.
Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of
business.
Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandmother,
grandfather, grandson, granddaughter, mother-in-law, or father-in-law.
Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any
ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians
because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or
community resides. See definition of "tribally-owned concern" in this section.
Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit
business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which
the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital
contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership
interest.
Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises
the State of Hawaii.
Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of
Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and
whose business activities will principally benefit such Native Hawaiians.
Noncompliance means that a recipient has not correctly implemented the requirements of this part.
Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA),
Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The "Administrator" of an
operating administration includes his or her designees.
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Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An
individual's personal net worth does not include: The individual's ownership interest in an applicant or participating
DBE firm; or the individual's equity in his or her primary place of residence. An individual's personal net worth
includes only his or her own share of assets held jointly or as community property with the individual's spouse.
Primary industry classification means the North American Industrial Classification System (NAICS) designation which
best describes the primary business of a firm. The NAICS is described in the North American Industry Classification
Manual-United States, 1997which is available from the National Technical Information Service, 5285 Port Royal
Road, Springfield, VA, 22161; by calling 1 (800) 553-6847; or via the Internet at:
http://www. ntis. gov/productlnaics. htm.
Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to
another recipient.
Principal place of business means the business location where the individuals who manage the firm's day-to-day
operations spend most working hours and where top management's business records are kept. If the offices from
which management is directed and where business records are kept are in different locations, the recipient will
determine the principal place of business for DBE program purposes.
Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to
which this part applies.
Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women-
owned DBEs.
Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of
this part, race-neutral includes gender-neutrality.
Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through
another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance.
Secretary means the Secretary of Transportation or his/her designee.
Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE
firms.
Small Business Administration or SBA means the United States Small Business Administration.
SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a)
BD or SOB programs.
Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a
small business concern as defined pursuant to section 3 of the Small Business Act and Small Business
Administration regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual
gross receipts specified in §26.65(b).
Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted
permanent resident) of the United States and who is-
(1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-
by-case basis.
(2) Any individual in the following groups, members of which are rebuttably presumed to be socially and
economically disadvantaged:
(i) "Black Americans," which includes persons having origins in any of the Black racial groups of Africa;
(ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or
South American, or other Spanish or Portuguese culture or origin, regardless of race;
(iii) "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native
Hawaiians;
(iv) "Asian-Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan,
Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the
Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau),
the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kiribati, Juvalu, Nauru,
Federated States of Micronesia, or Hong Kong;
(v) "Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan,
Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka;
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(vi) Women;
(vii) Any additional groups whose members are designated as socially and economically disadvantaged by
the SBA, at such time as the SBA designation becomes effective.
Triballv-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section.
You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., 'You must
do XYZ' means that recipients must do XYZ).
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096,
Jan. 28, 2011)
§ 26.7 What discriminatory actions are forbidden?
(a) You must never exclude any person from participation in, deny any person the benefits of, or otherwise
discriminate against anyone in connection with the award and performance of any contract covered by this part
on the basis of race, color, sex, or national origin.
(b) In administering your DBE program, you must not, directly or through contractual or other arrangements, use
criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment
of the objectives of the program with respect to individuals of a particular race, color, sex, or national origin.
§ 26.9 How does the Department issue guidance and interpretations under this part?
(a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent
with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of
Transportation or any of its operating administrations.
(b) The Secretary of Transportation, Office of the Secretary of Transportation, FHWA, FTA, and FAA may issue
written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid,
and express the official positions and views of the Department of Transportation or any of its operating
administrations, only if they are issued over the signature of the Secretary of Transportation or if they contain the
following statement:
The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent
with the language and intent of 49 CFR Part 26.
[72 FR 15617, Apr. 2, 2007)
§ 26.11 What records do recipients keep and report?
(a) You must transmit the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to
this part, at the intervals stated on the form.
(b) You must continue to provide data about your DBE program to the Department as directed by DOT operating
administrations.
(c) You must create and maintain a bidders list.
(1) The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non-
DBE contractors and subcontractors who seek to work on your Federally-assisted contracts for use in
helping you set your overall goals.
(2) You must obtain the following information about DBE and non-DBE contractors and subcontractors who
seek to work on your Federally-assisted contracts:
(i) Firm name;
(ii) Firm address;
(iii) Firm's status as a DBE or non-DBE;
(iv) Age of the firm; and
(v) The annual gross receipts of the firm. You may obtain this information by asking each firm to indicate
into what gross receipts bracket they fit (e.g., less than $500,000; $500,000-$1 million; $1-2 million;
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$2-5 million; etc.) rather than requesting an exact figure from the firm.
(3) You may acquire the information for your bidders list in a variety of ways. For example, you can collect the
data from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically
sound estimate of the universe of DBE and non-DBE contractors and subcontractors who seek to work on
your Federally-assisted contracts. You may combine different data collection approaches (e.g., collect name
and address information from all bidders, while conducting a survey with respect to age and gross receipts
information).
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 76 FR 5096, Jan. 28, 2011]
§ 26.13 What assurances must recipients and contractors make?
(a) Each financial assistance agreement you sign with a DOT operating administration (or a primary recipient) must
include the following assurance:
The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award
and performance of any DOT-assisted contract or in the administration of its DBE program or the
requirements of 49 CFR Part 26. The recipient shall take all necessary and reasonable steps under
49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted
contracts. The recipient's DBE program, as required by 49 CFR part 26 and as approved by DOT,
is incorporated by reference in this agreement. Implementation of this program is a legal obligation
and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification
to the recipient of its failure to carry out its approved program, the Department may impose
sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for
enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31
U.S.C. 3801 et seq. ).
(b) Each contract you sign with a contractor (and each subcontract the prime contractor signs with a subcontractor)
must include the following assurance:
The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color,
national origin, or sex in the performance of this contract. The contractor shall carry out applicable
requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure
by the contractor to carry out these requirements is a material breach of this contract, which may
result in the termination of this contract or such other remedy as the recipient deems appropriate.
§ 26.15 How can recipients apply for exemptions or waivers?
(a) You can apply for an exemption from any provision of this part. To apply, you must request the exemption in
writing from the Office of the Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the
request only if it documents special or exceptional circumstances, not likely to be generally applicable, and not
contemplated in connection with the rulemaking that established this part, that make your compliance with a
specific provision of this part impractical. You must agree to take any steps that the Department specifies to
comply with the intent of the provision from which an exemption is granted. The Secretary will issue a written
response to all exemption requests.
(b) You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any
provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program
waivers are for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part
by means that may differ from one or more of the requirements of Subpart B or C of this part. To receive a
program waiver, you must follow these procedures:
(1) You must apply through the concerned operating administration. The application must include a specific
program proposal and address how you will meet the criteria of paragraph (b)(2) of this section. Before
submitting your application, you must have had public participation in developing your proposal, including
consultation with the DBE community and at least one public hearing. Your application must include a
summary of the public participation process and the information gathered through it.
(2) Your application must show that-
(i) There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent
with the objectives of this part using different or innovative means other than those that are provided in
subpart B or C of this part;
(ii) Conditions in your jurisdiction are appropriate for implementing the proposal;
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(iii) Your proposal would prevent discrimination against any individual or group in access to contracting
opportunities or other benefits of the program; and
(iv) Your proposal is consistent with applicable law and program requirements of the concerned operating
administration's financial assistance program.
(3) The Secretary has the authority to approve your application. If the Secretary grants your application, you
may administer your DBE program as provided in your proposal, subject to the following conditions:
(i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is
counted as provided in §26.49;
(ii) Your level of DBE participation continues to be consistent with the objectives of this part;
(iii) There is a reasonable limitation on the duration of your modified program; and
(iv) Any other conditions the Secretary makes on the grant of the waiver.
(4) The Secretary may end a program waiver at any time and require you to comply with this part's provisions.
The Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2)
and (3) of this section continue to be met. Any such extension shall be for no longer than period originally
set for the duration of the program.
Subpart B-Administrative Requirements for DBE Programs for Federally-Assisted Contracting
§ 26.21 Who must have a DBE program?
(a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the
requirements of this part:
(1) All FHWA recipients receiving funds authorized by a statute to which this part applies;
(2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts
(excluding transit vehicle purchases) exceeding $250,000 in FTA funds in a Federal fiscal year;
(3) FAA recipients receiving grants for airport planning or development who will award prime contracts
exceeding $250,000 in FAA funds in a Federal fiscal year.
(b) ( 1) You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating
administration (OA). Once the OA has approved your program, the approval counts for all of your DOT-assisted
programs (except that goals are reviewed by the particular operating administration that provides funding for your
DOT-assisted contracts).
(2) You do not have to submit regular updates of your DBE programs, as long as you remain in compliance.
However, you must submit significant changes in the program for approval.
(c) You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you
are in compliance with it and this part. You must continue to carry out your program until all funds from DOT
financial assistance have been expended.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000]
§ 26.23 What is the requirement for a policy statement?
You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states
its objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your
organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts.
§ 26.25 What is the requirement for a liaison officer?
You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer
concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE
program. You must also have adequate staff to administer the program in compliance with this part.
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§ 26.27 What efforts must recipients make concerning DBE financial institutions?
You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by
socially and economically disadvantaged individuals in your community and make reasonable efforts to use these
institutions. You must also encourage prime contractors to use such institutions.
§ 26.29 What prompt payment mechanisms must recipients have?
(a) You must establish, as part of your DBE program, a contract clause to require prime contractors to pay
subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment
you make to the prime contractor.
(b) You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30
days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to
comply with this requirement:
(1) You may decline to hold retainage from prime contractors and prohibit prime contractors from holding
retainage from subcontractors.
(2) You may decline to hold retainage from prime contractors and require a contract clause obligating prime
contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor
within 30 days after the subcontractor's work is satisfactorily completed.
(3) You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances
of portions of the prime contract, pay retain age to prime contractors based on these acceptances, and
require a contract clause obligating the prime contractor to pay all retainage owed to the subcontractor for
satisfactory completion of the accepted work within 30 days after your payment to the prime contractor.
(c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished and documented as required by the recipient. When a recipient has made
an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that
acceptance is deemed to be satisfactorily completed.
(d) Your DBE program must provide appropriate means to enforce the requirements of this section. These means
may include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program
may also provide that any delay or postponement of payment among the parties may take place only for good
cause, with your prior written approval.
(e) You may also establish, as part of your DBE program, any of the following additional mechanisms to ensure
prompt payment:
(1) A contract clause that requires prime contractors to include in their subcontracts language providing that
prime contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to
resolve payment disputes. You may specify the nature of such mechanisms.
(2) A contract clause providing that the prime contractor will not be reimbursed for work performed by
subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for
the work they have performed.
(3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and
other contractors are fully and promptly paid.
[68 FR 35553, June 16, 2003)
§ 26.31 What information must you include in your DBE directory?
(a) In the directory required under §26.81 (g) of this Part, you must list all firms eligible to participate as DBEs in your
program. In the listing for each firm, you must include its address, phone number, and the types of work the firm
has been certified to perform as a DBE.
(b) You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code
available to describe each type of work. You must make any changes to your current directory entries necessary
to meet the requirement of this paragraph (a) by August 26, 2011.
[76 FR 5096, Jan. 28, 2011]
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§ 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types
of work?
(a) If you determine that DBE firms are so over concentrated in a certain type of work as to unduly burden the
opportunity of non-DBE firms to participate in this type of work, you must devise appropriate measures to
address this overconcentration.
(b) These measures may include the use of incentives, technical assistance, business development programs,
mentor-protege programs, and other appropriate measures designed to assist DBEs in performing work outside
of the specific field in which you have detenmined that non-DBEs are unduly burdened. You may also consider
varying your use of contract goals, to the extent consistent with §26.51, to unsure that non-DBEs are not unfairly
prevented from competing for subcontracts.
(c) You must obtain the approval of the concerned DOT operating administration for your determination of
overconcentration and the measures you devise to address it. Once approved, the measures become part of
your DBE program.
§ 26.35 What role do business development and mentor-protege programs have in the DBE
program?
(a) You may or, if an operating administration directs you to, you must establish a DBE business development
program (BDP) to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE
program. You may require a DBE firm, as a condition of receiving assistance through the BOP, to agree to
tenminate its participation in the DBE program after a certain time has passed or certain objectives have been
reached. See Appendix C of this part for guidance on administering BDP programs.
(b) As part of a BDP or separately, you may establish a "mentor-protege" program, in which another DBE or non-
DBE firm is the principal source of business development assistance to a DBE firm.
(1) Only firms you have certified as DBEs before they are proposed for participation in a mentor-protege
program are eligible to participate in the mentor-protege program.
(2) During the course of the mentor-protege relationship, you must:
(i) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than one half of
its goal on any contract let by the recipient; and
(ii) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than every other
contract performed by the protege firm.
{3) For purposes of making determinations of business size under this part, you must not treat protege firms as
affiliates of mentor finms, when both firms are participating under an approved mentor-protege program. See
Appendix D of this part for guidance concerning the operation of mentor-protege programs.
(c) Your BOPs and mentor-protege programs must be approved by the concerned operating administration before
you implement them. Once approved, they become part of your DBE program.
§ 26.37 What are a recipient's responsibilities for monitoring the performance of other program
participants?
(a) You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program
participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must
set forth these mechanisms in your DBE program.
(b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed
to DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually
performed by the DBEs to which the work was committed. This mechanism must include a written certification
that you have reviewed contracting records and monitored work sites in your state for this purpose. The
monitoring to which this paragraph refers may be conducted in conjunction with monitoring of contract
performance for other purposes (e.g., close-out reviews for a contract).
(c) This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to
DBE firms), including a means of comparing these attainments to commitments. In your reports of DBE
participation to the Department, you must display both commitments and attainments.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 76 FR 5097,
Jan. 28, 2011]
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§ 26.39 Fostering small business participation.
(a) Your DBE program must include an element to structure contracting requirements to facilitate competition by
small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including
unnecessary and unjustified bundling of contract requirements that may preclude small business participation in
procurements as prime contractors or subcontractors.
(b) This element must be submitted to the appropriate DOT operating administration for approval as a part of your
DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the
following strategies:
(1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1
million).
(2) In multi-year design-build contracts or other large contracts (e.g., for "megaprojects") requiring bidders on
the prime contract to specify elements of the contract or specific subcontracts that are of a size that small
businesses, including DBEs, can reasonably perform.
(3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting
opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-
performing all the work involved.
(4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia
or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime
contracts.
(5) To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a
reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably
perform.
(c) You must actively implement your program elements to foster small business participation. Doing so is a
requirement of good faith implementation of your DBE program.
[76 FR 5097, Jan. 28, 2011)
Subpart C-Goals, Good Faith Efforts, and Counting
§ 26.41 What is the role of the statutory 10 percent goal in this program?
(a) The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not
less than 10 percent of the authorized funds are to be expended with DBEs.
(b) This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in
evaluating and monitoring DBEs' opportunities to participate in DOT-assisted contracts.
(c) The national10 percent goal does not authorize or require recipients to set overall or contract goals at the 10
percent level, or any other particular level, or to take any special administrative steps if their goals are above or
below 10 percent.
§ 26.43 Can recipients use set-asides or quotas as part of this program?
(a) You are not permitted to use quotas for DBEs on DOT-assisted contracts subject to this part.
(b) You may not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited
and extreme circumstances, you may use set-asides when no other method could be reasonably expected to
redress egregious instances of discrimination.
§ 26.45 How do recipients set overall goals?
(a) (1) Except as provided in paragraph (a)(2) of this section, you must set an overall goal for DBE participation in
your DOT-assisted contracts.
(2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases)
$250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to
develop overall goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE
program, it must remain in effect and you must seek to fulfill the objectives outlined in §26.1.
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(b) Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DBEs
relative to all businesses ready, willing and able to participate on your DOT-assisted contracts (hereafter, the
"relative availability of DBEs"). The goal must reflect your determination of the level of DBE participation you
would expect absent the effects of discrimination. You cannot simply rely on either the 10 percent national goal,
your previous overall goal or past DBE participation rates in your program without reference to the relative
availability of DBEs in your market.
(c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of
DBEs. The following are examples of approaches that you may take toward determining a base figure. These
examples are provided as a starting point for your goal setting process. Any percentage figure derived from one
of these examples should be considered a basis from which you begin when examining all evidence available in
your jurisdiction. These examples are not intended as an exhaustive list. Other methods or combinations of
methods to determine a base figure may be used, subject to approval by the concerned operating administration.
(1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DBEs in
your market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP) data
base, determine the number of all ready, willing and able businesses available in your market that perform
work in the same NAICS codes. (Information about the CBP data base may be obtained from the Census
Bureau at their web site, www.census.gov/epcd/cbp/view/cbpview.html.) Divide the number of DBEs by the
number of all businesses to derive a base figure for the relative availability of DBEs in your market.
(2) Use a bidders list. Determine the number of DBEs that have bid or quoted on your DOT-assisted prime
contracts or subcontracts in the previous year. Determine the number of all businesses that have bid or
quoted on prime or subcontracts in the same time period. Divide the number of DBE bidders and quoters by
the number for all businesses to derive a base figure for the relative availability of DBEs in your market.
(3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity
study.
(4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market
has set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal.
(5) Alternative methods. You may use other methods to determine a base figure for your overall goal. Any
methodology you choose must be based on demonstrable evidence of local market conditions and be
designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your market.
(d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your
jurisdiction to determine what adjustment, if any, is needed to the base figure in order to arrive at your overall
goal.
(1) There are many types of evidence that must be considered when adjusting the base figure. These include:
(i) The current capacity of DBEs to perform work in your DOT-assisted contracting program, as measured
by the volume of work DBEs have performed in recent years;
(ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not
already accounted for in your base figure; and
(iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market
and your contracting program.
(2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form,
grow and compete. These include, but are not limited to:
(i) Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to
participate in your program;
(ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the
extent you can relate it to the opportunities for DBEs to perform in your program.
(3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past
discrimination (often called the "but for" factor) or the effects of an ongoing DBE program, the adjustment
must be based on demonstrable evidence that is logically and directly related to the effect for which the
adjustment is sought.
(e) Once you have determined a percentage figure in accordance with paragraphs (c) and (d) of this section, you
should express your overall goal as follows:
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(1) If you are an FHWA recipient, as a percentage of all Federal-aid highway funds you will expend in FHWA-
assisted contracts in the forthcoming three fiscal years.
(2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be
used for the purchase of transit vehicles) that you will expend in FTA or FAA-assisted contracts in the three
forthcoming fiscal years.
(3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your
overall goal as a percentage of funds for a particular grant or project or group of grants and/or projects. Like
other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence
of the appropriate operating administration.
(i) A project goal is an overall goal, and must meet all the substantive and procedural requirements of this
section pertaining to overall goals.
(ii) A project goal covers the entire length of the project to which it applies.
(iii) The project goal should include a projection of the DBE participation anticipated to be obtained during
each fiscal year covered by the project goal.
(iv) The funds for the project to which the project goal pertains are separated from the base from which your
regular overall goal, applicable to contracts not part of the project covered by a project goal, is
calculated.
(f) (1) (i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating
administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA,
as applicable, and posted on that agency's Web site.
(ii) You may adjust your three-year overall goal during the three-year period to which it applies, in order to
reflect changed circumstances. You must submit such an adjustment to the concerned operating
administration for review and approval.
(iii) The operating administration may direct you to undertake a review of your goal if necessary to ensure
that the goal continues to fit your circumstances appropriately.
(iv) While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the
overall goal and the provisions of Sec. 26.47(c) apply to each year during that three-year period.
(v) You may make, for informational purposes, projections of your expected DBE achievements during
each of the three years covered by your overall goal. However, it is the overall goal itself, and not these
informational projections, to which the provisions of section 26.47(c) of this part apply.
(2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of
this section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA
Administrator, as applicable.
(3) You must include with your overall goal submission a description of the methodology you used to establish
the goal, including your base figure and the evidence with which it was calculated, and the adjustments you
made to the base figure and the evidence you relied on for the adjustments. You should also include a
summary listing of the relevant available evidence in your jurisdiction and, where applicable, an explanation
of why you did not use that evidence to adjust your base figure. You must also include your projection of the
portions of the overall goal you expect to meet through race-neutral and race-conscious measures,
respectively (see 26.51 (c))
(4) You are not required to obtain prior operating administration concurrence with your overall goal. However, if
the operating administration's review suggests that your overall goal has not been correctly calculated, or
that your method for calculating goals is inadequate, the operating administration may, after consulting with
you, adjust your overall goal or require that you do so. The adjusted overall goal is binding on you.
(5) If you need additional time to collect data or take other steps to develop an approach to setting overall goals,
you may request the approval of the concerned operating administration for an interim goal and/or goal-
setting mechanism. Such a mechanism must:
(i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the
data available to you; and
(ii) Avoid imposing undue burdens on non-DBEs.
(6) Timely submission and operating administration approval of your overall goal is a condition of eligibility for
DOT financial assistance.
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(7) If you fail to establish and implement goals as provided in this section, you are not in compliance with this
part. If you establish and implement goals in a way different from that provided in this part, you are not in
compliance with this part. If you fail to comply with this requirement, you are not eligible to receive DOT
financial assistance.
(g) In establishing an overall goal, you must provide for public participation. This public participation must include:
(1) Consultation with minority, women's and general contractor groups, community organizations, and other
officials or organizations which could be expected to have information concerning the availability of
disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs,
and your efforts to establish a level playing field for the participation of DBEs.
(2) A published notice announcing your proposed overall goal, informing the public that the proposed goal and
its rationale are available for inspection during normal business hours at your principal office for 30 days
following the date of the notice, and informing the public that you and the Department will accept comments
on the goals for 45 days from the date of the notice. The notice must include addresses to which comments
may be sent, and you must publish it in general circulation media and available minority-focused media and
trade association publications.
(h) Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 68 FR 35553,
June 16, 2003; 75 FR 5536, Feb. 3, 2010; 76 FR 5097, Jan. 28, 2011]
§ 26.47 Can recipients be penalized for failing to meet overall goals?
(a) You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your
DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith.
(b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good
faith, you are in noncompliance with this part.
(c) If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the
end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in
order to be regarded by the Department as implementing your DBE program in good faith:
(1) Analyze in detail the reasons for the difference between the overall goal and your awards and commitments
in that fiscal year;
(2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to
enable you to meet fully your goal for the new fiscal year;
(3) (i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or
an Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit,
within 90 days of the end of the fiscal year, the analysis and corrective actions developed under paragraphs
(c)(1) and (2) of this section to the appropriate operating administration for approval. If the operating
administration approves the report, you will be regarded as complying with the requirements of this section
for the remainder of the fiscal year.
(ii) As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i) of this section, you must
retain analysis and corrective actions in your records for three years and make it available to FTA or
FAA on request for their review.
(4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis
and corrective actions including, but not limited to, modifications to your overall goal methodology, changes
in your race-conscious/race-neutral split, or the introduction of additional race-neutral or race-conscious
measures.
(5) You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in
§26.1 03 or §26.1 05 of this part and other applicable regulations, for failing to implement your DBE program
in good faith if any of the following things occur:
(i) You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as
required under paragraph (c)(3) of this section;
(ii) FHWA, FTA, or FAA disapproves your analysis or corrective actions; or
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(iii) You do not fully implement the corrective actions to which you have committed or conditions that
FHWA, FTA, or FAA has imposed following review of your analysis and corrective actions.
(d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming
to the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve
DBE awards and commitments that would be necessary to allow you to meet your overall goal at the end of the
fiscal year, FHWA, FTA, or FAA, as applicable, may require you to make further good faith efforts, such as by
modifying your race-conscious/race-neutral split or introducing additional race-neutral or race-conscious
measures for the remainder of the fiscal year.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011)
§ 26.49 How are overall goals established for transit vehicle manufacturers?
(a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a
condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has
complied with the requirements of this section. You do not include FTA assistance used in transit vehicle
procurements in the base amount from which your overall goal is calculated.
(b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall
percentage goal. In setting your overall goal, you should be guided, to the extent applicable, by the principles
underlying §26.45. The base from which you calculate this goal is the amount of FTA financial assistance
included in transit vehicle contracts you will perform during the fiscal year in question. You must exclude from
this base funds attributable to work performed outside the United States and its territories, possessions, and
commonwealths. The requirements and procedures of this part with respect to submission and approval of
overall goals apply to you as they do to recipients.
(c) As a transit vehicle manufacturer, you may make the certification required by this section if you have submitted
the goal this section requires and FTA has approved it or not disapproved it.
(d) As a recipient, you may, with FTA approval, establish project-specific goals for DBE participation in the
procurement of transit vehicles in lieu of complying through the procedures of this section.
(e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section
with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the
manufacturers of this equipment must meet the same requirements (including goal approval by FHWA or FAA)
as transit vehicle manufacturers must meet in FTA-assisted procurements.
§ 26.51 What means do recipients use to meet overall goals?
(a) You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating DBE
participation. Race-neutral DBE participation includes any time a DBE wins a prime contract through customary
competitive procurement procedures, is awarded a subcontract on a prime contract that does not carry a DBE
goal, or even if there is a DBE goal, wins a subcontract from a prime contractor that did not consider its DBE
status in making the award (e.g., a prime contractor that uses a strict low bid system to award subcontracts).
(b) Race-neutral means include, but are not limited to, the following:
(1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules
in ways that facilitate participation by DBEs and other small businesses and by making contracts more
accessible to small businesses, by means such as those provided under §26.39 of this part.
(2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such
means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety
costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and
financing);
(3) Providing technical assistance and other services;
(4) Carrying out information and communications programs on contracting procedures and specific contract
opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for
bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors;
provision of information in languages other than English, where appropriate);
(5) Implementing a supportive services program to develop and improve immediate and long-term business
management, record keeping, and financial and accounting capability for DBEs and other small businesses;
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(6) Providing services to help DBEs, and other small businesses, improve long-term development, increase
opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve
eventual self-sufficiency;
(7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has
historically been low;
(8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible
universe of potential prime contractors; and
(9) Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and
conduct business through electronic media.
(c) Each time you submit your overall goal for review by the concerned operating administration, you must also
submit your projection of the portion of the goal that you expect to meet through race-neutral means and your
basis for that projection. This projection is subject to approval by the concerned operating administration, in
conjunction with its review of your overall goal.
(d) You must establish contract goals to meet any portion of your overall goal you do not project being able to meet
using race-neutral means.
(e) The following provisions apply to the use of contract goals:
(1) You may use contract goals only on those DOT-assisted contracts that have subcontracting possibilities.
(2) You are not required to set a contract goal on every DOT-assisted contract. You are not required to set each
contract goal at the same percentage level as the overall goal. The goal for a specific contract may be
higher or lower than that percentage level of the overall goal, depending on such factors as the type of work
involved, the location of the work, and the availability of DBEs for the work of the particular contract.
However, over the period covered by your overall goal, you must set contract goals so that they will
cumulatively result in meeting any portion of your overall goal you do not project being able to meet through
the use of race-neutral means.
(3) Operating administration approval of each contract goal is not necessarily required. However, operating
administrations may review and approve or disapprove any contract goal you establish.
(4) Your contract goals must provide for participation by all certified DBEs and must not be subdivided into
group-specific goals.
(f) To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination,
you must adjust your use of contract goals as follows:
(1) If your approved projection under paragraph (c) of this section estimates that you can meet your entire
overall goal for a given year through race-neutral means, you must implement your program without setting
contract goals during that year, unless it becomes necessary in order meet your overall goal.
Example to paragraph (f}(1): Your overall goal for Year 1 is 12 percent. You estimate that you can obtain 12
percent or more DBE participation through the use of race-neutral measures, without any use of contract
goals. In this case, you do not set any contract goals for the contracts that will be performed in Year 1.
However, if part way through Year 1, your DBE awards or commitments are not at a level that would permit
you to achieve your overall goal for Year 1, you could begin setting race-conscious DBE contract goals
during the remainder of the year as part of your obligation to implement your program in good faith.
Example to paragraph (f)(1): Your overall goal for Year I is 12 percent. You estimate that you can obtain 12
percent or more DBE participation through the use of race-neutral measures, without any use of contract
goals. In this case, you do not set any contract goals for the contracts that will be performed in Year I.
(2) If, during the course of any year in which you are using contract goals, you determine that you will exceed
your overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure
that the use of contract goals does not result in exceeding the overall goal. If you determine that you will fall
short of your overall goal, then you must make appropriate modifications in your use of race-neutral and/or
race-conscious measures to allow you to meet the overall goal.
Example to paragraph (f)(2): In Year II, your overall goal is 12 percent. You have estimated that you can
obtain 5 percent DBE participation through use of race-neutral measures. You therefore plan to obtain the
remaining 7 percent participation through use of DBE goals. By September, you have already obtained 11
percent DBE participation for the year. For contracts let during the remainder of the year, you use contract
goals only to the extent necessary to obtain an additional one percent DBE participation. However, if you
determine in September that your participation for the year is likely to be only 8 percent total, then you would
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increase your use of race-neutral and/or race-conscious means during the remainder of the year in order to
achieve your overall goal.
(3) If the DBE participation you have obtained by race-neutral means alone meets or exceeds your overall goals
for two consecutive years, you are not required to make a projection of the amount of your goal you can
meet using such means in the next year. You do not set contract goals on any contracts in the next year.
You continue using only race-neutral means to meet your overall goals unless and until you do not meet
your overall goal for a year.
Example to paragraph (f)(3): Your overall goal for Years I and Year II is 10 percent. The DBE participation
you obtain through race-neutral measures alone is 10 percent or more in each year. (For this purpose, it
does not matter whether you obtained additional DBE participation through using contract goals in these
years.) In Year Ill and following years, you do not need to make a projection under paragraph (c) of this
section of the portion of your overall goal you expect to meet using race-neutral means. You simply use
race-neutral means to achieve your overall goals. However, if in Year VI your DBE participation falls short of
your overall goal, then you must make a paragraph (c) projection for Year VII and, if necessary, resume use
of contract goa Is in that year.
(4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of
contract goals (i.e., not through the use of race-neutral means alone), you must reduce your use of contract
goals proportionately in the following year.
Example to paragraph (f)(4): In Years I and II, your overall goal is 12 percent, and you obtain 14 and 16
percent DBE participation, respectively. You have exceeded your goals over the two-year period by an
average of 25 percent. In Year Ill, your overall goal is again 12 percent, and your paragraph (c) projection
estimates that you will obtain 4 percent DBE participation through race-neutral means and 8 percent through
contract goals. You then reduce the contract goal projection by 25 percent (i.e., from 8 to 6 percent) and set
contract goals accordingly during the year. If in Year Ill you obtain 11 percent participation, you do not use
this contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of
exceeding overall goals.
(g) In any year in which you project meeting part of your goal through race-neutral means and the remainder through
contract goals, you must maintain data separately on DBE achievements in those contracts with and without
contract goals, respectively. You must report this data to the concerned operating administration as provided in
§26.11.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011)
§ 26.53 What are the good faith efforts procedures recipients follow in situations where there are
contract goals?
(a) When you have established a DBE contract goal, you must award the contract only to a bidder/offeror who
makes good faith efforts to meet it. You must determine that a bidder/offeror has made good faith efforts if the
bidder/offeror does either of the following things:
(1) Documents that it has obtained enough DBE participation to meet the goal; or
(2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in
obtaining enough DBE participation to do so. If the bidder/offeror does document adequate good faith
efforts, you must not deny award of the contract on the basis that the bidder/offeror failed to meet the goal.
See Appendix A of this part for guidance in determining the adequacy of a bidder/offeror's good faith efforts.
(b) In your solicitations for DOT-assisted contracts for which a contract goal has been established, you must require
the following:
(1) Award of the contract will be conditioned on meeting the requirements of this section;
(2) All bidders/offerors will be required to submit the following information to the recipient, at the time provided in
paragraph (b)(3) of this section:
(i) The names and addresses of DBE firms that will participate in the contract;
(ii) A description of the work that each DBE will perform;
(iii) The dollar amount of the participation of each DBE firm participating;
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(iv) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose
participation it submits to meet a contract goal;
(v) Written confirmation from the DBE that it is participating in the contract as provided in the prime
contractor's commitment; and
(vi) If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part); and
(3) At your discretion, the bidder/offeror must present the information required by paragraph (b)(2) of this
section-
(i) Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract
negotiation procedures; or
(ii) At any time before you commit yourself to the performance of the contract by the bidder/offeror, as a
matter of responsibility.
(c) You must make sure all information is complete and accurate and adequately documents the bidder/offeror's
good faith efforts before committing yourself to the performance of the contract by the bidder/offeror.
(d) If you determine that the apparent successful bidder/offeror has failed to meet the requirements of paragraph (a)
of this section, you must, before awarding the contract, provide the bidder/offeror an opportunity for
administrative reconsideration.
(1) As part of this reconsideration, the bidder/offeror must have the opportunity to provide written documentation
or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so.
(2) Your decision on reconsideration must be made by an official who did not take part in the original
determination that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so.
(3) The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss
the issue of whether it met the goal or made adequate good faith efforts to do so.
(4) You must send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that
the bidder did or did not meet the goal or make adequate good faith efforts to do so.
(5) The result of the reconsideration process is not administratively appealable to the Department of
Transportation.
(e) In a "design-build" or "turnkey" contracting situation, in which the recipient lets a master contract to a contractor,
who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the
project. The master contractor then establishes contract goals, as appropriate, for the subcontracts it lets.
Recipients must maintain oversight of the master contractor's activities to ensure that they are conducted
consistent with the requirements of this part.
(f) (1) You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph
(b)(2) of this section (or an approved substitute DBE firm) without your prior written consent. This includes, but is
not limited to, instances in which a prime contractor seeks to perform work originally designated for a DBE
subcontractor with its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm.
(2) You may provide such written consent only if you agree, for reasons stated in your concurrence document,
that the prime contractor has good cause to terminate the DBE firm.
(3) For purposes of this paragraph, good cause includes the following circumstances:
(i) The listed DBE subcontractor fails or refuses to execute a written contract;
(ii) The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent
with normal industry standards. Provided, however, that good cause does not exist if the failure or
refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or
discriminatory action of the prime contractor;
(iii) The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable,
nondiscriminatory bond requirements.
(iv) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;
(v) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and
debarment proceedings pursuant 2 CFR Parts 180, 215 and 1,200 or applicable state law;
(vii) You have determined that the listed DBE subcontractor is not a responsible contractor;
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(vi) The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice
of its withdrawal;
(vii) The listed DBE is ineligible to receive DBE credit for the type of work required;
(viii) A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to
complete its work on the contract;
(ix) Other documented good cause that you determine compels the termination of the DBE subcontractor.
Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon
to obtain the contract so that the prime contractor can self-perform the work for which the DBE
contractor was engaged or so that the prime contractor can substitute another DBE or non-DBE
contractor after contract award.
(4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime
contractor must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to
terminate and/or substitute, and the reason for the request.
(5) The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you
and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and
why you should not approve the prime contractor's action. If required in a particular case as a matter of
public necessity (e.g., safety), you may provide a response period shorter than five days.
(6) In addition to post-award terminations, the provisions of this section apply to pre-award deletions of or
substitutions for DBE firms put forward by offerors in negotiated procurements.
(g) When a DBE subcontractor is terminated, or fails to complete its work on the contract for any reason, you must
require the prime contractor to make good faith efforts to find another DBE subcontractor to substitute for the
original DBE. These good faith efforts shall be directed at finding another DBE to perform at least the same
amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract
goal you established for the procurement.
(h) You must include in each prime contract a provision for appropriate administrative remedies that you will invoke if
the prime contractor fails to comply with the requirements of this section.
(i) You must apply the requirements of this section to DBE bidders/offerors for prime contracts. In determining
whether a DBE bidder/offeror for a prime contract has met a contract goal, you count the work the DBE has
committed to performing with its own forces as well as the work that it has committed to be performed by DBE
subcontractors and DBE suppliers.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011]
§ 26.55 How is DBE participation counted toward goals?
(a) When a DBE participates in a contract, you count only the value of the work actually performed by the DBE
toward DBE goals.
(1) Count the entire amount of that portion of a construction contract (or other contract not covered by
paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies and
materials obtained by the DBE for the work of the contract, including supplies purchased or equipment
leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the
prime contractor or its affiliate).
(2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service,
such as professional, technical, consultant, or managerial services, or for providing bonds or insurance
specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you
determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar
services.
(3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted
work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE
subcontracts to a non-DBE firm does not count toward DBE goals.
(b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract
equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces
toward DBE goals.
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(c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful
function on that contract.
(1) A DBE performs a commercially useful function when it is responsible for execution of the work of the
contract and is carrying out its responsibilities by actually performing, managing, and supervising the work
involved. To perform a commercially useful function, the DBE must also be responsible, with respect to
materials and supplies used on the contract, for negotiating price, detenmining quality and quantity, ordering
the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE
is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry
practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is
actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.
(2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a
transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE
participation. In determining whether a DBE is such an extra participant, you must examine similar
transactions, particularly those in which DBEs do not participate.
(3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract
with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be
expected on the basis of normal industry practice for the type of work involved, you must presume that it is
not performing a commercially useful function.
(4) When a DBE is presumed not to be perfonming a commercially useful function as provided in paragraph
(c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that the
firm is performing a commercially useful function given the type of work involved and normal industry
practices.
(5) Your decisions on commercially useful function matters are subject to review by the concerned operating
administration, but are not administratively appealable to DOT.
(d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful
function:
(1) The DBE must be responsible for the management and supervision of the entire trucking operation for which
it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of
meeting DBE goals.
(2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the
contract.
(3) The DBE receives credit for the total value of the transportation services it provides on the contract using
trucks it owns, insures, and operates using drivers it employs.
(4) The DBE may lease trucks from another DBE finm, including an owner-operator who is certified as a DBE.
The DBE who leases trucks from another DBE receives credit for the total value of the transportation
services the lessee DBE provides on the contract.
(5) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE who
leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided by
non-DBE lessees not to exceed the value of transportation services provided by DBE-owned trucks on the
contract. Additional participation by non-DBE lessees receives credit only for the fee or commission it
receives as a result of the lease arrangement. If a recipient chooses this approach, it must obtain written
consent from the appropriate Department Operating Administration.
Example to this paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks
from DBE Firm Y and six trucks from non-DBE Firm Z. DBE credit would be awarded for the total value of
transportation services provided by Finm X and Firm Y, and may also be awarded for the total value of
transportation services provided by four of the six trucks provided by Firm Z. In all, full credit would be
allowed for the participation of eight trucks. With respect to the other two trucks provided by Firm Z, DBE
credit could be awarded only for the fees or commissions pertaining to those trucks Firm X receives as a
result of the lease with Firm Z.
(6) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over
the truck. This does not preclude the leased truck from working for others during the term of the lease with
the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck.
Leased trucks must display the name and identification number of the DB E.
(e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
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(1) (i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this paragraph (e)(1 ), a manufacturer is a finm that operates or maintains a factory or
establishment that produces, on the premises, the materials, supplies, articles, or equipment required
under the contract and of the general character described by the specifications.
(2) (i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store,
warehouse, or other establishment in which the materials, supplies, articles or equipment of the general
character described by the specifications and required under the contract are bought, kept in stock, and
regularly sold or leased to the public in the usual course of business.
(A) To be a regular dealer, the finm must be an established, regular business that engages, as its
principal business and under its own name, in the purchase and sale or lease of the products in
question.
(B) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel,
stone, or asphalt without owning, operating, or maintaining a place of business as provided in this
paragraph (e)(2)(ii) if the person both owns and operates distribution equipment for the products.
Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease
agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite
transactions are not regular dealers within the meaning of this paragraph (e)(2).
(3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular
dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the
materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on
a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as
compared with fees customarily allowed for similar services. Do not count any portion of the cost of the
materials and supplies themselves toward DBE goals, however.
(f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time
of the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided
for in §26.87(i)).
(g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified
toward your overall goal.
(h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE
obligations on a contract until the amount being counted has actually been paid to the DBE.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003]
Subpart D-Certification Standards
§ 26.61 How are burdens of proof allocated in the certification process?
(a) In detenmining whether to certify a firm as eligible to participate as a DBE, you must apply the standards of this
subpart.
(b) The firm seeking certification has the burden of demonstrating to you, by a preponderance of the evidence, that it
meets the requirements of this subpart concerning group membership or individual disadvantage, business size,
ownership, and control.
(c) You must rebuttably presume that members of the designated groups identified in §26.67(a) are socially and
economically disadvantaged. This means they do not have the burden of proving to you that they are socially
and economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must
submit a signed, notarized statement that they are a member of one of the groups in §26.67(a). Applicants do
have the obligation to provide you information concerning their economic disadvantage (see §26.67).
(d) Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning
whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a
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preponderance of the evidence, that they are socially and economically disadvantaged. (See Appendix E of this
part.)
(e) You must make determinations concerning whether individuals and firms have met their burden of demonstrating
group membership, ownership, control, and social and economic disadvantage (where disadvantage must be
demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003)
§ 26.63 What rules govern group membership determinations?
(a) (1) If, after reviewing the signed notarized statement of membership in a presumptively disadvantaged group
(see §26.61 (c)), you have a well founded reason to question the individual's claim of membership in that group,
you must require the individual to present additional evidence that he or she is a member of the group.
(2) You must provide the individual a written explanation of your reasons for questioning his or her group
membership and a written request for additional evidence as outlined in paragraph (b) of this section.
(3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate
burden on members of any particular designated group. Imposing a disproportionate burden on members of
a particular group could violate §26.7(b) and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21.
(b) In making such a determination, you must consider whether the person has held himself out to be a member of
the group over a long period of time prior to application for certification and whether the person is regarded as a
member of the group by the relevant community. You may require the applicant to produce appropriate
documentation of group membership.
( 1) If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not
a member of a designated disadvantaged group, the individual must demonstrate social and economic
disadvantage on an individual basis.
(2) Your decisions concerning membership in a designated group are subject to the certification appeals
procedure of §26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003]
§ 26.65 What rules govern business size determinations?
(a) To be an eligible DBE, a firm (including its affiliates) must be an existing small business, as defined by Small
Business Administration (SBA) standards. As a recipient, you must apply current SBA business size standard(s)
found in 13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in DOT-assisted contracts.
(b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an eligible DBE in any Federal
fiscal year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA
regulations (see 13 CFR 121.402), over the firm's previous three fiscal years, in excess of $22.41 million.
(c) The Department adjusts the number in paragraph (b) of this section annually using the Department of Commerce
price deflators for purchases by State and local governments as the basis for this adjustment.
[74 FR 15224, Apr. 3, 2009]
§ 26.67 What rules determine social and economic disadvantage?
(a) Presumption of disadvantage. (1) You must rebuttably presume that citizens of the United States (or lawfully
admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans,
Asian-Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the
SBA, are socially and economically disadvantaged individuals. You must require applicants to submit a signed,
notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically
disadvantaged.
(2) (i) You must require each individual owner of a firm applying to participate as a DBE, whose ownership
and control are relied upon for DBE certification to certify that he or she has a personal net worth that does
not exceed $1.32 million.
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(ii) You must require each individual who makes this certification to support it with a signed, notarized
statement of personal net worth, with appropriate supporting documentation. This statement and
documentation must not be unduly lengthy, burdensome, or intrusive.
(iii) In determining an individual's net worth, you must observe the following requirements:
(A) Exclude an individual's ownership interest in the applicant firm;
(B) Exclude the individual's equity in his or her primary residence (except any portion of such equity
that is attributable to excessive withdrawals from the applicant firm).
(C) Do not use a contingent liability to reduce an individual's net worth.
(D) With respect to assets held in vested pension plans, Individual Retirement Accounts, 401(k}
accounts, or other retirement savings or investment programs in which the assets cannot be
distributed to the individual at the present time without significant adverse tax or interest
consequences, include only the present value of such assets, less the tax and interest penalties
that would accrue if the asset were distributed at the present time.
(iv) Notwithstanding any provision of Federal or state law, you must not release an individual's personal net
worth statement nor any documents pertaining to it to any third party without the written consent of the
submitter. Provided, that you must transmit this information to DOT in any certification appeal
proceeding under section 26.89 of this part or to any other state to which the individual's firm has
applied for certification under §26.85 of this part.
(b) Rebuttal of presumption of disadvantage. ( 1) If the statement of personal net worth that an individual submits
under paragraph (a)(2) of this section shows that the individual's personal net worth exceeds $1.32 million, the
individual's presumption of economic disadvantage is rebutted. You are not required to have a proceeding under
paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case.
(2) If you have a reasonable basis to believe that an individual who is a member of one of the designated
groups is not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to
determine whether the presumption should be regarded as rebutted with respect to that individual. Your
proceeding must follow the procedures of §26.87.
(3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the
individual is not socially and economically disadvantaged. You may require the individual to produce
information relevant to the determination of his or her disadvantage.
(4) When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her
ownership and control of the firm in question cannot be used for purposes of DBE eligibility under this
subpart unless and until he or she makes an individual showing of social and/or economic disadvantage. If
the basis for rebutting the presumption is a determination that the individual's personal net worth exceeds
$1.32 million, the individual is no longer eligible for participation in the program and cannot regain eligibility
by making an individual showing of disadvantage.
(c) [Reserved)
(d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who
are not presumed to be socially and economically disadvantaged (including individuals whose presumed
disadvantage has been rebutted) may apply for DBE certification. You must make a case-by-case determination
of whether each individual whose ownership and control are relied upon for DBE certification is socially and
economically disadvantaged. In such a proceeding, the applicant firm has the burden of demonstrating to you, by
a preponderance of the evidence, that the individuals who own and control it are socially and economically
disadvantaged. An individual whose personal net worth exceeds $1.32 million shall not be deemed to be
economically disadvantaged. In making these determinations, use the guidance found in Appendix E of this part.
You must require that applicants provide sufficient information to permit determinations under the guidance of
Appendix E of this part.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35554, June 16, 2003; 76 FR 5099,
Jan. 28, 2011)
§ 26.69 What rules govern determinations of ownership?
(a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must
consider all the facts in the record, viewed as a whole.
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(b) To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged
individuals.
(1) In the case of a corporation, such individuals must own at least 51 percent of the each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding.
(2) In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and
economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership
agreement
(3) In the case of a limited liability company, at least 51 percent of each class of member interest must be
owned by socially and economically disadvantaged individuals.
(c) The finm's ownership by socially and economically disadvantaged individuals must be real, substantial, and
continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. The
disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and profits
commensurate with their ownership interests, as demonstrated by the substance, not merely the form, of
arrangements.
(d) All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as
provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are
considered as held by disadvantaged persons in determining the ownership of a firm. However, securities or
assets held in trust are regarded as held by a disadvantaged individual for purposes of determining ownership of
the firm, if-
(1) The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the
same or another such individual; or
(2) The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective
control over the management, policy-making, and daily operational activities of the firm. Assets held in a
revocable living trust may be counted only in the situation where the same disadvantaged individual is the
sole grantor, beneficiary, and trustee.
(e) The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their
ownership interests must be real and substantial. Examples of insufficient contributions include a promise to
contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or
mere participation in a firm's activities as an employee. Debt instruments from financial institutions or other
organizations that lend funds in the nonmal course of their business do not render a firm ineligible, even if the
debtor's ownership interest is security for the loan.
(f) The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged
owner's contribution to acquire ownership:
(1) The owner's expertise must be-
(i) In a specialized field;
(ii) Of outstanding quality;
(iii) In areas critical to the firm's operations;
(iv) Indispensable to the firm's potential success;
(v) Specific to the type of work the firm performs; and
(vi) Documented in the records of the firm. These records must clearly show the contribution of expertise
and its value to the firm.
(2) The individual whose expertise is relied upon must have a significant financial investment in the firm.
(g) You must always deem as held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual-
(1) As the result of a final property settlement or court order in a divorce or legal separation, provided that no
term or condition of the agreement or divorce decree is inconsistent with this section; or
(2) Through inheritance, or otherwise because of the death of the former owner.
(h) (1) You must presume as not being held by a socially and economically disadvantaged individual, for purposes
of determining ownership, all interests in a business or other assets obtained by the individual as the result of a
gift, or transfer without adequate consideration, from any non-disadvantaged individual or non-DBE firm who is-
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(i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm;
(ii) Involved in the same or a similar line of business; or
(iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the
individual is seeking certification.
(2) To overcome this presumption and permit the interests or assets to be counted, the disadvantaged
individual must demonstrate to you, by clear and convincing evidence, that-
(i) The gift or transfer to the disadvantaged individual was made for reasons other than obtaining
certification as a DBE; and
(ii) The disadvantaged individual actually controls the management, policy, and operations of the firm,
notwithstanding the continuing participation of a non-disadvantaged individual who provided the gift or
transfer.
(i) You must apply the following rules in situations in which marital assets form a basis for ownership of a firm:
(1) When marital assets (other than the assets of the business in question), held jointly or as community
property by both spouses, are used to acquire the ownership interest asserted by one spouse, you must
deem the ownership interest in the firm to have been acquired by that spouse with his or her own individual
resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership
interest in the manner sanctioned by the laws of the state in which either spouse or the firm is domiciled.
You do not count a greater portion of joint or community property assets toward ownership than state law
would recognize as belonging to the socially and economically disadvantaged owner of the applicant firm.
(2) A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or
community assets used to acquire an ownership interest in the firm must be included as part of the firm's
application for DBE certification.
U) You may consider the following factors in determining the ownership of a firm. However, you must not regard a
contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because-
(1) A socially and economically disadvantaged individual acquired his or her ownership interest as the result of
a gift, or transfer without adequate consideration, other than the types set forth in paragraph (h) of this
section;
(2) There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged
individual on financing agreements, contracts for the purchase or sale of real or personal property, bank
signature cards, or other documents; or
(3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who
is not a socially and economically disadvantaged individual to a spouse who is such an individual. In this
case, you must give particularly close and careful scrutiny to the ownership and control of a firm to ensure
that it is owned and controlled, in substance as well as in form, by a socially and economically
disadvantaged individual.
§ 26.71 What rules govern determinations concerning control?
(a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the
facts in the record, viewed as a whole.
(b) Only an independent business may be certified as a DBE. An independent business is one the viability of which
does not depend on its relationship with another firm or firms.
(1) In determining whether a potential DBE is an independent business, you must scrutinize relationships with
non-DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other
resources.
(2) You must consider whether present or recent employer/employee relationships between the disadvantaged
owner(s) of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise
the independence of the potential DBE firm.
(3) You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive
or primary dealings with a prime contractor compromises the independence of the potential DBE firm.
(4) In considering factors related to the independence of a potential DBE firm, you must consider the
consistency of relationships between the potential DBE and non-DBE firms with normal industry practice.
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(c) A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the
socially and economically disadvantaged owners. There can be no restrictions through corporate charter
provisions, by-law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights,
voting powers attached to different classes of stock, employment contracts, requirements for concurrence by
non-disadvantaged partners, conditions precedent or subsequent, executory agreements, voting trusts,
restrictions on or assignments of voting rights) that prevent the socially and economically disadvantaged owners,
without the cooperation or vote of any non-disadvantaged individual, from making any business decision of the
firm. This paragraph does not preclude a spousal co-signature on documents as provided for in §26.690)(2).
(d) The socially and economically disadvantaged owners must possess the power to direct or cause the direction of
the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of
management, policy and operations.
(1) A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or
president).
(2) In a corporation, disadvantaged owners must control the board of directors.
(3) In a partnership, one or more disadvantaged owners must serve as general partners, with control over all
partnership decisions.
(e) Individuals who are not socially and economically disadvantaged may be involved in a DBE firm as owners,
managers, employees, stockholders, officers, and/or directors. Such individuals must not, however, possess or
exercise the power to control the firm, or be disproportionately responsible for the operation of the firm.
(f) The socially and economically disadvantaged owners of the firm may delegate various areas of the
management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether
these participants are socially and economically disadvantaged individuals. Such delegations of authority must
be revocable, and the socially and economically disadvantaged owners must retain the power to hire and fire any
person to whom such authority is delegated. The managerial role of the socially and economically disadvantaged
owners in the firm's overall affairs must be such that the recipient can reasonably conclude that the socially and
economically disadvantaged owners actually exercise control over the firm's operations, management, and
policy.
(g) The socially and economically disadvantaged owners must have an overall understanding of, and managerial
and technical competence and experience directly related to, the type of business in which the firm is engaged
and the firm's operations. The socially and economically disadvantaged owners are not required to have
experience or expertise in every critical area of the firm's operations, or to have greater experience or expertise
in a given field than managers or key employees. The socially and economically disadvantaged owners must
have the ability to intelligently and critically evaluate information presented by other participants in the firm's
activities and to use this information to make independent decisions concerning the firm's daily operations,
management, and policymaking. Generally, expertise limited to office management, administration, or
bookkeeping functions unrelated to the principal business activities of the firm is insufficient to demonstrate
control.
(h) If state or local law requires the persons to have a particular license or other credential in order to own and/or
control a certain type of firm, then the socially and economically disadvantaged persons who own and control a
potential DBE firm of that type must possess the required license or credential. If state or local law does not
require such a person to have such a license or credential to own and/or control a firm, you must not deny
certification solely on the ground that the person lacks the license or credential. However, you may take into
account the absence of the license or credential as one factor in determining whether the socially and
economically disadvantaged owners actually control the firm.
(i) (1) You may consider differences in remuneration between the socially and economically disadvantaged owners
and other participants in the firm in determining whether to certify a firm as a DB E. Such consideration shall be in
the context of the duties of the persons involved, normal industry practices, the firm's policy and practice
concerning reinvestment of income, and any other explanations for the differences proffered by the firm. You
may determine that a firm is controlled by its socially and economically disadvantaged owner although that
owner's remuneration is lower than that of some other participants in the firm.
(2) In a case where a non-disadvantaged individual formerly controlled the firm, and a socially and economically
disadvantaged individual now controls it, you may consider a difference between the remuneration of the
former and current controller of the firm as a factor in determining who controls the firm, particularly when
the non-disadvantaged individual remains involved with the firm and continues to receive greater
compensation than the disadvantaged individual.
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0) In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in
outside employment or other business interests that conflict with the management of the firm or prevent the
individual from devoting sufficient time and attention to the affairs of the firm to control its activities. For example,
absentee ownership of a business and part-time work in a full-time firm are not viewed as constituting controL
However, an individual could be viewed as controlling a part-time business that operates only on evenings and/or
weekends, if the individual controls it all the time it is operating.
(k) ( 1) A socially and economically disadvantaged individual may control a firm even though one or more of the
individual's immediate family members (who themselves are not socially and economically disadvantaged
individuals) participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise
provided in this paragraph, you must make a judgment about the control the socially and economically
disadvantaged owner exercises vis-a-vis other persons involved in the business as you do in other situations,
without regard to whether or not the other persons are immediate family members.
(2) If you cannot determine that the socially and economically disadvantaged owners-as distinct from the
family as a whole-control the firm, then the socially and economically disadvantaged owners have failed to
carry their burden of proof concerning control, even though they may participate significantly in the firm's
activities.
(I) Where a firm was formerly owned and/or controlled by a non-disadvantaged individual (whether or not an
immediate family member), ownership and/or control were transferred to a socially and economically
disadvantaged individual, and the non-disadvantaged individual remains involved with the firm in any capacity,
the disadvantaged individual now owning the firm must demonstrate to you, by clear and convincing evidence,
that:
(1) The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than
obtaining certification as a DBE; and
(2) The disadvantaged individual actually controls the management, policy, and operations of the firm,
notwithstanding the continuing participation of a non-disadvantaged individual who formerly owned and/or
controlled the ftrm.
(m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may
consider whether the firm owns equipment necessary to perform its work. However, you must not determine that
a firm is not controlled by socially and economically disadvantaged individuals solely because the firm leases,
rather than owns, such equipment, where leasing equipment is a normal industry practice and the lease does not
involve a relationship with a prime contractor or other party that compromises the independence of the firm.
(n) You must grant certification to a firm only for specific types of work in which the socially and economically
disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the
firm need demonstrate to you only that its socially and economically disadvantaged owners are able to control
the firm with respect to that type of work. You must not require that the firm be recertified or submit a new
application for certification, but you must verify the disadvantaged owner's control of the firm in the additional
type of work.
( 1) The types of work a firm can perform (whether on initial certification or when a new type of work is added)
must be described in terms of the most specific available NAICS code for that type of work. If you choose,
you may also, in addition to applying the appropriate NAICS code, apply a descriptor from a classification
scheme of equivalent detail and specificity. A correct NAICS code is one that describes, as specifically as
possible, the principal goods or services which the firm would provide to DOT recipients. Multiple NAICS
codes may be assigned where appropriate. Program participants must rely on, and not depart from, the plain
meaning of NAICS code descriptions in determining the scope of a firm's certification. If your Directory does
not list types of work for any firm in a manner consistent with this paragraph (a)(1 ), you must update the
Directory entry for that firm to meet the requirements of this paragraph (a)(1) by August 28, 2011.
(2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept
up-to-date and accurately reflect work which the UCP has determined the firm's owners can controL The firm
bears the burden of providing detailed company information the certifying agency needs to make an
appropriate NAICS code designation.
(3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s) of work in which it
is seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification
documentation, supplement the assigned NAICS code(s) with a clear, specific, and detailed narrative
description of the type of work in which the firm is certified. A vague, general, or confusing description is not
sufficient for this purpose, and recipients should not rely on such a description in determining whether a
firm's participation can be counted toward DBE goals.
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(4) A certifier is not precluded from changing a certification classification or description if there is a factual basis
in the record. However, certifiers must not make after-the-fact statements about the scope of a certification,
not supported by evidence in the record of the certification action.
(o) A business operating under a franchise or license agreement may be certified if it meets the standards in this
subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether
affiliation exists, you should generally not consider the restraints relating to standardized quality, advertising,
accounting format, and other provisions imposed on the franchisee or licensee by the franchise agreement or
license, provided that the franchisee or licensee has the right to profit from its efforts and bears the risk of loss
commensurate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by
virtue of such provisions in the franchise agreement or license, affiliation could arise through other means, such
as common management or excessive restrictions on the sale or transfer of the franchise interest or license.
(p) In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non-
disadvantaged partners must not have the power, without the specific written concurrence of the socially and
economically disadvantaged partner(s), to contractually bind the partnership or subject the partnership to
contract or tort liability.
(q) The socially and economically disadvantaged individuals controlling a firm may use an employee leasing
company. The use of such a company does not preclude the socially and economically disadvantaged
individuals from controlling their firm if they continue to maintain an employer-employee relationship with the
leased employees. This includes being responsible for hiring, firing, training, assigning, and otherwise controlling
the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related
to the employees.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28, 2011)
§ 26.73 What are other rules affecting certification?
(a) (1) Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely
to counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as
provided in paragraph (a)(2) of this section, you must not consider commercially useful function issues in any
way in making decisions about whether to certify a firm as a DBE.
(2) You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct
indicating its involvement in attempts to evade or subvert the intent or requirements of the DBE program.
(b) (1) You must evaluate the eligibility of a firm on the basis of present circumstances. You must not refuse to
certify a firm based solely on historical information indicating a lack of ownership or control of the firm by socially
and economically disadvantaged individuals at some time in the past, if the firm currently meets the ownership
and control standards of this part.
(2) You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed
projects or contracts at the time of its application, has not yet realized profits from its activities, or has not
demonstrated a potential for success. If the firm meets disadvantaged, size, ownership, and control
requirements of this Part, the firm is eligible for certification.
(c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for
information relevant to the certification process. Failure or refusal to provide such information is a ground for a
denial or removal of certification.
(d) Only firms organized for profit may be eligible DBEs. Not-for-profit organizations, even though controlled by
socially and economically disadvantaged individuals, are not eligible to be certified as DBEs.
(e) An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as
provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm-
even a DBE firm-cannot be an eligible DBE.
(1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding
company, established for tax, capitalization or other purposes consistent with industry practice, and the
parent or holding company in turn owns and controls an operating subsidiary, you may certify the subsidiary
if it otherwise meets all requirements of this subpart. In this situation, the individual owners and controllers of
the parent or holding company are deemed to control the subsidiary through the parent or holding company.
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(2) You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by
socially and economically disadvantaged individuals. The following examples illustrate how this cumulative
ownership provision works:
Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company,
which has a wholly-owned subsidiary. The subsidiary may be certified, if it meets all other
requirements.
Example 2: Disadvantaged individuals own 100 percent of the holding company, which owns 51 percent of
a subsidiary. The subsidiary may be certified, if all other requirements are met.
Example 3: Disadvantaged individuals own 80 percent of the holding company, which in turn owns 70
percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by
disadvantaged individuals is 56 percent (80 percent of the 70 percent). This is more than 51
percent, so you may certify the subsidiary, if all other requirements are met.
Example 4: Same as Example 2 or 3, but someone other than the socially and economically
disadvantaged owners of the parent or holding company controls the subsidiary. Even though
the subsidiary is owned by disadvantaged individuals, through the holding or parent company,
you cannot certify it because it fails to meet control requirements.
Example 5: Disadvantaged individuals own 60 percent of the holding company, which in turn owns 51
percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by
disadvantaged individuals is about 31 percent. This is less than 51 percent, so you cannot
certify the subsidiary.
Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other
companies. The combined gross receipts of the holding companies and its subsidiaries are
greater than the size standard for the subsidiary seeking certification and/or the gross receipts
cap of §26.65(b). Under the rules concerning affiliation, the subsidiary fails to meet the size
standard and cannot be certified.
(f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to
demonstrate that a firm is an independent business, owned and controlled by socially and economically
disadvantaged individuals.
(g) You must not require a DBE firm to be prequalified as a condition for certification unless the recipient requires all
firms that participate in its contracts and subcontracts to be prequalified.
(h) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native
Hawaiians as individuals, may be eligible for certification. Such a firm must meet the size standards of §26.35.
Such a firm must be controlled by socially and economically disadvantaged individuals, as provided in §26. 71.
(i) The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs).
(1) Notwithstanding any other provisions of this subpart, a direct or indirect subsidiary corporation, joint venture,
or partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following
requirements:
(i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of
the Settlement Common Stock and by Natives and descendents of Natives represents a majority of
both the total equity of the ANC and the total voting power of the corporation for purposes of electing
directors;
(ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or
partnership entity held by the ANC and by holders of its Settlement Common Stock represent a majority
of both the total equity of the entity and the total voting power of the entity for the purpose of electing
directors, the general partner, or principal officers; and
(iii) The subsidiary, joint venture, or partnership entity has been certified by the Small Business
Administration under the 8(a} or small disadvantaged business program.
(2) As a recipient to whom an ANC-related entity applies for certification, you do not use the DOT uniform
application form (see Appendix F of this part). You must obtain from the firm documentation sufficient to
demonstrate that entity meets the requirements of paragraph (i)(1) of this section. You must also obtain
sufficient information about the firm to allow you to administer your program (e.g., information that would
appear in your DBE Directory).
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(3) If an ANC-related firm does not meet all the conditions of paragraph (i)(1) of this section, then it must meet
the requirements of paragraph (h) of this section in order to be certified, on the same basis as firms owned
by Indian Tribes or Native Hawaiian Organizations.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan. 28, 2011]
Subpart E-Certification Procedures
§ 26.81 What are the requirements for Unified Certification Programs?
(a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP).
(1) Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement
establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary
may, on the basis of extenuating circumstances shown by the recipients in the state, extend this deadline for
no more than one additional year.
(2) The agreement must provide for the establishment of a UCP meeting all the requirements of this section.
The agreement must specify that the UCP will follow all certification procedures and standards of this part,
on the same basis as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring
activities of DOT and its operating administrations; and that the UCP shall implement DOT directives and
guidance concerning certification matters. The agreement shall also commit recipients to ensuring that the
UCP has sufficient resources and expertise to carry out the requirements of this part. The agreement shall
include an implementation schedule ensuring that the UCP is fully operational no later than 18 months
following the approval of the agreement by the Secretary.
(3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients
in that state.
(4) The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state
for revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is
deemed to be accepted.
(5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall
have the opportunity to make an explanation to the Secretary why a deadline could not be met and why
meeting the deadline was beyond your control. If you fail to make such an explanation, or the explanation
does not justify the failure to meet the deadline, the Secretary shall direct you to complete the required
action by a date certain. If you and the other recipients fail to carry out this direction in a timely manner, you
are collectively in noncompliance with this part.
(b) The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to
participation in the DOT DBE Program.
(1) Certification decisions by the UCP shall be binding on all DOT recipients within the state.
(2) The UCP shall provide "one-stop shopping" to applicants for certification, such that an applicant is required
to apply only once for a DBE certification that will be honored by all recipients in the state.
(3) All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs,
and recipients may use only UCPs that comply with the certification and nondiscrimination requirements of
this part.
(c) All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due
date for bids or offers on a contract on which a firm seeks to participate as a DBE.
(d) A UCP is not required to process an application for certification from a firm having its principal place of business
outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of
business. The "home state" UCP shall share its information and documents concerning the firm with other UCPs
that are considering the firm's application.
(e) Subject to DOT approval as provided in this section, the recipients in two or more states may form a regional
UCP. UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline
the specific responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT
recipient.
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(f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements
with other recipients, on a regional or inter-jurisdictional basis, to perform certification functions required by this
part. You may also grant reciprocity to other recipient's certification decisions.
(g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those
from other states certified under the provisions of this part), the information required by §26.31. The UCP shall
make the directory available to the public electronically, on the internet, as well as in print The UCP shall update
the electronic version of the directory by including additions, deletions, and other changes as soon as they are
made and shall revise the print version of the Directory at least once a year.
(h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to
recipients also apply to UCPs.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5100, Jan. 28, 2011)
§ 26.83 What procedures do recipients follow in making certification decisions?
(a) You must ensure that only firms certified as eligible DBEs under this section participate as DBEs in your
program.
(b) You must determine the eligibility of firms as DBEs consistent with the standards of subpart D of this part. When
a UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that
recipients are required to meet
(c) You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of this
part:
(1) Perform an on-site visit to the offices of the firm. You must interview the principal officers of the firm and
review their resumes and/or work histories. You must also perform an on-site visit to job sites if there are
such sites on which the firm is working at the time of the eligibility investigation in your jurisdiction or local
area. You may rely upon the site visit report of any other recipient with respect to a firm applying for
certification;
(2) If the firm is a corporation, analyze the ownership of stock in the firm;
(3) Analyze the bonding and financial capacity of the firm;
(4) Determine the work history of the firm, including contracts it has received and work it has completed;
(5) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its
preferred locations for performing the work, if any;
(6) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its
key personnel possess to perform the work it seeks to do as part of the DBE program;
(7) Require potential DBEs to complete and submit an appropriate application form, unless the potential DBE is
an SBA certified firm applying pursuant to the DOT/SBA MOU.
(i) You must use the application form provided in Appendix F to this part without change or revision.
However, you may provide in your DBE program, with the approval of the concerned operating
administration, for supplementing the form by requesting additional information not inconsistent with this
part.
(ii) You must make sure that the applicant attests to the accuracy and truthfulness of the information on the
application form. This shall be done either in the form of an affidavit sworn to by the applicant before a
person who is authorized by state law to administer oaths or in the form of an unsworn declaration
executed under penalty of perjury of the laws of the United States.
(iii) You must review all information on the form prior to making a decision about the eligibility of the firm.
(d) When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for
certification information you have obtained about that firm (e.g., including application materials or the report of a
site visit, if you have made one to the firm), you must promptly make the information available to the other
recipient
(e) [Reserved)
(f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose
a reasonable application fee for certification. Fee waivers shall be made in appropriate cases.
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(g) You must safeguard from disclosure to unauthorized persons information gathered as part of the certification
process that may reasonably be regarded as proprietary or other confidential business information, consistent
with applicable Federal, state, and local law.
(h) Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in
whole or in part, through the procedures of section 26.87. You may not require DBEs to reapply for certification
or require "recertification" of currently certified firms. However, you may conduct a certification review of a
certified DBE firm, including a new on-site review, three years from the date of the firm's most recent certification,
or sooner if appropriate in light of changed circumstances (e.g., of the kind requiring notice under paragraph (i) of
this section), a complaint, or other information concerning the firm's eligibility. If you have grounds to question the
firm's eligibility, you may conduct an on-site review on an unannounced basis, at the firm's offices and jobsites.
(i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your
ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change
in the information provided in your application form.
(1) Changes in management responsibility among members of a limited liability company are covered by this
requirement.
(2) You must attach supporting documentation describing in detail the nature of such changes.
(3) The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by
state law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of
the United States. You must provide the written notification within 30 days of the occurrence of the change.
If you fail to make timely notification of such a change, you will be deemed to have failed to cooperate under
§26.109(c).
0) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your
certification, an affidavit sworn to by the firm's owners before a person who is authorized by state law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States.
This affidavit must affirm that there have been no changes in the firm's circumstances affecting its ability to meet
size, disadvantaged status, ownership, or control requirements of this part or any material changes in the
information provided in its application form, except for changes about which you have notified the recipient under
paragraph (i) of this section. The affidavit shall specifically affirm that your firm continues to meet SBA business
size criteria and the overall gross receipts cap of this part, documenting this affirmation with supporting
documentation of your firm's size and gross receipts. If you fail to provide this affidavit in a timely manner, you
will be deemed to have failed to cooperate under §26.109(c).
(k) If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from
the applicant firm all information required under this part. You may extend this time period once, for no more than
an additional 60 days, upon written notice to the firm, explaining fully and specifically the reasons for the
extension. You may establish a different time frame in your DBE program, upon a showing that this time frame is
not feasible, and subject to the approval of the concerned operating administration. Your failure to make a
decision by the applicable deadline under this paragraph is deemed a constructive denial of the application, on
the basis of which the firm may appeal to DOT under §26.89.
(I) As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application
whether the application is complete and suitable for evaluation and, if not, what additional information or action is
required.
(m) Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application
before you have issued a decision on the application, the applicant can resubmit the application at any time. As a
recipient or UCP, you may not apply the waiting period provided under §26.86(c) of this part before allowing the
applicant to resubmit its application. However, you may place the reapplication at the "end of the line," behind
other applications that have been made since the firm's previous application was withdrawn. You may also apply
the waiting period provided under §26.86(c) of this part to a firm that has established a pattern of frequently
withdrawing applications before you make a decision.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011)
§ 26.85 Interstate certification.
(a) This section applies with respect to any firm that is currently certified in its home state.
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(b) When a firm currently certified in its home state ("State A") applies to another State ("State B") for DBE
certification, State B may, at its discretion, accept State A's certification and certify the firm, without further
procedures.
(1) To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from
State A.
(2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A.
State B can do so by reviewing State A's electronic directory or obtaining written confirmation from State A.
(c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph
(b) of this section, as the applicant firm you must provide the information in paragraphs (c)(1) through (4) of this
section to State B.
(1) You must provide to State B a complete copy of the application form, all supporting documents, and any
other information you have submitted to State A or any other state related to your firm's certification. This
includes affidavits of no change (see §26.830)) and any notices of changes (see §26.83(i)) that you have
submitted to State A, as well as any correspondence you have had with State A's UCP or any other recipient
concerning your application or status as a DBE firm.
(2) You must also provide to State B any notices or correspondence from states other than State A relating to
your status as an applicant or certified DBE in those states. For example, if you have been denied
certification or decertified in State C, or subject to a decertification action there, you must inform State B of
this fact and provide all documentation concerning this action to State B.
(3) If you have filed a certification appeal with DOT (see §26.89), you must inform State B of the fact and
provide your letter of appeal and DOT's response to State B.
(4) You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United
States.
(i) This affidavit must affirm that you have submitted all the information required by 49 CFR 26.85(c) and
the information is complete and, in the case of the information required by §26.85(c)(1 ), is an identical
copy of the information submitted to State A.
(ii) If the on-site report from State A supporting your certification in State A is more than three years old, as
of the date of your application to State B, State B may require that your affidavit also affirm that the facts
in the on-site report remain true and correct.
(d) As State B, when you receive from an applicant firm all the information required by paragraph (c) of this section,
you must take the following actions:
(1) Within seven days contact State A and request a copy of the site visit review report for the firm (see
§26.83(c)(1 )), any updates to the site visit review, and any evaluation of the firm based on the site visit. As
State A, you must transmit this information to State B within seven days of receiving the request. A pattern
by State B of not making such requests in a timely manner or by "State A" or any other State of not
complying with such requests in a timely manner is noncompliance with this Part.
(2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or
should not apply in your State. Reasons for making such a determination may include the following:
(i) Evidence that State A's certification was obtained by fraud;
(ii) New information, not available to State A at the time of its certification, showing that the firm does not
meet all eligibility criteria;
(iii) State A's certification was factually erroneous or was inconsistent with the requirements of this part;
(iv) The State law of State B requires a result different from that of the State law of State A.
(v) The information provided by the applicant firm did not meet the requirements of paragraph (c) of this
section.
(3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you
received from the applicant firm all the information required by paragraph (c) of this section, send to the
applicant firm a notice that it is certified and place the firm on your directory of certified firms.
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(4) If, as State B, you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you
received from the applicant firm all the information required by paragraph (c) of this section, send to the
applicant firm a notice stating the reasons for your determination.
(i) This notice must state with particularity the specific reasons why State B believes that the firm does not
meet the requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to
State B with respect to these reasons.
(ii) The firm may elect to respond in writing, to request an in-person meeting with State B's decision maker
to discuss State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B
you must schedule the meeting to take place within 30 days of receiving the firm's request.
(iii) The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the
requirements of this Part with respect to the particularized issues raised by State B's notice. The firm is
not otherwise responsible for further demonstrating its eligibility to State B.
(iv) The decision maker for State B must be an individual who is thoroughly familiar with the provisions of
this Part concerning certification.
(v) State B must issue a written decision within 30 days of the receipt of the written response from the firm
or the meeting with the decision maker, whichever is later.
(vi) The firm's application for certification is stayed pending the outcome of this process.
(vii) A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under
s§26.89 of this part.
(e) As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you
have made a timely request for it, you may hold action required by paragraphs (d)(2) through (4) of this section in
abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the
date on which you received from an applicant firm all the information required by paragraph (c) of this section,
notify the firm in writing of the delay in the process and the reason for it.
(f) ( 1) As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other
State in which the firm is certified, through the procedures of paragraph (d)(4) of this section, or decertify a firm,
in whole or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOCR's)
Ineligibility Determination Online Database. You must enter the following information:
(i) The name of the firm;
(ii) The name(s) of the firm's owner(s);
(iii) The type and date of the action;
(iv) The reason for the action.
(2) As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm
that is applying to you for certification or that you have already certified is on the list.
(3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP
that made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting
UCP within 7 days of receiving the request. As the UCP receiving the decision, you must then consider the
information in the decision in determining what, if any, action to take with respect to the certified DBE firm or
applicant.
(g) You must implement the requirements of this section beginning January 1, 2012.
[76 FR 5100, Jan. 28, 2011)
§ 26.86 What rules govern recipients' denials of initial requests for certification?
(a) When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must
provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the
record that supports each reason for the denial. All documents and other information on which the denial is
based must be made available to the applicant, on request.
(b) When you deny DBE certification to a firm certified by the SBA, you must notify the SBA in writing. The
notification must include the reason for denial.
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(c) When a firm is denied certification, you must establish a time period of no more than twelve months that must
elapse before the firm may reapply to the recipient for certification. You may provide, in your DBE program,
subject to approval by the concerned operating administration, a shorter waiting period for reapplication. The
time period for reapplication begins to run on the date the explanation required by paragraph (a) of this section is
received by the firm.
(d) When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial
to the Department under §26.89.
[64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003)
§ 26.87 What procedures does a recipient use to remove a DBE's eligibility?
(a) Ineligibility complaints. (1) Any person may file with you a written complaint alleging that a currently-certified firm
is ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general
allegation that a firm is ineligible or an anonymous complaint. The complaint may include any information or
arguments supporting the complainant's assertion that the firm is ineligible and should not continue to be
certified. Confidentiality of complainants' identities must be protected as provided in §26.1 09(b).
(2) You must review your records concerning the firm, any material provided by the firm and the complainant,
and other available information. You may request additional information from the firm or conduct any other
investigation that you deem necessary.
(3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible,
you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the
reasons for the proposed determination. If you determine that such reasonable cause does not exist, you
must notify the complainant and the firm in writing of this determination and the reasons for it. All statements
of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the
record on which each reason is based.
(b) Recipient-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other
information that comes to your attention, you determine that there is reasonable cause to believe that a currently
certified firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible,
setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable
cause must specifically reference the evidence in the record on which each reason is based.
(c) DOT directive to initiate proceeding. ( 1) If the concerned operating administration determines that information in
your certification records, or other information available to the concerned operating administration, provides
reasonable cause to believe that a firm you certified does not meet the eligibility criteria of this part, the
concerned operating administration may direct you to initiate a proceeding to remove the firm's certification.
(2) The concerned operating administration must provide you and the firm a notice setting forth the reasons for
the directive, including any relevant documentation or other information.
(3) You must immediately commence and prosecute a proceeding to remove eligibility as provided by
paragraph (b) of this section.
(d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph
(a}, (b), or (c) of this section, you must give the firm an opportunity for an informal hearing, at which the firm may
respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments
concerning why it should remain certified.
(1) In such a proceeding, you bear the burden of proving, by a preponderance of the evidence, that the firm
does not meet the certification standards of this part.
(2) You must maintain a complete record of the hearing, by any means acceptable under state law for the
retention of a verbatim record of an administrative hearing. If there is an appeal to DOT under §26.89, you
must provide a transcript of the hearing to DOT and, on request, to the firm. You must retain the original
record of the hearing. You may charge the firm only for the cost of copying the record.
(3) The firm may elect to present information and arguments in writing, without going to a hearing. In such a
situation, you bear the same burden of proving, by a preponderance of the evidence, that the firm does not
meet the certification standards, as you would during a hearing.
(e) Separation offunctions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made
by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to
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remove the firm's eligibility and are not subject, with respect to the matter, to direction from the office or
personnel who did take part in these actions.
(1) Your method of implementing this requirement must be made part of your DBE program.
(2) The decision maker must be an individual who is knowledgeable about the certification requirements of your
DBE program and this part.
(3) Before a UCP is operational in its state, a small airport or small transit authority (i.e., an airport or transit
authority serving an area with less than 250,000 population) is required to meet this requirement only to the
extent feasible.
(f) Grounds for decision. You must not base a decision to remove eligibility on a reinterpretation or changed opinion
of information available to the recipient at the time of its certification of the firm. You may base such a decision
only on one or more of the following:
(1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm
unable to meet the eligibility standards of this part;
(2) Information or evidence not available to you at the time the firm was certified;
(3) Information that was concealed or misrepresented by the firm in previous certification actions by a recipient;
(4) A change in the certification standards or requirements of the Department since you certified the firm; or
(5) A documented finding that your determination to certify the firm was factually erroneous.
(g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the
reasons for it, including specific references to the evidence in the record that supports each reason for the
decision. The notice must inform the firm of the consequences of your decision and of the availability of an
appeal to the Department of Transportation under §26.89. You must send copies of the notice to the complainant
in an ineligibility complaint or the concerned operating administration that had directed you to initiate the
proceeding.
(h) [Reserved]
(i) Status affirm during proceeding. (1) A firm remains an eligible DBE during the pendency of your proceeding to
remove its eligibility.
(2) The firm does not become ineligible until the issuance of the notice provided for in paragraph (g) of this
section.
U) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action:
(1) When a prime contractor has made a commitment to using the ineligible firm, or you have made a
commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before
you issue the decertification notice provided for in paragraph (g) of this section, the ineligible firm does not
count toward the contract goal or overall goal. You must direct the prime contractor to meet the contract goal
with an eligible DBE firm or demonstrate to you that it has made a good faith effort to do so.
(2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its
ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive
credit toward its DBE goal for the firm's work. In this case, or in a case where you have let a prime contract
to the DBE that was later ruled ineligible, the portion of the ineligible firm's performance of the contract
remaining after you issued the notice of its ineligibility shall not count toward your overall goal, but may
count toward the contract goal.
(3) Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the
performance of the contract, you may continue to count its participation on that contract toward overall and
contract goals.
(k) Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section,
the firm may appeal the removal to the Department under §26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011]
Page 36 of 50
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.89 What is the process for certification appeals to the Department of Transportation?
(a) (1) If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA-
certified firms applying pursuant to the DOT/SBA MOU, you may make an administrative appeal to the
Department.
(2) If you are a complainant in an ineligibility complaint to a recipient (including the concerned operating
administration in the circumstances provided in §26.87(c)), you may appeal to the Department if the
recipient does not find reasonable cause to propose removing the firm's eligibility or, following a removal of
eligibility proceeding, determines that the firm is eligible.
(3) Send appeals to the following address: Department of Transportation, Office of Civil Rights, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
(b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does
not stay the effect of the recipient's decision while it is considering an appeal
(c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's
final decision, including information and arguments concerning why the recipient's decision should be reversed.
The Department may accept an appeal filed later than 90 days after the date of the decision if the Department
determines that there was good cause for the late filing of the appeal
(1) If you are an appellant who is a firm which has been denied certification, whose certification has been
removed, whose owner is determined not to be a member of a designated disadvantaged group, or
concerning whose owner the presumption of disadvantage has been rebutted, your letter must state the
name and address of any other recipient which currently certifies the firm, which has rejected an application
for certification from the firm or removed the firm's eligibility within one year prior to the date of the appeal, or
before which an application for certification or a removal of eligibility is pending. Failure to provide this
information may be deemed a failure to cooperate under §26.109(c).
(2) If you are an appellant other than one described in paragraph (c)(1) of this section, the Department will
request, and the firm whose certification has been questioned shall promptly provide, the information called
for in paragraph (c)(1) of this section. Failure to provide this information may be deemed a failure to
cooperate under §26.1 09(c).
(d) When it receives an appeal, the Department requests a copy of the recipient's complete administrative record in
the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript,
within 20 days of the Department's request. The Department may extend this time period on the basis of a
recipient's showing of good cause. To facilitate the Department's review of a recipient's decision, you must
ensure that such administrative records are well organized, indexed, and paginated. Records that do not comport
with these requirements are not acceptable and will be returned to you to be corrected immediately. If an appeal
is brought concerning one recipient's certification decision concerning a firm, and that recipient relied on the
decision and/or administrative record of another recipient, this requirement applies to both recipients involved.
(e) The Department makes its decision based solely on the entire administrative record. The Department does not
make a de novo review of the matter and does not conduct a hearing. The Department may supplement the
administrative record by adding relevant information made available by the DOT Office of Inspector General;
Federal, state, or local law enforcement authorities; officials of a DOT operating administration or other
appropriate DOT office; a recipient; or a firm or other private party.
(f) As a recipient, when you provide supplementary information to the Department, you shall also make this
information available to the firm and any third-party complainant involved, consistent with Federal or applicable
state laws concerning freedom of information and privacy. The Department makes available, on request by the
firm and any third-party complainant involved, any supplementary information it receives from any source.
(1) The Department affirms your decision unless it determines, based on the entire administrative record, that
your decision is unsupported by substantial evidence or inconsistent with the substantive or procedural
provisions of this part concerning certification.
(2) If the Department determines, after reviewing the entire administrative record, that your decision was
unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part
concerning certification, the Department reverses your decision and directs you to certify the firm or remove
its eligibility, as appropriate. You must take the action directed by the Department's decision immediately
upon receiving written notice of it.
(3) The Department is not required to reverse your decision if the Department determines that a procedural
error did not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the
appellant to present its case.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact
on the outcome of the case, the Department may remand the record to you with instructions seeking
clarification or augmentation of the record before making a finding. The Department may also remand a
case to you for further proceedings consistent with Department instructions concerning the proper
application of the provisions of this part.
(5) The Department does not uphold your decision based on grounds not specified in your decision.
(6) The Department's decision is based on the status and circumstances of the firm as of the date of the
decision being appealed.
(7) The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility
complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision
has been involved in the proceeding (see paragraph (d) of this section). The Department will also notify the
SBA in writing when DOT takes an action on an appeal that results in or confirms a loss of eligibility to any
SBA-certified firm. The notice includes the reasons for the Department's decision, including specific
references to the evidence in the record that supports each reason for the decision.
(8) The Department's policy is to make its decision within 180 days of receiving the complete administrative
record. If the Department does not make its decision within this period, the Department provides written
notice to concerned parties, including a statement of the reason for the delay and a date by which the
appeal decision will be made.
(g) All decisions under this section are administratively final, and are not subject to petitions for reconsideration.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556, June 16, 2003; 73 FR 33329,
June 12, 2008)
§ 26.91 What actions do recipients take following DOT certification appeal decisions?
(a) If you are the recipient from whose action an appeal under §26.89 is taken, the decision is binding. It is not
binding on other recipients.
(b) If you are a recipient to which a DOT determination under §26.89 is applicable, you must take the following
action:
(1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on
receipt of the determination, without further proceedings on your part. Effective on the date of your receipt of
the Department's determination, the consequences of a removal of eligibility set forth in §26.87(i) take effect.
(2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's
eligibility, you must expeditiously commence a proceeding to determine whether the firm's eligibility should
be removed, as provided in §26.87.
(3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm,
you must certify the firm, effective on the date of your receipt of the written notice of Department's
determination.
(4) If the Department determines that you erroneously determined that the presumption of social and economic
disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action
as determined by the Department.
(5) If the Department affirms your determination, no further action is necessary.
(c) Where DOT has upheld your denial of certification to or removal of eligibility from a firm, or directed the removal
of a firm's eligibility, other recipients with whom the firm is certified may commence a proceeding to remove the
firm's eligibility under §26.87. Such recipients must not remove the firm's eligibility absent such a proceeding.
Where DOT has reversed your denial of certification to or removal of eligibility from a firm, other recipients must
take the DOT action into account in any certification action involving the firm. However, other recipients are not
required to certify the firm based on the DOT decision.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Subpart F-Compliance and Enforcement
§ 26.101 What compliance procedures apply to recipients?
(a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under
§26.1 03 or §26.1 05 or appropriate program sanctions by the concerned operating administration, such as the
suspension or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies
are remedied. Program sanctions may include, in the case of the FHWA program, actions provided for under 23
CFR 1.36; in the case of the FAA program, actions consistent with 49 U.S.C. 47106(d), 47111(d), and 47122;
and in the case of the FTA program, any actions permitted under 49 U.S.C. chapter 53 or applicable FTA
program requirements.
(b) As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any
requirement of this part because you have been prevented from complying because a Federal court has issued a
final order in which the court found that the requirement is unconstitutional.
§ 26.103 What enforcement actions apply in FHWA and FTA programs?
The provisions of this section apply to enforcement actions under FHWA and FTA programs:
(a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations
under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If
you want to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the
date on which you learned of a continuing course of conduct in violation of this part. In response to your written
request, the Office of Civil Rights may extend the time for filing in the interest of justice, specifying in writing the
reason for so doing. The Office of Civil Rights may protect the confidentiality of your identity as provided in
§26.1 09(b). Complaints under this part are limited to allegations of violation of the provisions of this part.
(b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this
part at any time, including reviews of paperwork and on-site reviews, as appropriate. The Office of Civil Rights
may direct the operating administration to initiate a compliance review based on complaints received.
(c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance
review, that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends
you, return receipt requested, a written notice advising you that there is reasonable cause to find you in
noncompliance. The notice states the reasons for this finding and directs you to reply within 30 days concerning
whether you wish to begin conciliation.
(d) Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30,
but not more than 120, days from the date of your request. The appropriate DOT office may extend the
conciliation period for up to 30 days for good cause, consistent with applicable statutes.
(2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed
and you are regarded as being in compliance. The conciliation agreement sets forth the measures you have
taken or will take to ensure compliance. While a conciliation agreement is in effect, you remain eligible for
FHWA or FTA financial assistance.
(3) The concerned operating administration shall monitor your implementation of the conciliation agreement and
ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are
in noncompliance.
(4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in
paragraph (d)(1) of this section, then enforcement proceedings begin.
(e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart.
(2) Applicable findings in enforcement proceedings are binding on all DOT offices.
§ 26.105 What enforcement actions apply in FAA programs?
(a) Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance
is enforced through the procedures ofTitle 49 of the United States Code, including 49 U.S.C. 471 06(d),
47111 (d), and 47122, and regulations implementing them.
(b) The provisions of §26.103(b) and this section apply to enforcement actions in FAA programs.
(c) Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR
part 16 with the Federal Aviation Administration Office of Chief Counsel.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
§ 26.107 What enforcement actions apply to firms participating in the DBE program?
(a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate
in a DOT-assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations
or under circumstances indicating a serious lack of business integrity or honesty, the Department may initiate
suspension or debarment proceedings against you under 2 CFR parts 180 and 1200.
(b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts
to use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances
indicating a serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of
subpart D of this part, the Department may initiate suspension or debarment proceedings against you under 2
CFR parts 180 and 1200.
(c) In a suspension or debarment proceeding brought under paragraph (a) or (b) of this section, the concerned
operating administration may consider the fact that a purported DBE has been certified by a recipient. Such
certification does not preclude the Department from determining that the purported DBE, or another firm that has
used or attempted to use it to meet DBE goals, should be suspended or debarred.
(d) The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies,
against any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31.
(e) The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other
applicable provisions of law, any person who makes a false or fraudulent statement in connection with
participation of a DBE in any DOT-assisted program or otherwise violates applicable Federal statutes.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5101, Jan. 28, 2011]
§ 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation
or retaliation?
(a) Availability of records. (1) In responding to requests for information concerning any aspect of the DBE program,
the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552
and 552a). The Department may make available to the public any information concerning the DBE program
release of which is not prohibited by Federal law.
(2) Notwithstanding any provision of Federal or state law, you must not release any information that may
reasonably be construed as confidential business information to any third party without the written consent
of the firm that submitted the information. This includes applications for DBE certification and supporting
information. However, you must transmit this information to DOT in any certification appeal proceeding
under §26.89 of this part or to any other state to which the individual's firm has applied for certification under
§26.85 of this part.
(b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a) of this section,
the identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the
investigation, proceeding or hearing, or result in a denial of appropriate administrative due process to other
parties, the complainant must be advised for the purpose of waiving the privilege. Complainants are advised that,
in some circumstances, failure to waive the privilege may result in the closure of the investigation or dismissal of
the proceeding or hearing. FAA follows the procedures of 14 CFR part 16 with respect to confidentiality of
information in complaints.
(c) Cooperation. All participants in the Department's DBE program (including, but not limited to, recipients, DBE
firms and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet
contract goals) are required to cooperate fully and promptly with DOT and recipient compliance reviews,
certification reviews, investigations, and other requests for information. Failure to do so shall be a ground for
appropriate action against the party involved (e.g., with respect to recipients, a finding of noncompliance; with
respect to DBE firms, denial of certification or removal of eligibility and/or suspension and debarment; with
respect to a complainant or appellant, dismissal of the complaint or appeal; with respect to a contractor which
uses DBE firms to meet goals, findings of non-responsibility for future contracts and/or suspension and
debarment).
(d) Intimidation and retaliation. If you are a recipient, contractor, or any other participant in the program, you must
not intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with
any right or privilege secured by this part or because the individual or firm has made a complaint, testified,
assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. If you violate
this prohibition, you are in noncompliance with this part.
Page 40 of 50
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011]
Appendix A to Part 26-Guidance Concerning Good Faith Efforts
I. When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order to be
responsible and/or responsive, make good faith efforts to meet the goal. The bidder can meet this requirement in
either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms
sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith
efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE
goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, could
reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful.
II. In any situation in which you have established a contract goal, part 26 requires you to use the good faith efforts
mechanism of this part. As a recipient, it is up to you to make a fair and reasonable judgment whether a bidder
that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality,
quantity, and intensity of the different kinds of efforts that the bidder has made. The efforts employed by the
bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and
aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts
are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your
determination concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting quantitative
formulas is not required.
Ill. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a
specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an
adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts.
IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to
obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or
exhaustive. Other factors or types of efforts may be relevant in appropriate cases.
A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising
and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the
contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the
solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate steps
to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE
goals will be achieved. This includes, where appropriate, breaking out contract work items into economically
feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to
perform these work items with its own forces.
C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of
the contract in a timely manner to assist them in responding to a solicitation.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the
work available to DBE subcontractors and suppliers and to select those portions of the work or material
needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE
participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of
DBEs that were considered; a description of the information provided regarding the plans and
specifications for the work selected for subcontracting; and evidence as to why additional agreements
could not be reached for DBEs to perform the work.
(2) A bidder using good business judgment would consider a number of factors in negotiating with
subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as
contract goals into consideration. However, the fact that there may be some additional costs involved in
finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the contract DBE
goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform
the work of a contract with its own organization does not relieve the bidder of the responsibility to make
good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if
the price difference is excessive or unreasonable.
E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or
associations and political or social affiliations (for example union vs. non-union employee status) are not
legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the project
goal.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the
recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services.
H. Effectively using the services of available minority/women community organizations; minority/women
contractors' groups; local, state, and Federal minority/women business assistance offices; and other
organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of
DBEs.
V. In determining whether a bidder has made good faith efforts, you may take into account the performance of other
bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the contract
goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts, the
apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but
meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction
with other factors, as evidence of the apparent successful bidder having made good faith efforts.
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TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix B to Part 26-Uniform Report of DBE Awards or Commitments and Payments Form
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003]
Page 43 of 50
208
N 0 <0 Black ! (dollars) Hispanic ! Native American I American DBEs/Race Conscious I Conscious (dollars) {number) tnumber) Subcont. I Asian-I Non· Asian Pacific Minority American American Women 1 e. Si;inatur& of Avlt.cri;:o<J Neutral [dollars) (number) H I Other (La., I TOTALS (for not of any this I other group reporting I listed here) I period only) T olal DBE Participation (Dollars) Percentage of tota! dollars to DBEs Year-End TOTALS Percentage of To~al DBE Parlici>>Riion
11\SI'RUCTIO!'\S FOR C01VIPLETING THE U· .... IFORM REPORT OJ<' UllE AWARDS OR COMMITMENTS AND
PAYMENTS
!ndic;Hc the DOT Operating Administration (Ot\) that prnvides
vour 1-\:cieral financial assi!:;tar:cc. If assistance come~ ft\}ffi n1orc
ilmn one: OA. csc separate reporting forms for cadr OA. If you are un
FTA recipient. inJi..:atc your Vcndol Nurnbcr in the spac~ provided.
') If you <We an FAA r~cipient, rndicate the relevant AlP Numbers
covered by this report lf more than six, attach a separate sheet.
t. Spcct fy the Federal fiscal year ( u:., October ! Septembe-r 30) in
v.hich the covered reporting period falls
4_ St<liC the date of submission of this report.
5. Check the <tppropriatc b•)X that indicntes the reporting periud
that the data provided in this report covers. If this report is due
June L dat' sh<.>u!d cover October I ---March 3 L If this report is
due December 1, data should cover April l --September 30. If this
report is due to the f'At\, data should cover the entire year.
\), Name of the recipient
7. State your annual DBE goal(s) established for the Federal fiscal
year of this report to be submitted to and approved by the relevant
OA. Your Ovemll Goa! is to be reported as well as the breakdown
for specitic Race Conscious and Race Neutral Goals (both of which
include gemler-consdous/neutral gonls}. The Race Conscious Goal
portion should be based on progrums that focus on and provide
benefits only for DBEs. The use of contract goals is a primnry
example of " !bee Conscious measure. The Race Neutral Goal
portion should include programs that, while benefiting DBEs. arc
not solely focused on DBE firms. For example, u small business
(>tttr\:'ach progranL technicJ:I assistance~ and prompt p~yn1ent
chtu$CS can a~sist a \Vid;; variety of businesses in ltddition tt)
helping DBE t!rms,
8-'l_ The amoww; in items R(A}-9(1) should include aU types of
prime contracts awarded and all types of subcontracts <twarded nr
commincd. including: professional or consultant "''rvitcs,
construction. purch;:tse of rnarerials or supplies ... lease or purchase -of
cquipmcm and any uther types of $erviees. AH dt>l!ar amounts urc
to rd1e~! only the Federal share of such contr.lcts, and should be
rounded to the nearest dollar.
8(/\). Provide the !Nai do!!n amount for all prime contracts
assisted witll fXJT funds that were award,~d during this reporting
period.
g(B). Pn)\·ide the tmal number of all prime contracts asotstt-,J with
DOT funds that were awarded during this reporting period.
S!C). From the tt>tal dollar amount awarded in item 8(A}, pr•JVide
the do!htr amount awarded to certificJ DBEs during this r~por:ing
period.
8(0). From the tntal number of prime contrncts awarded in item
8(B), specify the number awarded to certified DBEs during this
reporting period
g(E). from the total dollars award<Xl in 8(C), l'rovidl! the !lcll;u:
ampunt award~d w DBFs though the use of R~ce Con~ciou~
method~. See the definitinn of Race Conscious Goal in itern 7 and
the explanation of project types in item 8 to include in your
calculation.
8(1'), from the total number of prime contracts awarded in S(D},
specify the ~ aw~rded to DBEs through Race Conscious
methoJs.
~(G). From the total dollar amount awarded in item ~(C), provide
the dollar amount awarded to certift,~d Dl3Es through the 1JS'-" of
Race Nemral methods. Se-e the definition of Race Neutrnl Goa! in
item 7 and the explanation of project types in item 8 to include.
8(H). From the total number of prime contracts awnrded in 8(D),
>pccify the number awarded to DBEs through Race Neutral methods.
R(l). Of all prime contracts awarded this reponing period. calculate
the percentage going to DBEs. Divide the dollar amount in item
~(C) by the dollar amount itt item 8(A) to derive this pen:cntage.
Round percentage to the nearest tenth.
9(A)-9{1). Items 9(A)-9(l) ;;re dL'rivcd in the same way as items 1\(A)-
S(l}. except that these calculations should be based on subcontracts
rather than prime contracts, Unlike prime contracts, \vhich may
only be awarded, subcontracts may be either awarded or committed.
IO(A)-ll(l). for all DilEs awarded prime contracts and awarded or
committed subcontracts as indicated in 8(C)-(D) and 9(C)-(D), break
the data down further by total dollar amount as well as the number
<>f a!! contracts going to each ethnic !,>rOUp as well as to non·
minority women. The "Other'' category includes those DBEs who
are not members of the presumptively disadv<lntaged groups
already listed, but wht> are detcnnined eligible for the DBE program
on an individual basis (e.g. a Caucasian male with a disability). The
TOTALS value in lO(H) should equal the sum of ll(C) plus 9(C), and
similarly, the TOTALS value in ll{H) should equal the sum of 8(D}
plus 9(D). Column l should only be filled out if this report is due
on December I, as indicated in item 5. The values tor this column
arc derived by adding the values reported in CDlumn H in your first
report with the values reported in this second ri:port
12(A). Provide the total number of prime contracts completed
during this r¢porting period that hnd Race Consciow; goals. R~ce
Con~ciou> ,,mmtcts are thos~ with conuacr J:;tt<lb or another Race
Conscious measure.
l2{B). Provide the total dollar value of prime co!ltracts completed
this reporting perit)(l that had Rncc (\msdvm goals.
l2(C}. Pnwide the total dollar amount of DBE participation t>n all
Race Conscious prime contracts completed this reporting periud
that was necessary· to meet the contr1cr goals on them This applies
only to Race c ... 1nscious prime contracts.
12(D), Provide the actual total DBE participation in dollars on the
race conscious prime contracts compldcd thi~ reporting period.
l2{E). Of all the prime cnntracis cnmpl~wd this reporting period,
calculate the percentage of DBE participation. Divide the actual
total dollar amount in l2(D) by the total dollar value provided in
l2(B) to derive this percentage. Round to the neaJest tenth.
l3(A)-13(E). llems 13(AH3(E) are derived m thi: same mann~r as
items !2(A)-!2(E). except tht-sc figme~ sho1lld be based on Race
Neutral prime contacts (i.e. those with no race conscious measures).
l4(A)-14(E). Calcula!<:: the totals for coch cohunn by ndding the
race conscious and neutral figures provided in ea.:h row above.
!5. Nnmc of the Authorized Representative preparing_ this form.
16. Signnturc of the Authorized Represemmivc.
17. Phone number of the Authorized Rt:prcsen!ative.
18. Fax number of th~ Aullwrizcd Representative.
•-•submit yonr compl<t~d '"P"rt to yonr Regional or Divhion Oflke.
210
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix C to Part 26-DBE Business Development Program Guidelines
The purpose of this program element is to further the development of DBEs, including but not limited to assisting
them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the
provision of training and assistance from the recipient.
(A) Each firm that participates in a recipient's business development program (BOP) program is subject to a program
term determined by the recipient. The term should consist of two stages; a developmental stage and a
transitional stage.
(B) In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria
contained in part 26.
(C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a
comprehensive business plan setting forth the participant's business targets, objectives and goals. The
participant will not be eligible for program benefits until such business plan is submitted and approved by the
recipient. The approved business plan will constitute the participant's short and long term goals and the strategy
for developmental growth to the point of economic viability in non-traditional areas of work and/or work outside
the DBE program.
(D) The business plan should contain at least the following:
(1) An analysis of market potential, competitive environment and other business analyses estimating the
program participant's prospects for profitable operation during the term of program participation and after
graduation from the program.
(2) An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting
any financial, managerial, technical, or labor conditions which could impede the participant from receiving
contracts other than those in traditional areas of DBE participation.
(3) Specific targets, objectives, and goals for the business development of the participant during the next two
years, utilizing the results of the analysis conducted pursuant to paragraphs (C) and (D)( 1) of this appendix;
(4) Estimates of contract awards from the DBE program and from other sources which are needed to meet the
objectives and goals for the years covered by the business plan; and
(5) Such other information as the recipient may require.
(E) Each participant should annually review its currently approved business plan with the recipient and modify the
plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently
approved plan should be considered the applicable plan for all program purposes until the recipient approves in
writing a modified plan. The recipient should establish an anniversary date for review of the participant's business
plan and contract forecasts.
(F) Each participant should annually forecast in writing its need for contract awards for the next program year and
the succeeding program year during the review of its business plan conducted under paragraph (E) of this
appendix. Such forecast should be included in the participant's business plan. The forecast should include:
(1) The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the
business plan;
(2) The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE
participation;
(3) The types of contract opportunities being sought, based on the firm's primary line of business; and
(4) Such other information as may be requested by the recipient to aid in providing effective business
development assistance to the participant.
(G) Program participation is divided into two stages; (1) a developmental stage and (2) a transitional stage. The
developmental stage is designed to assist participants to overcome their social and economic disadvantage by
providing such assistance as may be necessary and appropriate to enable them to access relevant markets and
strengthen their financial and managerial skills. The transitional stage of program participation follows the
developmental stage and is designed to assist participants to overcome, insofar as practical, their social and
economic disadvantage and to prepare the participant for leaving the program.
(H) The length of service in the program term should not be a pre-set time frame for either the developmental or
transitional stages but should be figured on the number of years considered necessary in normal progression of
achieving the firm's established goals and objectives. The setting of such time could be factored on such items
Page 46 of 50
211
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
as, but not limited to, the number of contracts, aggregate amount of the contract received, years in business,
growth potential, etc.
(I) Beginning in the first year of the transitional stage of program participation, each participant should annually
submit for inclusion in its business plan a transition management plan outlining specific steps to promote
profitable business operations in areas other than traditional areas of DBE participation after graduation from the
program. The transition management plan should be submitted to the recipient at the same time other
modifications are submitted pursuant to the annual review under paragraph (E) of this section. The plan should
set forth the same information as required under paragraph (F) of steps the participant will take to continue its
business development after the expiration of its program term.
(J) When a participant is recognized as successfully completing the program by substantially achieving the targets,
objectives and goals set forth in its program term, and has demonstrated the ability to compete in the
marketplace, its further participation within the program may be determined by the recipient.
(K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the
following factors, among others, should be considered by the recipient:
( 1) Profitability;
(2) Sales, including improved ratio of non-traditional contracts to traditional-type contracts;
(3) Net worth, financial ratios, working capital, capitalization, access to credit and capital;
(4) Ability to obtain bonding;
(5) A positive comparison of the DBE's business and financial profile with profiles of non-DBE businesses in the
same area or similar business category; and
(6) Good management capacity and capability.
(L) Upon determination by the recipient that the participant should be graduated from the developmental program,
the recipient should notify the participant in writing of its intent to graduate the firm in a letter of notification. The
letter of notification should set forth findings, based on the facts, for every material issue relating to the basis of
the program graduation with specific reasons for each finding. The letter of notification should also provide the
participant 45 days from the date of service of the letter to submit in writing information that would explain why
the proposed basis of graduation is not warranted.
(M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's
program term for good cause due to the failure of the firm to engage in business practices that will promote its
competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of
inadequate performance or unjustified delinquent performance. Also, the recipient can discontinue the
participation of a firm that does not actively pursue and bid on contracts, and a firm that, without justification,
regularly fails to respond to solicitations in the type of work it is qualified for and in the geographical areas where
it has indicated availability under its approved business plan. The recipient should take such action if over a 2-
year period a DBE firm exhibits such a pattern.
Appendix D to Part 26-Mentor-Protege Program Guidelines
(A) The purpose of this program element is to further the development of DBEs, including but not limited to assisting
them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via
the provision of training and assistance from other firms. To operate a mentor-protege program, a recipient must
obtain the approval of the concerned operating administration.
(B) (1) Any mentor-protege relationship shall be based on a written development plan, approved by the recipient,
which clearly sets forth the objectives of the parties and their respective roles, the duration of the
arrangement and the services and resources to be provided by the mentor to the protege. The formal
mentor-protege agreement may set a fee schedule to cover the direct and indirect cost for such services
rendered by the mentor for specific training and assistance to the protege through the life of the agreement.
Services provided by the mentor may be reimbursable under the FTA, FHWA, and FAA programs.
(2) To be eligible for reimbursement, the mentor's services provided and associated costs must be directly
attributable and properly allowable to specific individual contracts. The recipient may establish a line item for
the mentor to quote the portion of the fee schedule expected to be provided during the life of the contract.
The amount claimed shall be verified by the recipient and paid on an incremental basis representing the time
the protege is working on the contract. The total individual contract figures accumulated over the life of the
agreement shall not exceed the amount stipulated in the original mentor/protege agreement.
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212
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(C) DBEs involved in a mentor-protege agreement must be independent business entities which meet the
requirements for certification as defined in subpart D of this part. A protege firm must be certified before it begins
participation in a mentor-protege arrangement. If the recipient chooses to recognize mentor/protege agreements,
it should establish formal general program guidelines. These guidelines must be submitted to the operating
administration for approval prior to the recipient executing an individual contractor/ subcontractor mentor-protege
agreement.
Appendix E to Part 26-lndividual Determinations of Social and Economic Disadvantage
The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic
disadvantage determinations (see 13 CFR 124.103(c) and 124.104).
Social Disadvantage
I. Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural
bias within American society because of their identities as members of groups and without regard to their
individual qualities. Social disadvantage must stem from circumstances beyond their control. Evidence of
individual social disadvantage must include the following elements:
(A) At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic
origin, gender, disability, long-term residence in an environment isolated from the mainstream of American
society, or other similar causes not common to individuals who are not socially disadvantaged;
(B) Personal experiences of substantial and chronic social disadvantage in American society, not in other
countries; and
(C) Negative impact on entry into or advancement in the business world because of the disadvantage.
Recipients will consider any relevant evidence in assessing this element. In every case, however, recipients
will consider education, employment and business history, where applicable, to see if the totality of
circumstances shows disadvantage in entering into or advancing in the business world.
(1) Education. Recipients will consider such factors as denial of equal access to institutions of higher
education and vocational training, exclusion from social and professional association with students or
teachers, denial of educational honors rightfully earned, and social patterns or pressures which
discouraged the individual from pursuing a professional or business education.
(2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other
aspects of professional advancement, pay and fringe benefits, and other terms and conditions of
employment; retaliatory or discriminatory behavior by an employer or labor union; and social patterns or
pressures which have channeled the individual into non-professional or non-business fields.
(3) Business history. The recipient will consider such factors as unequal access to credit or capital,
acquisition of credit or capital under commercially unfavorable circumstances, unequal treatment in
opportunities for government contracts or other work, unequal treatment by potential customers and
business associates, and exclusion from business or professional organizations.
II. With respect to paragraph I.(A) of this appendix, the Department notes that people with disabilities have
disproportionately low incomes and high rates of unemployment. Many physical and attitudinal barriers remain to
their full participation in education, employment, and business opportunities available to the general public. The
Americans with Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with
disabilities. It is plausible that many individuals with disabilities-especially persons with severe disabilities (e.g.,
significant mobility, vision, or hearing impairments)-may be socially and economically disadvantaged.
Ill. Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed
to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by
individuals with disabilities, making a case-by-case judgment about whether such an individual meets the criteria
of this appendix. As public entities subject to Title II of the ADA, recipients must also ensure their DBE programs
are accessible to individuals with disabilities. For example, physical barriers or the lack of application and
information materials in accessible formats cannot be permitted to thwart the access of potential applicants to the
certification process or other services made available to DBEs and applicants.
Economic Disadvantage
(A) General. 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 who are not socially disadvantaged.
(B) Submission of narrative and financial information.
Page 48 of 50
213
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
(1) Each individual claiming economic disadvantage must describe the conditions which are the basis for the
claim in a narrative statement, and must submit personal financial information.
(2) [Reserved]
(C) Factors to be considered. In considering diminished capital and credit opportunities, recipients will examine
factors relating to the personal financial condition of any individual claiming disadvantaged status, including
personal income for the past two years (including bonuses and the value of company stock given in lieu of cash),
personal net worth, and the fair market value of all assets, whether encumbered or not. Recipients will also
consider the financial condition of the applicant compared to the financial profiles of small businesses in the
same primary industry classification, or, if not available, in similar lines of business, which are not owned and
controlled by socially and economically disadvantaged individuals in evaluating the individual's access to credit
and capital. The financial profiles that recipients will compare include total assets, net sales, pre-tax profit,
sales/working capital ratio, and net worth.
(D) Transfers within two years.
(1) Except as set forth in paragraph (0)(2) of this appendix, recipients will attribute to an individual claiming
disadvantaged status any assets which that individual has transferred to an immediate family member, or to
a trust, a beneficiary of which is an immediate family member, for less than fair market value, within two
years prior to a concern's application for participation in the DBE program, unless the individual claiming
disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for
that individual's education, medical expenses, or some other form of essential support.
(2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that
individual to an immediate family member that are consistent with the customary recognition of special
occasions, such as birthdays, graduations, anniversaries, and retirements.
(3) In determining an individual's access to capital and credit, recipients may consider any assets that the
individual transferred within such two-year period described by paragraph (0)(1) of this appendix that are not
considered in evaluating the individual's assets and net worth (e.g., transfers to charities).
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 2003]
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214
TITLE 49 CFR PART 26-Participation by Disadvantaged Business Enterprises in DOT Financial Assistance Programs
Appendix F to Part 26-Uniform Certification Application Form
See Exhibit D: CUCP DBE Certification Application or www.californiaucp.org.
[68 FR 35559, June 16, 2003)
Page 50 of 50
215
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
Exhibit B
DBE Program Organizational Chart
216
Exhibit B
Riverside County Transportation Commission (RCTC)
Disadvantaged Business Enterprise (DBE) Program
Organizational Chart
For DBE Purposes:
DBE Liaison Officer Reports
Directly to Executive Director
DBE liaison Officer Contact Information:
Mr. Matthew Wallace
Riverside County Transportation Commission (RCTC)
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
(951) 787-7908
(951) 787-7906 fax
E-Mail: mwallace@rctc.org
217
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
Exhibit C
RCTC Goal Setting Methodology
218
RIVERSIDE COUNTY
TRANSPORTATION
COMMISSION (RCTC)
Overall DBE
Project Goal Methodology
Submitted in fulfillment of:
Title 49 Code of Federal Regulations Part 26
219
RCTC Overall DBE Goal Methodology
Page 2 of 9
OVERALL DBE GOAL METHODOLOGY
Currently RCTC is only receiving FTA funding for one (1) project. Since this is the only
project, it is the basis for determining the Overall DBE goal.
I. INTRODUCTION
The San Jacinto Branch Line Commuter Rail (Perris Valley Line) Project is a 24 mile
extension of the Metrolink 91 Line, which currently provides service between Riverside
and downtown Los Angeles.
The San Jacinto Branch Line, purchased by the Riverside County Transportation
Commission (RCTC) in 1993, which runs parallel to 1-215, will provide a commuter rail
alternative to one of the most heavily traveled and congested freeways in the region.
Upon start up, the Perris Valley Line Project will have four new stations. It will operate
through three cities (Riverside, Moreno Valley, and Perris), bringing commuter rail
services to major employment centers. The project will also provide communities such
as Hemet, San Jacinto, Murrieta, Lake Elsinore, Menifee, Wildomar and Temecula
closer access to the Southern California commuter rail network.
The total project cost is currently estimated at $247,000,000. To meet this target,
funding has been identified from the following sources: Federal Transit Administration
(FTA) Section 5307 and Section 5309 Small Starts Funds; Federal Congestion
Mitigation and Air Quality Improvement (CMAQ) and Surface Transportation Funds;
State Transportation Improvement Program (STIP); State Transit Assistance (STA) and
bond funds; and local Measure A sales tax and property revenues.
RCTC herein sets forth its proposed Overall DBE Goal and corresponding methodology
in accordance with 49 CFR Part 26 requirements. RCTC does not have demonstrable
evidence on-hand of discrimination in its transportation contracting program. Therefore,
RCTC adopted a wholly race-neutral Overall DBE Goal. In accordance with the federally
prescribed goal setting requirements, a race conscious component is not included for
this goal. The proposed Overall DBE Goal is separate and apart from RCTC's FHWA-
assisted contracts administered in conformance with the Caltrans Local Agency DBE
sub-recipient Agreement.
The Proposed Overall DBE Goal is 3.8% of the total anticipated federal funding. The
goal is representative of the relative availability of DBEs based on evidence of ready,
willing and able DBEs with offices located within RCTC's defined market area (Riverside
County, San Bernardino County and Orange County), to all comparable businesses
which are known to be available to compete for the contracting opportunities.
Additionally, the methodology also took into consideration RCTC's past DBE goal
attainments/commitments to the extent applicable, Bidders List, the Southern California
Transportation Consortium Disparity Study, other similar Agencies' DBE goals, and
attainments within RCTC's jurisdiction and other relevant evidence. Sections II and Ill
delineate the methodology undertaken to establish the proposed Overall DBE Goal for
this wholly race-neutral program.
220
RCTC Overall DBE Goal Methodology
Page 3 of 9
II. FTA-ASSISTED CONTRACTING PROGRAM
Chart 1 identifies the Project's anticipated federal dollar share 1 considered in preparing
this proposed Overall DBE Project Goal.
CHART 1
Total Estimated Project Cost
Table 1 provides a summary of the categories of work with estimated cost breakdown
for each utilizing comparable North American Industry Classification System (NAICS)
codes for purposes of weighting the categories of work based on the engineer's
estimates.
TABLE 1
237130 and Communication Line and Related Structures 3.98%
237310 15.23%
237990 r Heavy and Civil Engineering Construction 52.99%
238110 ured Concrete Foundation and Structure Contractors 5.23%
238120 ral Steel and Precast Concrete Contractors 1.07%
11n the event the percentage of the federal funding changes from the projected amount of 34.18 for this
project, the goal will be subject to further modification.
221
RCTC Overall DBE Goal Methodology
Page 4 of 9
238140
Ill. PROPOSED OVERALL DBE GOAL -METHODOLOGY
Step 1: Determination of a Base Figure (26.45/
1.98%
10.83%
0.09%
5.58%
To establish the Base Figure, RCTC followed one of the five prescribed federal
methodologies to determine relative availability of DBEs to all comparable firms
available to bid or propose. This was accomplished by accessing the California
Unified Certification Program (CUCP) DBE Directory of Certified Firms and the
2009 U.S. Census Bureau County Business Patterns (CBP) Database by
corresponding counties within RCTC's market area (defined as Riverside County, San
Bernardino County, and Orange County) for each of the identified subcontracting
possibilities compiled by North American Industry Classification System (NAICS)
Codes. RCTC's defined market area represents where projects will be performed and
where the substantial majority of RCTC's funding dollars are intended to be expended.
Additionally, the established market area has historically been utilized in other RCTCs
goal-setting analysis. 3
RCTC made a concerted effort to ensure that the type of businesses included in the
numerator was as close as possible to the types of businesses included in the
denominator. For corresponding detail of all work category classifications grouped, refer
to Attachments I and II.
¢ For the numerator:
¢ For the denominator:
CUCP Directory of Certified DBE Firms*
2009 U.S. Census Bureau CBP Database of Firms*
*located in RCTC's market area
To determine the relative availability of DBEs, RCTC divided the numerator
representing the number of ready, willing and able DBE firms by NAICS that are located
within RCTC's defined market area, by the denominator representing all firms (DBEs
and Non-DBEs) available within the defined market area by each work category. RCTC
further refined its analysis by weighting each individual work category (from Table 1
above) relative to the engineer's estimate and corresponding federal dollar share of the
major work category codes.
2 26.45 represents Title 49 CFR Part 26 regulatory goal setting methodology reference.
3 RCTC has utilized the same market area for the RCTC DBE Overall Annual goal submittal to Caltrans
for FY 2009/10.
222
RCTC Overall DBE Goal Methodology
Page 5 of 9
The proposed Overall DBE Goal Base Figure resulting from this weighted calculation is
as follows:
(
Number of Ready, Willing, and Able DBEs X Weight of J
Number of All Available Firms NAICS%
(Including DBEs and Non-DBEs)
X 100= PROPOSED OVERALL DBE GOAL
BASE FIGURE
Proposed Overall DBE Goal Base Figure weighted by type of work to be
performed (NAICS Categories) based on their estimated funding:
TABLE2-..,.---,-~-
222 6 0.0302 0.08%
and Communication Line and
Structures Construction 98 0 0.0398 0.00%
179 20 0.1523 1.70%
99 8 0.5299 4.28%
467 17 0.0523 0.19%
ral Steel and Precast Concrete 105 10 0.0107 0.10%
341 2 0.0198 0.01%
99 3 0.1083 0.33%
1658 32 0.0009 0.00%
0.25%
6.95%
3.8%
STEP 2: Adjusting the Base Figure
Upon establishing the Base Figure, RCTC reviewed and assessed other known
evidence potentially impacting the relative availability of DBEs within RCTC's market
area, in accordance with prescribed narrow tailoring provisions set forth under 49 CFR,
Part 26.45 Step II DBE Goal Adjustment guidelines.
Evidence considered in making an adjustment to the Base Figure included RCTC's Past
DBE Goal Attainments/Commitments as applicable, RCTC's Bidders List, Caltrans
Disparity Study, Other Agencies' DBE Goals and Attainments within Riverside County
223
RCTC Overall DBE Goal Methodology
Page 6 of 9
Transportation Commission's jurisdiction and Other Relevant Evidence. A summary of
these considerations follows:
A. Past RCTC DBE Goal Attainments/Commitments
As RCTC does not have comparable projects of similar size and scope to the
Project, no adjustment to the Base Figure resulted from this consideration.
B. Riverside County Transportation Commission's Bidders List
The Bidders List serves as important demonstrable evidence of DBEs availability
and capacity to perform, however, RCTC's available Bidders List(s) is limited to On-
Call Maintenance Repair Services, and is not representative of all Bidders/Firms
available and capable of performing work under the defined work categories.
Therefore, no adjustment to the Base Figure was made in consideration of this
factor.
C. Evidence from Disparity Studies
RCTC's market area is different than the market area considered in the State of
California Department of Transportation (Caltrans) Disparity Study. Therefore, the
results of the disparity study are not applicable to this project. In lieu of this and the
fact that RCTC lacks sufficient evidence of discrimination in our transportation
contracting program, RCTC is adopting a race neutral program.
D. Other Agencies DBE Goals
RCTC surveyed other DOT-recipients and other projects within RCTC's market area
to assess their DBE goals toward making an adjustment to the Step I Base Figure.
Agencies included in the survey were the Orange County Transportation Authority
and San Bernardino Associated Governments. The calculated average contract-
specific DBE goal amounted to 8.54%, which was found to be in alignment with
RCTC's Base Figure of 6.95%. Therefore, no further adjustment to the Base Figure
was recommended to be taken.
224
RCTC Overall DBE Goal Methodology
Page 7 of 9
E. Other Evidence
RCTC has not received any anecdotal evidence nor is aware of any other factors or
adverse considerations that would have a material effect on DBEs availability within
RCTC's market place, or on DBEs ability to participate (meeting bonding, insurance
and financial requirements) in RCTC projects at this time. However, the public
facilitation process may result in the identification of evidence that may have a
material effect on the proposed DBE goal's Base Figure which would require an
adjustment. Prior to finalizing this goal-setting process and establishing the Overall
DBE Goal this factor will once again be considered if new evidence is identified.
RCTC will continue to explore and consider all available evidence that materially
would affect the opportunities for DBEs to form, grow, and compete in developing
this and future Overall DBE goals, as applicable.
RACE-NEUTRAURACE-CONSCIOUS PROJECTIONS
RCTC's market area is different than the market area considered in the State of
California Department of Transportation (Caltrans) Disparity Study. Therefore, RCTC is
adopting a race neutral program. RCTC projects to meet the overall DBE goal through
race neutral means.
IV. GOAL APPLICATION
The projected federal dollar share is $135,080,033. In accordance with Section
26.45(e), the Proposed Overall DBE Goal is expressed as a percent of FTA funds
anticipated to be expended, as follows:
Total Estimated Project Value $246,827,000
--------------~------------------------~
Estimated Federal Dollar Value $135,008,033 (54.72%)
--------------~------------------------~
Step 1 Base Figure Based on Federal Share 6.95% X 54.72% = 3.8%
--------------~-------------------------
The information RCTC reviewed in Step 2 does not merit an adjustment, therefore we
propose an overall DBE project goal of 3.8%.
The proposed Overall DBE Goal is a Race Neutral goal for RCTC. RCTC will implement
race neutral measures to achieve this goal, as generally described in the following
section.
V. RACE-NEUTRAL IMPLEMENTATION MEASURES
In accordance with Title 49 CFR Part 26.51, RCTC understands its obligation to meet
the maximum feasible portion of the Proposed Overall DBE Goal by utilizing race-
neutral means of facilitating DBE participation. RCTC plans to require full
implementation of the following race-neutral measures in conjunction with others
necessary to meet DOT's DBE program objectives and RCTC's Overall DBE goal,
including but not limited to:
225
RCTC Overall DBE Goal Methodology
Page 8 of 9
~ RCTC has considered the full complement of race-neutral measures identified in
49 CFR part 26. RCTC plans to implement the following race-neutral activities
aimed at increasing DBE and other small business participation.
~ RCTC will structure and present solicitations and schedules in ways that facilitate
DBE and other small business participation with prospective prime contractors.
RCTC will also facilitate Small Business conferences, which includes a
networking component to promote teaming opportunities between prospective
prime contractors and the DBE and Small Business contracting community.
~ RCTC will provide assistance to Small Business including DBEs in overcoming
limitations such as inability to obtain bonding or financing RCTC will additionally
refer the DBE and Small Business contracting community to the SBA Bonding
Assistance Program.
~ RCTC will carry out a communications effort to inform DBEs and other Small
Businesses of opportunities that may be available.
~ As a supportive service to help develop and improve immediate and long-term
business management, record keeping, and financial and accounting capability
for DBEs and other small businesses, RCTC will actively promote Small
Business conferences, programs and supportive services currently offered by
peer agencies which have mature DBE and Small Business Programs and are
seeking increased DBE and Small Business participation in their programs.
~ RCTC will advise contractors to the online directory of certified DBEs, found at
the California Unified Certification Program website: www.CaliforniaUCP.com
VI. PUBLIC PARTICIPATION AND FACILITATION
In accordance with Public Participation Regulatory Requirements of 49 CFR Part 26,
minority, women, local business chambers, and community organizations within RCTC's
market area will be consulted and provided an opportunity to review this goal
analysis. RCTC will prepare an Outreach Consultation Letter advising the
aforementioned business community of the DBE goal analysis and its availability for
review and conduct a public meeting to solicit public comment and input.
RCTC will also issue a Public Notice of the proposed Overall DBE Goal in the Press
Enterprise, a general circulation media and the following small business and minority
focused media and trade publications: Precinct Reporter Group, The Hispanic News,
Minority Business Entrepreneur Magazine, The BVN, Pacific Asian Current, Minority
Bidders Bulletin, The Thomas Bid Register, McGraw Hill Construction, On Line Service:
www.ContractorsEstimate.com, and/or www.goodfaitheffort.com. Such Notice will
inform the public that the goal and its rationale is available for inspection at RCTC's
offices (from 8:00a.m. to 4:30p.m., Pacific Standard Time, Monday through Friday), for
30 days following the date of the Public Notice and that RCTC will accept comments on
the goal analysis for 45 days from the date of the Public Notice. The Notice will also
include, as required, the FTA's point of contact information, as follows:
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RCTC Overall DBE Goal Methodology
Page 9 of 9
FTA Point of Contact Information for the DBE Program
Mr. Derrin Jourdan, Civil Rights Officer
FTA Region 9
201 Mission Street
San Francisco, CA 94105-1926
( 415) 7 44-2729
Derrin.Jourdan@dot.gov
The notice shall additionally include the address to which comments may be sent and
phone number for questions.
VII. Prompt Payment Mechanisms
RCTC will include the following clause in contracts, which includes flow down
provisions:
PROMPT PAYMENT
Consultant/Contractor agrees to pay each subcontractor under this contract for
satisfactory performance of its contract no later than 10 days from the receipt of each
payment the prime contractor receives from RCTC. Any delay or postponement of
payment from the above referenced time frame may occur only for good cause following
written approval from RCTC. This clause applies to all (DBE and non-DBE)
subcontractors and subconsultants.
PROMPT PAYMENT OF FUNDS WITHHELD TO SUBCONTRACTORS
RCTC shall hold retainage from the prime contractor and shall make prompt and regular
incremental acceptances of portions, as determined by RCTC, of the contract work, and
pay retainage to the prime contractor based on these acceptances. The prime
contractor, or subcontractor, shall return all monies withheld in retention from a
subcontractor within 30 days after receiving payment for work satisfactorily completed
and accepted including incremental acceptances of portions of the contract work by
RCTC. Federal law (49CFR26.29) requires that any delay or postponement of payment
over 30 days may take place only for good cause and with the agency's prior written
approval. Any violation of this provision shall subject the violating prime contractor or
subcontractor to the penalties, sanctions and other remedies specified in Section
7108.5 of the Business and Professions Code. These requirements shall not be
construed to limit or impair any contractual, administrative, or judicial remedies
otherwise available to the prime contractor or subcontractor in the event of a dispute
involving late payment or nonpayment by the prime contractor, deficient subcontract
performance, or noncompliance by a subcontractor.
227
Riverside County Transportation Commission Disadvantaged Business Enterprise (OBE) Program
Exhibit D
CUCP DBE Certification Application
228
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM
(CUCP)
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
CERTIFICATION APPLICATION
UNIFIED CERTIFICATION PROGRAM
To access the statewide CUCP DBE database, please log onto:
CALIFORNIAUCP.COM
(Rev 6111/2011)
229
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Dear Business Owner:
Thank you for your interest in participating in the California Unified Certification Program
(CUCP) for Disadvantaged Business Enterprises (DBEs). As mandated by the United States
Department of Transportation (U.S. DOT) in the DBE Program, Final Rule 49 Code ofFederal
Regulations (CPR), Part 26, all U.S. DOT recipients of federal financial assistance must
participate in a statewide UCP by March 2002. The UCP is a "One-Stop Shopping" certification
procedure that eliminates the need for DBE firms to obtain certifications from multiple agencies
within the State.
The CUCP is charged with the responsibility of certifYing fi1ms and compiling and maintaining
the Database of certified DBEs for U.S. DOT grantees in California, pursuant to 49 CPR Part 26.
The Database is intended to expand the use ofDBE firms by maintaining complete and current
information on those businesses and the products and services they can provide to all grantees of
California.
Please complete the attached application and supplemental questionnaire ifyou wish to be
considered for DBE certification and your business meets the following general guidelines:
a) The firm must be at least 51% owned by one or more socially and economically
disadvantaged individuals.
b) The firm must be an independent business, and one or more ofthe socially and economically
disadvantaged owners must control its management and daily operations.
c) Only existing for-profit "Small Business Concerns," as defined by the Small Business Act
and Small Business Administration (SBA) regulations may be certified. DBE applicants are
first subject to the applicable small business size standards of the SBA. Second, the average
annual gross receipts for the firm (including its affiliates) over the previous three fiscal years
must not exceed U.S. DOT's cap of$22.41 million.
d) The Personal Net Worth (PNW) of each socially and economically disadvantaged owner
must not exceed $1.32 million, excluding the individual's ownership interest in the applicant
firm and the equity in his/her primary residence.
For firms applying for Airport Concession DBE certification: Please refer to the Airport
Concessions Disadvantaged Business Enterprise (ACDBE) Certification Application for
applicable average annual gross receipts and personal net worth dollar limitations.
(Rev 2/28/20 II)
230
---------------------------------------
Page 2
Socially and economically disadvantaged individual means any individual who is a citizen of the
United States (or lawfully admitted permanent resident) and who is a member of the following
groups: Black American, Hispanic American, Native American, Asian-Pacific American,
Subcontinent Asian American, or Women,
or
Any individual found to be socially and economically disadvantaged on a case-by-case basis by a
certifying agency pursuant to the standards of the U.S. DOT 49 CFR Part 26.
In order to avoid unnecessary delays, please complete all portions of the application and
supplemental questionnaire, placing "N/A" next to items that are not applicable. Include all
copies of documents requested on the application, and have the Affidavit of Certification
notarized. Additional documentation may be requested if it is considered necessary to make a
certification determination. Incomplete applications/supplemental questionnaires or
applications/supplemental questionnaires without all the required documents will not be
evaluated until such documents are submitted. We recommend keeping a copy of all submitted
documents for your records.
REMEMBER: It is no longer necessary to apply at more than one agency. If your firm
meets the criteria for certification, it will be entered into the Database ofDBEs for all U.S.
DOT grantees in California. Only firms currently certified as eligible DBEs may
participate in the DBE programs of U.S. DOT grantees of California. Ifyou wish to be
considered for Airport Concession DBE certification only, you will need to complete the
Airport Concession DBE Certification Application Package, which can be accessed at
www.CaliforniaUCP.com.
The CUCP has established two Regional DBE Certification Clusters throughout the State to
effectively facilitate statewide DBE certification activities. Please forward your completed
certification packet to one of the agencies serving the county where your firm has its principal
place ofbusiness. (See enclosed Roster of Certifying Agencies.)
For Out-of-State Firms: The CUCP will not process a new application for DBE certification
from a firm having its principal place of business in another state unless the firm has already
been certified in that state. If your firm is located outside of California and is certified as a DBE
in your home state, please forward your completed certification packet, along with a copy of
your DBE certificate, to the California Department of Transportation. (See page 2 of the
enclosed Roster of Certifying Agencies.)
(Rev 2/28/2011)
231
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM
INSTRUCTIONS FOR COMPLETING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM UNIFORM CERTIFICATION APPLICATION
NOTE: If you require additional space for any question in this application, please attach additional sheets or copies as needed,
takiu!! care to indicate on each attached sheet/copy the section and number of this application to which it refers.
Section 1: CERTIFICATION INFORMATION
A. Prior/Other Certifications
Check the appropriate box indicating for which
program your firm is currently certified. If you are
already certified as a DBE, indicate in the appropriate
box the name of the certifying agency that has
previously certified your firm, and also indicate
whether your firm has undergone an onsite visit. If
your firm has already undergone an onsite
visit/review, indicate the most recent date of that
review and the state UCP that conducted the review.
B. Prior/Other Applications and Privileges
Indicate whether your fim1 or any of the persons listed
has ever withdrawn an application for a DBE program
or whether any have ever been denied certification,
decertified, debarred, suspended, or had bidding
privileges denied or restricted by .!!!!Y state or local
agency or Federal entity. If your answer is yes,
indicate the date of such action, identifY the name of
the agency, and explain fully the nature of the action
in the space provided.
Section 2: GENERAL INFORMATION
A. Contact Information
(I) State the name and title of the person who will
serve as your fim1's primary contact under this
application.
(2) State the legal name of your firm, as indicated in
your firm's Articles oflncorporation or charter.
(3) State the primary phone number of your firm.
(4) State a secondary phone number, if any.
(5) State your firm's fax number, if any.
(6) State your firm's or your contact person's email
address.
(7) State your firm's website address, if any.
(8) State the street address of your firm (i.e. the
physical location of its offices --not a post office
box address).
(9) State the mailing address of your firm, if it is
different from your firm's street address.
B. Business Profile
(I) In the box provided, briefly describe the primary
business and professional activities in which your
firm engages.
(2) State the Federal Tax TD number of your firm as
provided on your firm's filed tax returns, if you
have one. This could also be the Social Security
number of the owner of your firm.
(3) State the date on which your firm was officially
established, as stated in your firm's Articles of
Incorporation or charter.
(4) State the date on which you and/or each other
owner took ownership of the firm.
(5) Check the appropriate box that describes the
manner in which you and each other owner
acquired ownership of your firm. If you checked
"Other," explain in the space provided.
Instructions
232
(6) Check the appropriate box that indicates whether
your fim1 is "for profit."
NOTE: lf you checked "No," then you do NOT
qualifY for the DBE program and ilierefore do not
need to complete the rest of this application. The
DBE program requires all participating firms be
for-profit enterprises.
(7) Check ilie appropriate box that describes the legal
form of ownership of your firm, as indicated in
your firm's Articles of Incorporation. If you
checked "Other," briefly explain in the space
provided.
(8) Check the appropriate box that indicates whether
your firm has ever existed under different
ownership, a different type of ownership, or a
different name. If you checked "Yes," specifY
which and briefly explain the circumstances in
the space provided.
(9) Indicate in the spaces provided how many
employees your firm has, specifYing ilie number
of employees who work on a full-time and part-
time basis.
( 1 0) Specify the total gross receipts of your firm for
each of the past three years, as declared in your
finn's filed tax returns.
C. Relationships with Other Businesses
(I) Check the appropriate box that indicates whether
your firm is co-located at any of its business
locations, or whether your firm shares a
telephone number(s), a post office box, any office
space, a yard, warehouse, other facilities, any
equipment, or any office staff with any other
business, organization, or entity of any kind. If
you answered "Yes," then specifY the name of
the other firm(s) and briefly explain the nature of
the shared facilities or other items in the space
provided.
(2) Check the appropriate box that indicates whether
at present, or at any time in the past:
(a) Your firm has been a subsidiary of any other
firm;
(b) Your firm consisted of a partnership in
which one or more of the partners are other
firms;
(c) Your firm has owned any percentage of any
other firm; and
(d) Your firm has had any subsidiaries of its
own.
(3) Check ilie appropriate box that indicates whether
any other firm has ever had an ownership interest
in your firm.
(4) If you answered "Yes" to any of the questions in
(2)(a)-(d) or (3), identifY the name, address and
type of business for each.
D. Immediate Family Member Businesses
Check the appropriate box iliat indicates whether any
of your immediate family members own or manage
Page 1 of3
another company. An "immediate family member" is
any person who is your father, mother, husband, wife,
son, daughter, brother, sister, grandmother,
grandfather, grandson, granddaughter, mother-in-law,
or father-in-law. If you answered "Yes," provide the
name of each relative, your relationship to them, the
name of the company they own or manage, the type of
business. and whether they own or manage the
company.
Section 3: OWNERSHIP
Identify all individuals or holding companies with any
ownership interest in your firm, providing the
information requested below (if your firm has more
than one owner, provide completed copies of this section
for each additional owner):
A. Background Information
(I) Give the name of the owner.
(2) State his/her title or position within your firm.
(3) Give his/her home phone number.
( 4) State his/her home (street) address.
( 5) Check the appropriate box that indicates this
owner's gender.
( 6) Check the appropriate box that indicates this
owner's ethnicity (check all that apply). If you
checked "Other," specifY this owner's ethnic
group/identity not otherwise listed.
(7) Check the appropriate box to indicate whether
this owner is a U.S. citizen.
(8) If this owner is not a U.S. citizen, check the
appropriate box that indicates whether this owner
is a lawfully admitted permanent resident. If this
owner is neither a U.S. citizen nor a lawfully
admitted permanent resident of the U.S., then this
owner is NOT eligible for certification as a DBE
owner. This, however, does not necessarily
disqualifY your firm altogether from the DBE
program if another owner is a U.S. citizen or
lawfully admitted permanent resident and meets
the program's other qualifYing requirements.
B. Ownership Interest
(I) State the number of years during which this
owner has been an owner of your fim1.
(2) Indicate the dollar value of this owner's initial
investment to acquire an ownership interest in
your firm, broken down by cash, real estate,
equipment, and/or other investment.
(3) State the percentage of total ownership control of
your firm that this owner possesses.
( 4) State the familial relationship of this owner to
each other owner of your firm.
(5) Indicate the number, percentage of the total,
class, date acquired, and method by which this
owner acquired his/her shares of stock in your
finn.
(6) Check the appropriate box that indicates whether
this owner performs a management or
supervisory function for any other business. If
you checked "Yes," state the name of the other
business and this owner's title or function held in
that business.
Instructions
233
(7) Check the appropriate box that indicates whether
this owner owns or works for any other firm(s)
that has ill!Y relationship with your firm. If you
checked "Yes," identifY the name of the other
business and this owner's title or function held in
that business. Briefly describe the nature of the
business relationship in the space provided.
C. Disadvantaged Status
NOTE: You only need to complete this section for
each owner that is applying for DBE qualification
(i.e. for each owner who is claiming to be "socially
and economically disadvantaged" and whose
ownership interest is to be counted toward the
control and 51% ownership requirements of the
DBE program)
(I) Indicate in the space provided the total Personal
Net Worth (PNW) of each owner who is applying
for DBE qualification. Use the PNW calculator
form at the end of this application to compute
each owner's PNW.
(2) Check the appropriate box that indicates whether
any trust has ever been created for the benefit of
this disadvantaged owner. If you answered
"Yes," briefly explain the nature, history,
purpose, and current value of the trust(s).
Section 4: CONTROL
A. Identify your firm's Officers and Board of
Directors:
(I) In the space provided, state the name, title, date
of appointment, ethnicity, and gender of each
officer of your firm.
(2) In the space provided, state the name, title, date
of appointment, ethnicity, and gender of each
individual serving on your firm's Board of
Directors.
(3) Check the appropriate box that indicates whether
any of your firm's officers and/or directors listed
above perform a management or supervisory
function for any other business. If you answered
"Yes," identifY each person by name, his/her title,
the name of the other business in which s/he is
involved, and his/her function performed in that
other business.
(4) Check the appropriate box that indicates whether
any of your firm's officers and/or directors listed
above own or work for any other fim1(s) that has
a relationship with your firm. If you answered
"Yes," identifY the name of the firm, the officer
or director, and the nature of his/her business
relationship with that other firm.
B. Identify your firm's management personnel (by
name, title, ethnicity, and gender) who control your
firm in the following areas:
(1) Making of financial decisions on your firm's
behalf, including the acquisition of lines of credit,
surety bonds, supplies, etc.;
(2) Estimating and bidding, including calculation of
cost estimates, bid preparation and submission;
(3) Negotiating and contract execution, including
participation in any of your firm's negotiations
and executing contracts on your firm's behalf;
Page 2 of3
(4) Hiring and/or firing of management personnel,
including interviewing and conducting
performance evaluations;
( 5) Field/Production operations supervtsiOn,
including site supervision, scheduling, project
management services, etc.;
(6) Office management;
(7) Marketing and sales;
(8) Purchasing of major equipment;
(9) Signing company checks (for any purpose); and
(I 0) Conducting any other financial transactions on
your firm's behalf not otherwise listed.
(II) Check the appropriate box that indicates whether
any of the persons listed in (1) through (10)
above perform a management or supervisory
function for any other business. If you answered
"Yes," identifY each person by name, his/her title,
the name of the other business in which s/he is
involved, and his/her function performed in that
other business.
(12) Check the appropriate box that indicates whether
any of the persons listed in (I) through (I 0)
above own or work for any other firm(s) that has
a relationship with your firm. If you answered
"Yes," identifY the name of the firm, the name of
the person, and the nature of his/her business
relationship with that other firm.
C. Indicate your firm's inventory in the following
categories:
(1) Equipment
State the type, make and model, and current dollar value of
each piece of equipment held and/or used by your firm.
Indicate whether each piece is either owned or leased by
your firm.
(2) Vehicles
State the type, make and model, and current dollar value of
each motor vehicle held and/or used by your firm. Indicate
whether each vehicle is either owned or leased by your
firm.
(3) Office Space
State the street address of each office space held and/or
used by your firm. Indicate whether your firm owns or
leases the office space and the current dollar value of that
property or its lease.
(4) Storage Space
State the street address of each storage space held and/or
used by your firm. Indicate whether your firm owns or
leases the storage space and the current dollar value of that
property or its lease.
D. Does your firm rely on any other firm for
management functions or employee payroll?
Check the appropriate box that indicates whether your
firm relies on any other firm for management
functions or for employee payroll. If you answered
"Yes," briefly explain the nature of that reliance and
the extent to which the other firm carries out such
functions.
E. Financial Information
(1) Banking Information
(a) State the name of your firm's bank.
(b) Give the main phone number of your firm's
bank branch.
Instructions
234
(c) Give the address of your firm's bank branch.
(2) Bonding Information
(a) State your firm's Binder Number.
(b) State the name of your finn's bond agent
and/or broker.
(c) Give your agent's/broker's phone number.
(d) Give your agent' s/broker' s address.
(e) State your firm's bonding limits (in dollars),
specifYing both the Aggregate and Project
Limits.
F. Identify all sources, amounts, and purposes of
money loaned to your firm, including the names of
persons or firms securing the loan, if other than the
listed owner:
State the name and address of each source, the original
dollar amount and the current balance of each loan,
and the purpose for which each loan was made to your
firm.
G. List all contributions or transfers of assets to/from
your firm and to/from any of its owners over the
past two years:
Indicate in the spaces provided, the type of
contribution or asset that was transferred, its current
dollar value, the person or firm from whom it was
transferred, the person or firm to whom it was
transferred, the relationship between the two persons
and/or firms, and the date ofthe transfer.
H. List current licenses/permits held by any owner or
employee of your firm.
List the name of each person in your firm who holds a
professional license or permit, the type of permit or
license, the expiration date of the permit or license,
and the license/permit number and issuing State of the
license or permit.
I. List the three largest contracts completed by your
firm in the past three years, if any.
List the name of each owner or contractor for each
contract, the name and location of the projects under
each contract, the type of work performed on each
contract, and the dollar value of each contract.
J. List the tht·ee largest active jobs on which your
firm is currently working.
For each active job listed, state the name of the prime
contractor and the project number, the location, the
type of work performed, the project start date, the
anticipated completion date, and the dollar value of
the contract.
AFFIDAVIT & SIGNATURE
Carefully read the attached affidavit in its entirety. Fill in
the required information for each blank space, and sign and
date the affidavit in the presence of a Notary Public, who
must then notarize the form.
Page 3 of3
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
49 C.F.R. PART 26
UNIFORM CERTIFICATION APPLICATION
ROADMAP FOR APPLICANTS
CD Should I apply?
o Is your firm at least 51 %-owned by a socially and economically disadvantaged individual(s)
who also controls the firm?
o Is the disadvantaged owner a U.S. citizen or lawfully admitted permanent resident of the U.S.?
o Does the disadvantaged owner's Personal Net Worth not exceed $1.32 million (excluding the
individual's ownership interest in the applicant firm and the equity in his/her primary
residence)?
o Is your firm a small business that meets the Small Business Administration's (SBA's) size
standard and does not exceed $22.41 million in gross annual receipts?
o Is your firm organized as a for-profit business?
~ If you answered "Yes" to all of the questions above, you may be eligible to
participate in the U.S. DOT DBE program.
~ Be sure to attach all of the required documents listed in the Documents Check List at the end
of this form with your completed application.
G) Where can I find more information?
o U.S. DOT-http://osdbuweb.dot.gov/DBEProgram/index.cfm (this site provides useful
links to the rules and regulations governing the DBE program, questions and answers, and
other pertinent information)
o SBA-http://www.sba.gov/services/contractingopportunities/sizestandardstopics/index.html
(provides listing ofNAICS codes and Table of size standards)
o 49 CFR Part 26 (the rules and regulations governing the DBE program)
Updated 5/11/2011
Under Sec. 26.107 of 49 CFR Part 26, dated February 2, 1999, if at any time, the Department or a recipient has
reason to believe that any person or firm has willfully and knowingly provided incorrect information or made
false statements, the Department may initiate suspension or debarment proceedings against the person or finn
under 49 CFR Part 29, take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, and/or
refer the matter to the Department of Justice for criminal prosecution under 18 U .S.C. 100 I, which prohibits false
statements in Federal programs.
Page 1 of8 Uniform Certification Application
235
Section 1: CERTIFICATION INFORMATION
A. Prior/Other Certifications
Is your finn currently certified for ODBE Name of certifying agency:
any of the following programs?
(If Yes. check appropriate box(es)) Has your finn's state UCP conducted an on-site visit?
0 Yes, on I I State: ONo
B. Prior/Other Applications and Privileges
Has your firm (under any name) or any of its owners, Board of Directors, officers or management personnel, ever
withdrawn an application for any of the programs listed above, or ever been denied certification, decertified, or
debarred or suspended or otherwise had bidding privileges denied or restricted by any state or local agency, or
Federal entity?
0 Yes, on _1_1_ 0 No
If Yes, identify State and name of state, local, or Federal agency and explain the nature ofthe action:
Section 2: GENERAL INFORMATION
A. Contact Information
(1) Contact person and Title: I (2) Legal name of finn:
(3) Phone#: I ( 4) Other Phone #: I (5) Fax#:
(6) E-mail: I (7) Website (ifhave one):
(8) Street address of firm (No P.O. Box): City: County/Parish: State: Zip:
(9) Mailing address of finn (if different): City: County/Parish: State: Zip:
B Business Profile .
(I) Describe the primary activities of your finn: (2) Federal Tax ID (if any):
(3) This finn was established on I I I ( 4) 1/We have owned this finn since: I I
( 5) Method of acquisition (check all that apply):
0 Started new business 0 Bought existing business 0 Inherited business 0 Secured concession
0 Merger or consolidation 0 Other (explain)
( 6) Is your finn "for profit"? 0 Yes 0 No I ®STOP! If your finn is NOT for-profit, then you do NOT qualify
for this program and do NOT need to fill out this application.
Page 2 of8 Uniform Certification Application
236
(7) Type of firm (check all that apply):
0 Sole Proprietorship
0 Partnership
0 Corporation
0 Limited Liability Partnership
0 Limited Liability Corporation
0 Joint Venture
0 Other, Describe:
(8) Has your firm ever existed under different ownership, a different type of ownership, or a different name?
0 Yes DNo
IfYes, explain:
(9) Number of employees: Full-time Part-time Total
(1 0) Specify the gross receipts of the firm for the last 3 years: Year Total receipts$
Year Total receipts$
Year Total receipts$
c . R I . h' . hO h B . e at1ons 1ps w1t t er us messes
(I) Is your firm co-located at any of its business locations, or does it share a telephone number, P.O. Box, office
space, yard, warehouse, facilities, equipment, or office staff, with any other business, organization, or entity?
0 Yes DNo
If Yes, identify: Other Firm's name:
Explain nature of shared facilities:
(2) At present, or at any time in the (a) been a subsidiary of any other firm? 0 Yes ONo
past, has your firm: (b) consisted of a partnership in which one or more ofthe partners are other
firms? 0 Yes DNo
(c) owned any percentage of any other firm? DYes ONo
(d) had any subsidiaries? 0 Yes ONo
(3) Has any other firm had an ownership interest in your firm at present or at any time in the past? 0 Yes ONo
(4) Ifyou answered "Yes" to any ofthe questions in (2)(a)-(d) and/or (3), identify the following for each (attach
extra sheets, if needed):
Name Address Tyge of Business
1.
2.
3.
D. Immediate Famil Member Businesses
Do any of your immediate family members own or manage another company? 0 Yes 0 No
If Yes, then list (attach extra sheets, if needed):
Name RelationshiQ Comgany Tyge of Business
1.
2.
Own or Manage?
Page 3 of8 Uniform Certification Application
237
Section 3: OWNERSHIP
Identify all individuals or holding companies with any ownership interest in your firm, providing the
information requested below (Jf more than one owner, attach separate sheets for each additional owner~:
A B k dl~ ac {groun n ormation
(1) Name: (2) Title: (3) Home Phone#:
(4) Home Address (street and number): City: State: Zip:
(5) Gender: 0 Male 0 Female (6) Ethnic group membership (Check all that apply):
(7) U.S. Citizen: 0 Yes ONo 0 Black 0 Hispanic 0 Native American
(8) Lawfully Admitted Permanent Resident: 0 Asian Pacific 0 Subcontinent Asian
0 Yes ONo 0 Other (specifY)
B 0 h" I . wners 1p nterest
(I) Number of years as owner: (2) Initial investment to ~ Dollar Value
(3) Percentage owned: acquire ownership Cash $
(4) Familial relationship to other owners: interest in firm: Real Estate $
Equipment $
Other $
(5) Shares of Stock: Number Percentage Class Date acguired Method Acguired
(6) Does this owner perform a management or supervisory function for any other business? DYes ONo
If Yes, identify: Name of Business: Function/Title:
(7) Does this owner own or work for any other firm(s) that has a relationship with this firm (e.g., ownership interest,
shared office space, financial investments, equipment, leases, personnel sharing, etc.)? 0 Yes 0 N 0
IfYes, identity: Name ofBusiness: Function/Title:
Nature of Business Relationship:
C. Disadvantaged Status-NOTE: Complete this section only for each owner applying for DBE qualification
(i.e. for each owner claiming to be socially and economically disadvantaged)
(I) What is the Personal Net Worth (PNW) of the owner(s) applying for DBE qualification? (Use and attach the
Personal Financial Statement form at the end of this application; attach additional sheets if more than one owner is applying)
(2) Has any trust been created for the benefit of this disadvantaged owner(s)? 0 Yes 0 No
If Yes, explain (attach additional sheets if needed):
Page 4 of8 Uniform Certification Application
238
Section 4: CONTROL
A. Identify your firm's Officers & Board of Directors (if additional space is re~ uired, attach a separate sheet):
Name Title Date Appointed Ethnicity Gender
(1) (a)
(b)
Officers (c)
of the
(d)
(e)
Company
(2) Boa•·d of (a)
Directo•·s (b)
(c)
(d)
(e)
(3) Do any of the persons listed in (1) and/or (2) above perform a management or supervisory function for any other
business? 0 Yes 0 No
If Yes, identify for each: Person: _______________ Title: ____________ _
Business: Function:
(4) Do any of the persons listed (I) and/or (2) above own or work for any other firm(s) that has a relationship with
this finn (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)? 0 Yes 0 No
If Yes, identify for each: Firm Name: _____________ Person: ___________ _
Nature of Business Relationship:
B. Identify your firm's management personnel who control your firm in the following areas (If more than
two persons attach a separate sheet)•
Name Title Ethnicity Gender
(I) Financial Decisions a.
(responsibility for acquisition of lines of b. credit, surety bonding, supplies, etc.)
(2) Estimating and bidding a.
b.
(3) Negotiating and Contract a.
Execution b.
( 4) Hiring/firing of management a.
personnel b.
(5) Field/Production Operations a.
Supervisor b.
(6) Office management a.
b.
(7) Marketing/Sales a.
b.
Page 5 of8 Uniform Certification Application
239
(8) Purchasing of major a.
equipment b.
(9) Authorized to Sign Company a.
Checks (for any purpose) b.
(I 0) Authorized to make a.
Financial Transactions b.
(II) Do any of the persons listed in (I) through ( 1 0) above perform a management or supervisory function for any
other business? 0 Yes 0 No
If Yes, identify for each: Person: Title:
Business: Function:
( 12) Do any of the persons listed in (1) through (I 0) above own or work for any other firm(s) that has a relationship
with this firm (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)?
DYes ONo
IfYes, identifY for each: Firm Name: Person:
Nature of Business Relationship:
C. Indicate your firm's inventory in the following categories (attach additional sheets if needed):
(1) Equipment
Type of Equipment Make/Model Current Value Owned or Leased?
(a)
(b)
(c)
(21 Vehicles
Type of Vehicle Make/Model Current Value Owned or Leased?
(a)
(b)
(c)
(3) Office Space
Street Address Owned or Leased? Current Value of Property or Lease
(a)
(b)
(4) Storage Space
Street Address Owned or Leased? Current Value of Property or Lease
(a)
(b)
D. Does your firm rely on any other firm for management functions or employee payroll? 0 Yes 0 No
I If Yes, explain:
Page 6 of8 Uniform Certification Application
240
E. Financial Informatio n~--------------------------------------------------------------,
(1) Banking Information:
(a) Name of bank:
(c) Address ofbank:
(2) Bonding Information: Ify
(b) N arne of agent/broker
(d) Address of agent/broker:
(e) Bonding limit: Aggregate li
F. Identify all sources, a
persons or firms secu
Name of Source Address of
I.
2.
" .J.
(b) Phone No: (
City: State: Zip:
ou have bonding capacity, identi1)r: (a) Binder No: ____________________ _
(c)PhoneNo:( ) ________ _
-----------------------City: State: __ Zip: __ _
mit $ Pro"ect limit $
mounts, and purposes of money loaned to your firm, including the names of any
rin the loan, if other than the listed owner:
Source Name of Person
Securin the Loan
Original
Amount
Current
Balance
Purpose of Loan
G. List all contributions
past two years attac
or transfers of assets to/from your firm and to/from any of its owners over the
h additional sheets i neede :
Cont•·ibution/Asset Doll ar Value From
Transferred
To Whom Relationship Date of
Transfer
1.
2.
3.
H.
Transferred
List current licenses/ permits held by any owner and/or employee of your firm (e.g. contractor,
etc. (attach additional sheets i needed): enJ;ineer, architect,
Name of License/Permit H older Type of License/Permit Expiration
Date
License Number
and State
I.
2.
3.
I.
I.
2.
" .J.
List the three lar~est
Name of
Owner/Contractor Pro·ect
Page 7 of8
241
Dollar Value of
Contract
Uniform Certification Application
J L. t th th IS e ree arges t f . b ac 1ve .10 s on w h. h fi tl 1c your 1rm IS curren ty wor mg:
Name of Prime Location of Type of Work Project Anticipated Dollar
Contractor and Project Project Start Date Completion Value of
Number Date Contract
1.
2.
" .).
Page 8 of8 Uniform Certification Application
242
DBE UNIFORM CERTIFICATION APPLICATION SUPPORTING DOCUMENTS CHECKLIST
In order to complete your application for DBE cet1ification, you must attach copies of all of the following documents as
they apply to you and your firm.
All Applicants
0 Work experience resumes (that include places of ownership/employment with corresponding dates), for all
owners and officers of your firm
0 Personal Financial Statement (form available with this application)
0 Personal tax returns for the past three years, if applicable, for each owner claiming disadvantaged status
0 Your firm's tax returns (gross receipts) and all related schedules for the past three years
0 Documented proof of contributions used to acquire ownership for each owner (e.g. both sides of cancelled
checks)
0 Your firm's signed loan agreements, security agreements, and bonding forms
0 Descriptions of all real estate (including office/storage space, etc.) owned/leased by your firm and documented
proof of ownership/signed leases
0 List of equipment leased and signed lease agreements
0 List of construction equipment and/or vehicles owned and titles/proof of ownership
0 Documented proof of any transfers of assets to/from your firm and/or to/from any of its owners over the past
two years
0 Year-end balance sheets and income statements for the past three years (or life of firm, if less than three years);
a new business must provide a current balance sheet
0 All relevant licenses, license renewal forms, permits, and haul authority forms
0 DBE certifications, denials, and/or decertifications, if applicable
0 Bank authorization and signatory cards
0 Schedule of salaries (or other compensation or remuneration) paid to all officers, managers, owners, and/or
directors of the firm
0 Trust agreements held by any owner claiming disadvantaged status, if any
Partnership or Joint Venture
0 Original and any amended Pmtnership or Joint Venture Agreements
Corporation or LLC
0 Official Articles oflncorporation (signed by the state official)
0 Both sides of all corporate stock certificates and your firm's stock transfer ledger
0 Shareholders' Agreement
0 Minutes of all stockholders and board of directors meetings
0 Corporate by-laws and any amendments
0 Corporate bank resolution and bank signature cards
D Official Ce1tificate of Formation and Operating Agreement with any amendments (for LLCs)
Trucking Company
0 Documented proof of ownership of the company
0 Insurance agreements for each truck owned or operated by your firm
0 Title(s) and registration certificate(s) for each truck owned or operated by your firm
D List of U.S. DOT numbers for each truck owned or operated by your firm
Regular Dealer
0 Proof of warehouse ownership or lease
0 List of product Jines carried
D List of distribution equipment owned and/or leased
NOTE: The specific state UCP to which you are applying may have additional required documents that you
must also supply with your application. Contact the appropriate certifying agency to which you are applying
to find out if more is required. (See Supplemental Document Checklist)
243
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Supplemental Document Checklist
Firm Name: __________________________________________________________ ___
In order to complete your application for DBE certification, you must also attach copies of all of the following documents:
D Documentation of Group Membership. Please comply with one of the following: (I) For each owner seeking social
disadvantaged status on the basis of Ethnic membership, please provide a document (e.g., birth ce1tificate, U.S. Passport,
Green Card, parents' birth certificate, etc.) evidencing Ethnic heritage or similar document evidencing Ethnic community
affiliation. (2) For each owner seeking social disadvantaged status on the basis of Gender, please provide a document
evidencing gender (e.g., birth certificate, driver's license, etc.). (3) For each owner seeking an individual showing of social
disadvantage, please provide documents you deem appropriate for consideration.
D Documentation of U.S. citizenship or lawful permanent residence, e.g., U.S. bi1th certificate, Green Card, etc.
Supplemental Questionnaire
l. Is the firm's principal place of business in California? Yes_O_ NoD
If no, please include a copy of the firm's DBE certificate issued in its home state. (The CUCP will not process a
new application for DBE certification from a firm having its principal place of business in another state unless
the firm has already been certified in that state.)
2. Is the firm authorized to do business in the State of California? Yes_D_ NoD
3. List all office locations in California:. ___________________________ _
4. Has the firm ever done business with any U.S. DOT Grantees of California? Yes_O_ No D
Ifyes, please indicate the agency name(s) and latest year(s):
Agency Agency Latest Year
5. Is there an upcoming project in which the firm is interested and therefore, would need to be certified prior to a
specific date in order to be counted toward DBE participation? Yes D No D
If yes, please provide the following information:
Agency letting contract: ________________________________ _
Contract Number Bid Opening date or
and Name: _________________ Request for Proposal due date:. ________ __
6. Indicate areas where you prefer to do your work.
0 01 Alameda 0 II Glenn 0 21 Marin
0 02 Alpine 0 12 Humboldt 0 22 Mariposa
0 03 Amador 0 13 Imperial 0 23 Mendocino
0 04 Butte 0 14 Inyo 0 24 Merced
0 05 Calaveras 0 15 Kern 0 25 Modoc
0 06 Colusa 0 16 Kings 0 26 Mono
0 07 Contra Costa 0 17 Lake 0 27 Monterey
0 08 Del Norte 0 18 Lassen 0 28 Napa
0 09 El Dorado 0 19 Los Angeles 0 29 Nevada
0 10 Fresno 0 20 Madera 0 30 Orange
0 31 Placer
0 32 Plumas
0 33 Riverside
0 34 Sacramento
0 35 San Benito
0 36 San Bernardino
0 37 San Diego
0 38 San Francisco
0 39 San Joaquin
0 40 San Luis Obispo
244
0 41 San Mateo
0 42 Santa Barbara
0 43 Santa Clara
0 44 Santa Cruz
0 45 Shasta
0 46 Sierra
0 47 Siskiyou
0 48 Solano
0 49 Sonoma
0 50 Stanislaus
0 51 Sutter
0 52 Tehama
0 53 Trinity
0 54 Tulare
0 55 Tuolumne
0 56 Ventura
0 57 Yolo
0 58 Yuba
(Rev 212011)
AFFIDAVIT OF CERTIFICATION
This form must be signed and notarized for each owner upon which disadvantaged status is relied.
A MATERIAL OR FALSEST ATEMENT OR OMISSION MADE IN CONNECTION WITH THIS APPLICATION
IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION, REVOCATION OF A PRIOR APPROVAL,
INITIATION OF SUSPENSION OR DEBARMENT PROCEEDINGS, AND MAY SUBJECT THE PERSON AND/OR
ENTITY MAKING THE FALSE STATEMENT TO ANY AND ALL CIVIL AND CRIMINAL PENALTIES
AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW.
~-----------(full name printed), swear or affirm under penalty of law that I am
________ (title) of applicant firm (firm name) and that I have read and
understood all of the questions in this application and that all of the foregoing information and statements submitted
in this application and its attachments and supporting documents are true and correct to the best of my knowledge,
and that all responses to the questions are full and complete, omitting no material information. The responses
include all material information necessary to fully and accurately identifY and explain the operations, capabilities
and pertinent history of the named firm as well as the ownership, control, and affiliations thereof.
I recognize that the information submitted in this application is for the purpose of inducing certification approval by
a government agency. I understand that a government agency may, by means it deems appropriate, determine the
accuracy and truth of the statements in the application, and I authorize such agency to contact any entity named in
the application, and the named firm's bonding companies, banking institutions, credit agencies, contractors, clients,
and other certifYing agencies for the purpose of verifying the information supplied and determining the named
firm's eligibility.
I agree to submit to government audit, examination and review of books, records, documents and files, in whatever
form they exist, ofthe named firm and its affiliates, inspection of its places(s) of business and equipment, and to
permit interviews of its principals, agents, and employees. I understand that refusal to permit such inquiries shall
be grounds for denial of certification.
If awarded a contract or subcontract, I agree to promptly and directly provide the prime contractor, if any, and the
Department, recipient agency, or federal funding agency on an ongoing basis, current, complete and accurate
information regarding (I) work performed on the project; (2) payments; and (3) proposed changes, if any, to the
foregoing arrangements.
I agree to provide written notice to the recipient agency or Unified Certification Program (UCP) of any material
change in the information contained in the original application within 30 calendar days of such change (e.g.,
ownership, address, telephone number, etc.).
I acknowledge and agree that any misrepresentations in this application or in records pertaining to a contract or
subcontract will be grounds for terminating any contract or subcontract which may be awarded; denial or
revocation of certification; suspension and debarment; and for initiating action under federal and/or state law
concerning false statement, fraud or other applicable offenses.
I certifY that I am a socially and economically disadvantaged individual who is an owner of the above-referenced
firm seeking certification as a Disadvantaged Business Enterprise (DBE). In support of my application, I certifY
that I am a member of one or more of the following groups, and that I have held myself out as a member of the
group(s) (check all that apply):
Female
Hispanic American
Native American
Other (specifY)
0
0
0
0
Black American
Asian-Pacific American
Subcontinent Asian American
Affidavit
Page I of2
245
0
0
0
(Rev. 2/28/2011)
I certifY that I am socially disadvantaged because I have been subjected to racial or ethnic prejudice or cultural bias,
or have suffered the effects of discrimination, because of my identity as a member of one or more of the groups
identified above, without regard to my individual qualities.
I further certify that my personal net worth does not exceed $1,320,000, and that I am economically disadvantaged
because my 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 who are not socially and economically
disadvantaged.
I declare under penalty of perjury that the information provided in this application and supporting documents is true
and correct.
Executed on _____________ (Date)
Signature _____________ _
(DBE Applicant)
NOTARY CERTIFICATE
Affidavit
Page 2 of2
246
., DISADVANTAGED BUSINESS ENTERPRISE (DBE) and ,,
AIRPORT CONCESSION DISADVANTAGED BUSINESS ENTERPRISE (ACDBE)
/"T' ... PERSONAL FINANCIAL STATEMENT -:1.-........... \
\
i "Jt'IEfl<·EH.fiH<Xrll>' I'N.C)(;I{_\'\1
As of '
Complete this form for each individual whose ownership and control are relied upon for DBE or A CD BE certification.
Name(s) Are these figures for a married couple'' Yes Uo_ u
Residence Address: Residence Phone:
City, State, & Zip Code:
Business Name of Applicant: Business Phone:
ASSETS (Omit Cents) LIABILITIES (Omit Cents)
Cash on hand & in Banks ... .. .................................. $ Accounts Payable .. ..................... $
Savings/Other Cash Accounts .................................. $ Notes Payable to Banks and Others .. ......... $
IRA or Other Retirement Accounts .......................... $ (Describe in Section 2)
Accounts & Notes Receivable .. . .............................. $ Installment Account (Auto) . .$
Life Insurance-Cash Surrender Value Only .. .$ Installment Account (Other) . $
(Complete Section 7)
Stocks and Bonds ... ............ $ Loan on Life Insurance .. $
Mortgages on Real Estate ... . ............... $
Real Estate . . . . $ (Describe in Section 3)
(Describe in Section 3) Unpaid Taxes . ...................................... $
Automobile-Present Value .. .............. $ (Describe in Section 5)
Other Personal Property ... .. .. .. . ..... $ Other Liabilities . . ..................... $
(Describe in Section 6) (Describe m Section 4)
Total ............. $ 0
Other Assets $
(Describe in Section 4) Net Worth .............................................. $
Total .............................. $ 0 (Subtract total Liabilities from Total Assets)
Contingent Liabilities (will not be used in determining net worth)
As Endorser or Co-Maker ......................................... $
Legal Claims & Judgments ..................................... $
Provision for Federal Income Tax ...................... $
Other Special Debt ............................................. $
Section I. Separate Property (for married applicants only) Describe all separate property held by you or your spouse, their cun·ent values, and why they are separate.
Section 2. Notes Payable to Banks and Others. (Use attachments if necessary. Each attachment must be identified as a part of this statement and signed.)
Name and Address of Note holder(s) Original Current Payment Frequency How Secured or Endorsed
Balance Balance Amount (monthly, etc.) Type of Collateral
CUCP PNW Form Rev 2128/2011
247
Section 3. Real Estate Owned. (List each parcel separately. Identify primary Residence. Use attachment if necessary Each attachment must be
identified as apart of this statement and signed.)
Property A Property B Property C
Type of Property (e.g. residential, condo,
timeshare, commercial, etc.)
Address (include street, city and state)
Date Purchased
Original Cost
Present Market Value
Name & Address of Mortgage Holder
Mortgage Balance
Amount of Payment per MonthlY ear
Status of Mortgage
Section 4. Other Personal Property and Other Assets. (Describe. and if any is pledged as security, state name and address of lien holder, amount of lien,
terms of oavment and if delinQuent, describe delinquency)
Section 5. Unpaid Taxes. (Describe in detail, as to type, to whom payable, when due, amount, and to what property, if any, a tax lien attaches.)
Section 6. Other Liabilities. (Describe in detail.)
Section 7. Life Insurance Held. (Give face amount and cash surrender value of policies-name of insurance company and beneficiaries)
I certify the above and the statements contained in the attach ments are true and accurate as ofth e stated date(s). These statements are made for the purpose of
becoming eligible for the Disadvantaged Business Enterprise or Airport Concession Disadvantaged Business Enterprise Programs. I authorize the CUCP to make
inquiries as necessary to verify the accuracy of the statements made and to determine my creditworthiness
Signature: Date:
Signature: Date:
CUCP PNW Form Rev 2/28/2011
248
Instructions to Assist in Completing the
Personal Financial Statement
for the California Unified Certification Program
Please do not make adjustments to your figures pursuant to U.S. Department of Transportation (U.S. DOT) regulations 49 CFR Part 26 and
Pa1t 23. The agency that you apply to will use the inf01mation provided on your completed Personal Financial Statement to determine your
Personal Net Worth according to 49 CFR Part 26 and Pmt 23. An individual's Personal Net W01th, according to 49 CFR Part 26 and Part 23
includes only his or her own sh are of assets held separately, jointly. or as community property with the individual's spouse and excludes the
following:
• Individual's ownership interest in the applicant firm;
• Individual's equity in his or her primary residence;
• Tax and interest penalties that would accrue i fretirement savings or investments (e.g., pension plans, Individual Retirement
Accounts, 40l(k) accounts, etc.) were distributed at the present time.
For Airport Concessions Only:
• Other assets for which the individual is currently liable, which are properly documented and for which the individual's persona I
assets are encumbered to support existing financing for the A CD BE Business. to a maximum of $3 million.
Personal Net Worth limit for DBE certification in accordance with 49 CFR Part 26
If your Personal Net Wmth, according to 49 CFR Pmt 26, exceeds the $1.32 million cap and you, individually, or you and other individuals are
the majority owners of an applicant firm, the firm is not eligible for DBE certification. If the Personal Net Worth according to 49 CFR Part 26
of the majority owner(s) exceeds the $1.32 million cap at any time after your finn is certified. the finn is no longer eligible for certification.
Should that occur, it is your responsibility to contact your certifying agency in writing to advise that your firm no longer qualifies.
Personal Net Worth limit for ACDBE certification in accordance with 49 CFR Part 23
If your Personal Net Worth, according to 49 CFR Part 23, exceeds the $750,000 cap and you, individually, or you and other individuals are the
majority owners of an applicant firm, the fi1m is not eligible for A CD BE certification. If the Personal Net Worth according to 49 CFR Part 23
of the majority owner(s) exceeds the $750,000 cap at any time after your firm is certified, the fi1m is no longer eligible for certification. Should
that occur, it is your responsibility to contact your certifying agency in writing to advise that your firm no longer qualifies.
General Instructions
>-You must fill out all line items on the Personal Financial Statement to the best of your ability.
>-If necessary, use additional sheet(s) of paper to report all information and details.
>-If you have any questions about completing this fo1m, please contact one of the certifying agencies on the Roster of Certifying Agencies.
Specific Instructions
DATE AND CONTACT INFORMATION
Be sure to include the date in the upper right comer of the first page and your contact infmmation. Indicate whether the figures reported are for
a married couple.
ASSETS
All assets must be reported at their current fair market values as of the date of your statement. Assessor's assessed value for real estate, for
example, is not acceptable. Assets held in a trust generally should be included.
Cash on hand & in Banks: Enter the total amount of cash on-hand and in bank accounts other than savings.
Savings Accounts: Enter the total amount in all savings accounts.
IRA or other Retirement Account: Enter the total present value of alllRAs and other retirement accounts, including any deferred
compensation and pension plans.
Accounts & Notes Receivable: Enter the total value of all monies owed to you personally, if any. This should include shareholder loans to the
applicant firm. if any.
Life Insurance-Cash Surrender Value Only: Enter the value of any life insurance polices. This amount should be cash surrender value only,
not the amount a beneficiary would receive upon your death, also known as face value. A complete description is required in Section 7.
Stocks and Bonds: Enter the current market value of your stocks and bonds.
Real Estate: Enter the current fair market value of all real estate owned. A complete listing and description of all real estate owned is
required in Section 3.
Automobile-Present Value: Enter the current fair mm·ket value of all automobiles owned.
Other Personal Property: Enter the current fair market value of all other personal property owned. but not included in the previous entries. A
complete description of these assets is required in Section 4.
Other Assets: Enter the current fair market value of all other assets owned, but not included in the previous entries. A complete description of
these assets is required in Section 4.
LIABILITIES
Accounts Payable: Enter the total value of all unpaid accounts payable that is your responsibility.
Notes Payable to Bank and Others: Enter the total amount due on all notes payable to banks and others. This should not. however, include
any mortgage balances. A complete description of all notes payable to banks and others is required in Section 2.
Installment Account (Auto): Enter amount of the present balance ofthe debt that you owe for auto installment account.
Rev 2128/2011
249
Installment Account (Other): Enter amount of the present balance of the debt that you owe for other installment account.
Loans on Life Insurance: Enter the total value of all loans due on life insurance policies.
Mortgages on Real Estate: Enter the total balance on all mmtgages payable on real estate. A complete breakdown of all mortgages on real
estate is required in Section 3.
l.Jnpaid Taxes: Enter the total amount of all taxes that are currently due, but are unpaid. Contingent tax liabilities or anticipated taxes tor
current year should not be included. A complete description is required in Section 5.
Other Liabilities: Enter the total value due on all other liabilities not classified in the previous entries. A complete description is required in
Section 6.
Net Worth: To compute Net Worth, add all liabilities and put that figure in the Total Liabilities line. Then subtract Total Liabilities from Total
Assets to get your Net Worth. To check your figures, add Total Liabilities and Net Worth and the sum must equal Total Assets. If your figures
do not match, your form will be retumed to you to correct and complete again.
CONTINGENT LIABILITIES
Contingent liabilities are liabilities that belong to you only if an event(s) should occur. For example, if you have co-signed on a relative's loan,
but you are not responsible for the debt until your relative defaults, that is a contingent liability. Contingent liabilities do not count toward your
net wmth until they become actual liabilities.
As Endorser or Co-Maker: Enter the total potential liabilities due as a result of being a co-signer for a loan or other commitments.
Legal Claims and Judgments: Enter the potential liabilities due as a result of legal claims from judgments, lawsuits, etc.
Provisions for Federal Income Tax: Enter the total amount of all federal taxes tor which you are potentially liable due to an anticipated gain
on the pending sale of an asset or other circumstances, such as pending disputes or litigation which could possibly result in a personal tax
liability.
Other Special Debt: Enter the total amount due on all remaining potential debts not accounted for.
SECTION L SEPARATE PROPERTY
IdentifY all property that is not held jointly or as community property, include values, ownership. and a brief explanation why the property is
not held jointly.
SECTION 2. NOTES PAYABLE TO BANKS AND OTHERS
Enter the name and address of note holder(s), original balance, current balance, payment amount, fi·equency, and how secured for each note
payable as entered in the "Liabilities'' column. Do not include loans for your business or mortgages for your properties.
SECTION 3. REAL ESTATE OWNED
Starting with your primary residence (be sure to identify it as your primary residence), enter the type of property, address, date of
purchase, original cost, present fair market value, name and address of mortgage holder, mortgage account number, mortgage
balance, amount of payment, and status of mortgage for all real estate held. Please ensure that this section contains all real
estate owned, including rental properties, vacation properties, commercial properties, etc.
Total "Present Market Value" amounts should co1respond with the "'Real Estate" amount listed in the "Assets" column. Additionally, total
"Mortgage Balance" amounts should correspond with the "Mortgages on Real Estate" amount listed in the "Liabilities" column. Attach
additional sheets if needed.
SECTION 4. OTHER PERSONAL PROPERTY AND OTHER ASSETS
Itemize and describe in detail other personal property and other assets owned as listed in the ''Assets" column. For other personal property,
include boats, trailers, jewelry. furniture, household goods, collectibles, clothing, etc. For other assets, include equity interest in other
businesses, trusts, investments, etc.
SECTION 5. UNPAID TAXES
Describe in detail as to the type, to whom payable, when due, amount, and to what property, if any, the tax lien attaches. Please refer to the
unpaid taxes listed in the "Liabilities" column. If none, state "NONE." This section should not include the contingent tax liabilities or
anticipated taxes owed for the current year. For any unusually large amounts. you must include documentation, such as tax liens, to support the
amounts.
SECTION 6. OTHER LIABILITIES
Describe in detail any other liabilities as referenced by the value listed in the "Liabilities" column. If none, state "NONE." For any unusually
large amounts, you must include documentation, such as bills, to support the amounts.
SECTION 7. LIFE INSURANCE HELD
Describe all life insurance policies held. Please be sure to include the face amount of the policies, name of insurance company and beneficiaries
and cash surrender values of the policies.
EXECUTION OF STATEMENT
Be sure to sign and date at the end of the statement.
Rev 2/28/2011
250
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
NAICSCodes
The California Unified Certification Program adopted the 2002 North American Industry Classification System
(NAICS), an updated federal classification system, on October 27, 2003. Please indicate below areas of expertise
that you perform in order of importance. Enclosed is a partial list ofNAICS codes for your convenience.
For a full list ofNAICS codes and assistance in locating appropriate NAICS codes and determining if your firm
meets U.S. Small Business Administration (SBA) and U.S. DOT size standards, a search tool is available on the SBA
web site at: http://www.sba.gov/size/indextableofsize.html. DBE applicants are first subject to the applicable small
business size standards of the Small Business Administration (SBA). Second, the average annual gross receipts for
the firm (including its affiliates) over the previous three fiscal years must not exceed the U.S. Department of
Transportation's cap of $22.41 million, as amended pursuant to SAFETEA-LU. Please note that size standards are
subject to change at any time by the SBA. If you do not have Internet access or need assistance, please contact one
of the certifYing agencies on the enclosed Roster.
NA ICS"------C=o:::.!d=e Description ofWork/Service
Rev 2/28/2011
251
---------------------------------------------------------------
110000
111000
112000
113000
114000
115000
210000
211000
212000
213000
220000
221110
221120
221310
230000
236000
236115
236116
236117
236118
236210
236220
237000
237110
237120
237130
237210
237310
237990
237990
238000
238110
238120
238130
238140
238150
238160
238170
238190
238210
238220
238290
238310
238320
238330
238340
238350
238390
238910
238990
238990
CALIFORNIA UNIFIED CERTIFICATION PROGRAM
List of NAICS Codes (partial)
Agriculture, Forestry, Fishing and Hunting
Crop Production
Animal Production
Forestry and Logging
Fishing, Hunting and Trapping
Support Activities for Agriculture and Forestry
Mining
Oil and Gas Extraction
Mining (except Oil and Gas)
Support Activities for Mining
Utilities
Hydroelectric, Fossil Fuel, Nuclear and Other Electric Power
Generation
Electric Power Transmission, Control and Distribution
Water Supply and Irrigation Systems
Construction*
Construction of Buildings
New Single-Family Housing Construction (except Operative
Builde,.rs} ... ·~····~~· . . ........ ~ .. . . ···~ .. ~~···~· ..
New Multifamily Housing Construction (except Operative
Builders)
New HousingOperative Builders
Residential Remodelers
Industrial Building Construction
Commercial and Institutional Building Construction
Heavy and Civil Engineering Construction
Water andS,ewer Line and Related Structures Construction
Oil and GasPipeline and Related Structures Construction
·Power and Communication Line and Related Structures
Construction
Land Subdivision
Highway, Street, and Bridge Construction
OtherHeavy and Civil Engineering Construction
Dredging and Surface Cleanup Activities
Specialty Trade Contractors
Pour~ed Concrete Foundation and Structure Contractors
Structural Steel and Precast Concrete Contractors
Framing Contractors
Masonry Contractors
Glass and Glazing. Contractors
Roofing Contractors
Siding Contractors
Other Foundation, Structure, and Building Exterior
Contractors
Electrical Contractors
Plumbing, Heating, and Air-Conditioning Contractor!;
Other Building Equipment Contractors
Drywall ancl Insulation Contractors
Painting and Wall Covering Contractors
Flooring Contractors
Tile and Terrazzo Contractors
Finish Carpentry Contractors
Other Building Finishing Contractors
Site Preparation Contractors
All Other Specialty Trade Contractors
Building and Property Specialty Trade Services
310000
339999
311000
312000
313000
314000
315000
315211
315212
315220
315230
315299
315999
316000
316211
316213
316214
316219
• 321000
322000
323000
323110
323111
323112
323113
323114
323115
323116
323117
323118
323119
323121
323122
324000
324121
324122
325000
326000
326211
326212
326220
! 326291
326299
327000
• 331000
332000
332116
332322
i 332323
332710
332721
332996
333000
333120
333311
333313
Manufacturing
Food Manufacturing
Beverage and Tobacco Product Manufacturing
Textile Mills
Textile Product Mills
Apparel Manufacturing
Men's and Boys' Cut and Sew Apparel Contractors
Women's, Girls', and Infants' Cut and Sew Apparel
Contractors
Men's and Boys' Cut and Sew Apparel Manufacturing
Women's and Girls' Cut and Sew Apparel Manufacturing
All OtherCutandSew Apparel Manufacturing
Other Apparel Accessoriesand Other Apparel Manufacturing
Leather and Allied Product Manufacturing
~ubb~eL iJnct Plastics Footwear Manufacturing ...
~~~11~sEoC>.IVJ~iJr (except Athletic) Manufacturing .
\1\{olll~n·s Footwear (except Athletic) Manufacturing
Qther Footwear Manufacturing
Wood Product Manufacturing
Paper Manufacturing
Printing and Related Support Activities
Commercial Lithographic Printing
Commercial Gravure Printing
Commercial Flexographic Printing
Commercial Screen Printing
Quick Printing
Digital Printing
ManifoldBusiness Forms Printing
Books Printing
Blankbook, Loose-leaf Binder and Device Manufacturing
Other Commercial Printing
Tradebinding and Related Work
Pre press S~rvices
Petroleum and Coal Products Manufacturing
Asphalt Paving Mixture and Block Manufacturing
Asphalt Shingle and Coating Materials Manufacturing
Chemical Manufacturing
Plastics and Rubber Products Manufacturing
TireManufacturing (except Retreading)
Tire Retreading
Rubber and Plastics Hoses and Belting Manufacturing
Rubber Product Manufacturing for Mechanical Use
j\.11 Qther .Rubber Product Manufactljring
Nonmetallic Mineral Product Manufacturing
Prjmary Metal Manufacturing
fabricated Metal Product Manufacturing
Metal Stamping
Sheet Metal Work Manufacturing
. Ornamental and Architectural Metal Work Manufacturing
Machine Shops
Precision Turned Product Manufacturing
Fabricated Pipe and Pipe Fitting Manufacturing
~Machinery Manufacturing
~Q()nStruction Machinery Manufacturing
Automatic Vending Machine Manufacturing
Office Machinery Manufacturing
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. (Rev. 81106)
(This document contains a partial list of NAICS codes. For a complete list of NAICS codes, please visit www.sba.gov/sizelindextableofsize.html) Page 1
252
California Unified Certification Program
List of NAICS Codes (partial)
333414
333415
333514
333613
333618
333911
333921
333922
333923
333924
334000
334111
334112
334113
334119
334210
334220
334290
334310
334417
334418
334419
334511
334512
334513
334514
334518
334519
334611
334612
334613
335000
336000
336112
336120
336211
336212
336311
336312
336321
336322
336330
336340
336350
336360
336370
336391
336399
Heating Equipment (except Warm Air Furnaces)
Manufacturing
Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment
Manufacturing
Special Die and Tool, Die Set, Jig and Fixture Manufacturing
Mechanical Power Transmission Equipment Manufacturing
Other Engine Equipment Manufacturing
Pump and Pumping Equipment Manufacturing
Elevator and Moving Stairway Manufacturing
Conveyor and Conveying Equipment Manufacturing
Overhead Traveling Crane, Hoist and Monorail System
Manufacturing
Industrial Truck, Tractor, Trailer and Stacker Machinery
Manufacturing
Computer and Electronic Product Manufacturing
Electronic Computer Manufacturing
Computer Storage Device Manufacturing
Computer Terminal Manufacturing
Other Computer Peripheral Equipment Manufacturing
Telephone Apparatus Manufacturing
Radicand Television Broadcasting and Wireless
Communications Equipment Manufacturing
Other Communications Equipment Manufacturing
Audio and Video Equipment Manufacturing
Electronic Connector Manufacturing
Printed Circuit Assembly (Electronic Assembly) Mfg
Other Electronic Component Manufacturing
Search, Detection, Navigation, Guidance, Aeronautical, and
Nautical System and Instrument Manufacturing
Automatic Environmental Control Manufacturing for
Residential, Commercial and Appliance Use
Instruments and Related Products Manufacturing for
Measuring, Displaying, and Controlling Industrial Process
Variables
Totalizing Fluid Meter and Counting Device Manufacturing
Watch, Clock, and Part Manufacturing
Other Measuring and Controlling Device Manufacturing
Software Reproducing
Prerecorded Compact Disc (except Software), Tape, and
Record Reproducing
Magnetic and Optical Recording Media Manufacturing
Electrical Equipment, Appliance and Component
Manufacturing
Transportation Equipment Manufacturing
Light Truck and Utility Vehicle Manufacturing
Heavy Duty Truck Manufacturing
Motor Vehicle Body Manufacturing
Truck Trailer Manufacturing
Carburetor, Piston, Piston Ring and Valve Manufacturing
Gasoline Engine and Engine Parts Manufacturing
Vehicular Lighting Equipment Manufacturing
Other Motor Vehicle Electrical and Electronic Equipment
Manufacturing
Motor Vehicle Steering and Suspension Components
(except Spring) Manufacturing
Motor Vehicle Brake System Manufacturing
Motor Vehicle Transmission and Power Train Parts
Manufacturing
Motor Vehicle Seating and Interior Trim Manufacturing
Motor Vehicle Metal Stamping
Motor Vehicle Air-Conditioning Manufacturing
All Other Motor Vehicle Parts Manufacturing
336411
336510
336611
336991
336999
337000
337127
337211
337214
337215
337920
339000
339111
339950
339991
420000
423000
423110
423120
423130
423140
423210
423310
423320
423330
423390
423410
423420
423430
423440
423450
423490
423510
423610
423620
423690
423710
423720
423730
423740
423810
423820
423830
423840
423850
423860
423930
423940
Aircraft Manufacturing
Railroad Rolling Stock Manufacturing
Ship Building and Repairing
Motorcycle, Bicycle and Parts Manufacturing
All Other Transportation Equipment Manufacturing
Furniture and Related Product Manufacturing
Institutional Furniture Manufacturing
Wood Office Furniture Manufacturing
Office Furniture (Except Wood) Manufacturing
Showcase, Partition, Shelving, and Locker Manufacturing
Blind and Shade Manufacturing
Miscellaneous Manufacturing
Laboratory Apparatus and Furniture Manufacturing
Sign Manufacturing
Gasket, Packing, and Sealing Device Manufacturing
Wholesale Trade
Merchant Wholesalers, Durable Goods
Automobile and Other Motor Vehicle Merchant Wholesalers
Motor Vehicle Supplies and New Parts Merchant Wholeslrs
Tire and Tube Merchant Wholesalers
MotorVehicle Parts (Used) MerchantWholesalers
Furniture Merchant Wholesalers
Lumber, Plywood, Millwork, and Wood Panel Merchant
Wholesalers
Brick, Stone, and Related Construction Material Merchant
Wholesalers
Roofing, Siding, and Insulation Material Merchant Wholeslrs
Other Construction Material Merchant Wholesalers
Photographic Equipment and Supplies Merchant
Wholesalers
Office Equipment Merchant Wholesalers
Computer and Computer Peripheral Equipment and
Software Merchant Wholesalers
Other Commercial Equipment MerchantV'Jholesalers
Medical, Dental, and Hospital Equipment and Supplies
Merchant Wholesalers
Other Professional Equipment and Supplies Merchant
Wholesalers
Metal Service Centers and Other Metal Merchant Wholeslrs
Electrical Apparatus and Equipment, Wiring Supplies, and
Related Equipment Merchant Wholesalers
Electrical and Electronic Appliance, Television, and Radio
Set Merchant Wholesalers
Other Electronic Parts and Equipment Merchant Wholesalers
Hardware Merchant Wholesalers
Plumbing and Heating Equipment and Supplies (Hydronics)
Merchant Wholesalers
Warm Air Heating and Air-Conditioning Equipment and
Supplies Merchant Wholesalers
Refrigeration Equipment and Supplies Merchant
Wholesalers
Construction and Mining (except Oil Well) Machinery and
Equipment Merchant Wholesalers
Farm and Garden Machinery and Equipment Merchant
Wholesalers
Industrial Machinery and Equipment Merchant Wholesalers
Industrial Supplies Merchant Wholesalers
Service Establishment Equipment and Supplies Merchant
Wholesalers
Transportation Equipment and Supplies (except Motor
Vehicle) Merchant Wholesalers
Recyclable Material Merchant Wholesalers
Other Miscellaneous Durable Goods Merchant Wholesalers
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 2
253
California Unified Certification Program
List of NAICS Codes (partial)
424000
424110
424120
424130
424210
424310
424320
424330
424340
424410
424420
424490
424610
424690
424710
424720
424920
424930
424940
424950
424990
425000
425110
425120
440000
459999
441000
441110
441120
441221
441222
441229
441229
441310
441320
442000
442110
442210
442291
442299
443000
443111
443112
443120
443130
444000
444110
444120
444130
444190
444210
444220
445000
Merchant Wholesalers, Nondurable Goods
Printing and Writing Paper Merchant Wholesalers
Stationary and Office Supplies Merchant Wholesalers
Industrial and Personal Service Paper Merchant Wholesalers
Drugs and Druggists' Sundries Merchant Wholesalers
Piece Goods, Notions, and Other Dry Goods Merchant
Wholesalers
Men's and Boys' Clothing and Furnishings Merchant
Wholesalers
Women's, Children's, and Infants' Clothing and Accessories
Merchant Wholesalers
Footwear Merchant Wholesalers . .
General Line Grocery Merchant Wholesalers
Packaged Frozen Food Merchant Wholesalers
Other Grocery and Related Products Merchant Wholesalers
Plastics Materials and Basic Forms and Shapes Merchant
Wholesalers
Other Chemical and Allied Products Merchant Wholesalers
Petroleum Bulk Stations and Terminals
Petroleum and Petroleum Products Merchant Wholesalers
(except Bulk Stations and Terminals)
Book, Periodical, and Newspaper Merchant Wholesalers
Flower, Nursery Stock, and Florists' Supplies Merchant
Wholesalers
Tobacco and Tobacco Product Merchant Wholesalers
Paint, Varnish, and Supplies Merchant Wholesalers
Other Miscellaneous Nondurable Goods Merchant
Wholesalers
Wholesale Electronic Markets and Agents and Brokers
Business to Business Electronic Markets
Wholesale Trade Agents and Brokers
Retail Trade
Motor Vehicle and Parts Dealers
New Car Dealers
Used Car Dealers
Motorcycle Dealers
Boat Dealers
All Other Motor Vehicle Dealers
Aircraft Dealers, Retail
Automotive Parts and Accessories Stores
Tire Dealers
Furniture and Home Furnishings Stores
Furniture Stores
Floor Covering Stores
Window Treatment Stores
All Other Home Furnishings Stores
Electronics and Appliance Stores
f:lousehold Appliance Stores
Radio, Television and Other Electronics Stores
Computer and Software Stores
Camera and Photographic Supplies Stores
Building Material and Garden Equipment and Supplies Dlrs
Home Centers
Paint and Wallpaper Stores
Hardware Stores
Other Building Material Dealers
Outdoor Power Equipment Stores
Nursery and Garden Centers
Food and Beverage Stores
446000
447000
448000
448110
448120
448130
448140
448150
448190
448210
448320
451000
451211
451212
452000
453000
453110
453210
453220
453310
454000
454111
454112
454113
454210
454311
454312
454319
454390
480000
499999
481000
481111
481112
481211
481212
481219
482000
483000
484000
484110
484121
484122
484210
484220
484230
485000
485111
485112
485113
485119
485210
485310
485320
485410
485510
Health and Personal Care Stores
Gasoline Stations
Clothing and Clothing Accessories Stores
Men's Clothing Stores
Women's Clothing Stores
Children's and Infants' Clothing Store:>
Family Clothing Stores
Clothing Accessories Stores
Other Clothing Stores
Shoe Stores
Luggage and Leather Goods Stores
Sporting (]pod, Hobby, Book and Music Stores
Book Stores
News Dealers and Newsstands
General Merchandise Store
MJscellaneous Stori'J Retailers
Florists
Office Supplies and Stationery Stores
Gift, Novelty and f)ouvenir Stores
Used Merchandise Stores
Nonstore Retailers
Electronic Shopping
Electronic Auctions
Mail-Order Houses
Vending M<Jchine Operators
Heating Oil Dealers
Liquefied Petroleum Ga.sJBottled Gas) D~~alers
Other Fuel Dealers
Other Direct Selling Establishments
Transportation
Air Transportation
Scheduled Passenger Air Transportation
Scheduled Freight Air Transportation
Nonscheduled Chartered Passenger Air Transp()f!ation
Nonscheduled Chartered Freight Air Transportation
Other Nonscheduled Air Transportation
Rail Transportation
Water Transportation
Truck Transportation
General Freight Trucking, Local
General Freight Trucking, Long-Distance, Truckload
General Freight Trucking, Long-Distance, Less Than
Truckload
Used Household and Office Goods Moving
Specialized Freigh(iexcept Used Goods)Trucking,Local
Specialized Freight (except Used Goods) Trucking, Long-
Distance
Transit and Ground Passenger Tran.sportation
Mixed Mode Transit Systems
Commuter Rail Syste111s
Bus and Motor Vehicle Transit Systems
Other Urban Transit Systems
Interurban and Rural Bus Transportation
Taxi Service
Limousine Service
School and Employee Bus Transportation
Charter Bus Industry
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 3
254
California Unified Certification Program
List of NA/CS Codes (partial)
485991
485999
486000
487000
488000
488111
488119
488190
488210
488310
488320
488390
488410
488490
488510
488991
488999
491000
492000
492110
492210
493000
493110
493120
493190
510000
511000
511110
511120
511130
511140
511199
511210
512110
512191
512199
512210
512220
512240
512290
515000
515111
515112
515120
515210
516000
516110
517000
517110
517211
517212
517310
517410
517510
517910
518000
518111
Special Needs Transportation
All Other Transit and Ground Passenger Transportation
Pipeline Transportation
Scenic and Sightseeing Transportation
Support Activities for Transportation
Air Traffic Control
Other Airport Operations
Other Support Activities for Air Transportation
Support Activities for Rail Transportation
Port and Harbor Operations
Marine Cargo Handling
Other Support Activities for Water Transportation
Motor Vehicle Towing
Other Support Activities for Road Transportation
Freight Transportation Arrangement
Packing and Crating
All Other Support Activities for Transportation
Postal Service
Couriers and Messengers
Couriers
Local Messengers and Local DeliVf:!l)'
Warehousing a[Jd Storage
General Warehousing and Storage
Refrigerated Warehousing and Storage
Other Warehousing and Storage
Information
Publishing Industries (except Internet)
Newspaper Publishers
Periodical Publishers
Book Publishers
Directory and Mailing List Publishers
All Other Publishers
Software Publishers
Motion Picture and Video Production
Teleproduction and Other Postproduction Services
Other Motion Picture and Video Industries
Record Production
Integrated Record Production/Distribution
Sound Recording Studios
Other Sound Recording Industries
Broadcasting (except Internet)
Radio Networks*
Radio Stations*
Television Broadcasting*
Cable and Other Subscription Programming
Internet Publishing and Broadcasting
Internet Publishing and Broadcasting
Telecommunications
Wired Telecommunications Carriers
Paging
Cellular and Other Wireless Telecommunications
Telecommunications Resellers
Satellite Telecommunications
Cable and Other Program Distribution
Other Telecommunications
Internet Service Providers, Web Search Portals, and Data
Processing Services
Internet Service Providers
518112
518210
519000
519110
519120
519190
520000
522000
522220
522291
522292
522298
522310
522320
522390
523000
523110
523120
523130
523140
523910
523920
523930
523991
523999
524000
524113
524114
524126
524127
524128
524130
524210
524291
524292
524298
525000
525110
525120
525190
525910
525920
525930
525990
530000
531000
531120
531130
531190
531210
531312
531320
531390
532000
532111
532112
Web Search Portals
Data Processing, Hosting, and Related Services
Other Information Services
News Syndicates
Libraries and Archives
All Other Information Services
Finance and Insurance*
Credit Intermediation and Related Activities
Sales Financing
Consumer Lending
Real Estate Credit
All Other Non-Depository Credit Intermediation
Mortgage and Nonmortgage Loan Brokers
Financial Transactions Processing, Reserve, and Clearing
House Activities
Other Activities Related to Credit Intermediation
Financial Investments and Related Activities
Investment Banking and Securities.Dealing
Securities Brokerage
Commodity Contracts Dealing
Commodity Contracts Brokerage
Miscellaneous Intermediation
Portfolio Management
Investment Advice
Trust, Fiduciary and Custody Activities
Miscellaneous Financial Investment Activities
Insurance Carriers and Related Activities
Direct Life Insurance Carriers
Direct Health and Medical Insurance Carriers
Direct Property and Casualty Insurance Carriers
Direct Title Insurance Carriers . . ...
OtherDirect Insurance (except Life, Health and Medical)
Carriers
Reinsurance Carriers
Insurance Agencies and Brokerages
Claims Adjusting
Third Party Administration of Insurance and Pension Funds
All Other Insurance Related Activities
Funds, Trusts and Other Financial Vehicles
Pension Funds
Health and Welfare Funds
Other Insurance Funds
Open-End Investment Funds
Trusts, Estates, and Agency Accounts
Real Estate Investment Trusts
Other Financial Vehicles
Real Estate and Rental and Leasing
Rea/Estate
Lessors of Nonresidential Buildings (except Miniwarehouses)
Lessors of Miniwarehouses and Self Storage Units
Lessors of Other Real Estate Property
Offices of Real Estate Agents and Brokers*
Nonresidential Property Managers
Offices of Real Estate Appraisers*
Other Activities Related to Real Estate
Rental and Leasing Services
Passenger Car Rental
Passenger Car Leasing
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page4
255
California Unified Certification Program
List of NA/CS Codes (partial)
532120
532210
532299
532310
532411
532412
532420
532490
533110
540000
541110
541191
541199
541211
541213
541214
541219
541310
541320
541330
541340
541340
541350
541360
541370
541380
541410
541420
541430
541490
541511
541512
541513
541519
541611
541612
541613
541614
541618
541620
541690
541710
541720
541810
541820
541830
. 541840
541850
541860
541870
Truck, Utility Trailer, and RV (Recreational Vehicle) Rental
and Leasing
Consumer Electronics and Appliances Rental
All Other Consumer Goods Rental
General Rental Centers
Commercial Air, Rail, and Water Transportation Equipment
Rental and Leasing
Construction, Mining and Forestry Machinery and Equipment
Rental and Leasing
Office Machinery and Equipment Rental and Leasing
Other Commercial and Industrial Machinery and Equipment
Rental and Leasing
Lessors of Nonfinancial Intangible Assets (except
Copyrighted Works)
Professional, Scientific and Technical
Services
Offices of Lawyers*
Title Abstract and Settlement Offices
All Oth.eJ~Legal Services
Offices of Certified Public Accountants*
Tax Preparation Services*
Payroll Services
Other Accounting Services
Architectural Services*
Landscape Architectural Services*
Engineering Ser~~ices*
Drafting ServiCE!S
Map Drafting
Building Inspection Services
GeophysicaiSurveying and Mapping Services*
Surveying and Mapping (except Geophysical) Services*
Testif!g Laboratories
Interior Design Services
Industrial Design Services
Graphic Design Services
Other Specialized [)esign Services
Custom Computer Programming Services
Computer Systems Design Services
Computer Facilities Management Services
Other Computer Related Services
Administrative Management and General Management
Consulting Services
Human Resources and Executive Search Consulting
Services
Marketing Consulting Services
Process, Physical Distribution and Logistics Consulting
Services
Other Management Consulting Services
Environmental Consulting Services
Other Scientific and Technical Consulting Services
Research and Development in the Physical, Engineering,
and Life Sciences
Research and Development in the Social Sciences and
Humanities
Advertising Agencies
Public Relations Agencies
Media.Buying Agencies
Media Representatives
Display Advertising
Direct Mail Advertising
Adyertising Material Distribution Services
541890
541910
541922
541930
541990
550000
551111
551112
560000
561000
561110
561210
561210
561310
561320
561330
561410
561421
561422
561431
561439
561440
561450
561491
561492
561499
561510
561520
561599
561611
561612
561613
561621
561622
561710
561720
561730
561740
561790
561910
561920
561990
562000
562111
562112
562119
562211
562219
562910
562910
562920
562998
610000
611410
611420
611430
611512
Other Services Related to Advertising
Marketing Research and Public Opinion Polling
Commercial Photography
Translation and Interpretation Services
All Other Professional, Scientific and Technical Services
Management of Companies and Enterprises
Offices of Bank Holding Companies
Offices of Other Holding Companies
Administrative and Support Services
Administrative. and Support Services
Office Administrative Services
F aGilities Support Services
Base Maintenance
Employment Placement Agencies
Temporary He!lpServices
Employee. Leasing Services
Document Preparation Services
Telephone Answering Services
Telemarketing Bureaus
Private Mail Centers
Other f3usiness Service Centers (including CopyShops)
Collection Agencies
Credit Bureaus
Repossession Services
Court Reporting and Stenotype Services
All Other Business Support Services
Travel Agencies
Tour Operators
All Other Travel Arrangement and Reservation Services
Investigation Services.
Security Guards and Patrol Services*
Armored Car Services
Security Systems Services.(except Locksllliths)
Locksmiths
Exterminating and Pest Contr()l Services*
Janitorial Services
Landscaping Services*
Carpet andUpholstery Cleaning Services
Other Services to Buildings and Dwellings
Packaging and Labeling Services
ConventionandTrade Show Organizers
All Other Support Services
Waste Management and Remediation Services
Solid Waste Collection
Hazardous Waste Collection*
Other Waste Collection
Hazardous Waste Treatment and Disposal*
Other Nonhazardous Waste Treatment and Disposal
Remediation Services
Environmental Remediation Services.
Materials Recovery Facilities
All Other Miscellaneous Waste Management Services
Educational Services
Business and Secretarial Schools
Computer Training
Professional and Management Developme11t Training
Flight Training
*Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 5
256
California Unified Certification Program
List of NAICS Codes (partial)
611513
611519
611630
611691
611692
611699
611710
620000
621000
621110
621210
621310
621320
621330
621340
621391
621399
621410
621420
621492
621493
621498
621511
621512
621610
621910
621999
622000
623000
624000
624110
624120
624190
624210
624221
624229
624230
624310
624410
710000
711000
712000
713000
720000
721000
722000
722110
722211
722212
722213
722310
722320
722330
722410
Apprenticeship Training
Other Technical and Trade Schools
Language Schools
Exam Preparation and Tutoring
Automobile Driving Schools
All Other Miscellaneous Schools and Instruction
Educational Support Services
Health Care and Social Assistance*
Ambulatory Health Care Services
Offices of Physicians
Offices of Dentists
Offices of Chiropractors
Offices of Optometrists
Offices of Mental Health Practitioners (except Physicians)
Offices of Physical, Occupational and Speech Therapists
and Audiologists
Offices of Podiatrists
Offices of All Other Miscellaneous Health Practitioners
Family Planning Centers
Outpatient Mental Health and Substance Abuse Centers
Kidney Dialysis Centers
Freestanding Ambulatory Surgical and Emergency Centers
All Other Outpatient Care Centers
Medical Laboratories
Diagnostic Imaging Centers
Home Health Care Services
Ambulance Services
All Other Miscellaneous Ambulatory Health Care Services-
Hospitals
Nursing and Residential Care Facilities
Social Assistance
Child and Youth Services
Services for the Elderly and Persons with Disabilities
Other Individual and Family Services
Community Food Services
Temporary Shelters
Other Community Housing Services
Emergency and Other Relief Services
Vocational Rehabilitation Services
Child Day Care Services
Arts, Entertainment and Recreation
Performing Arts, Spectator Sports and Related Industries
Museums, Historical Sites and Similar Institutions
Amusement, Gambling and Recreation Industries
Accommodation and Food Services
Accommodation
Food Services and Drinking Places
Full-Service Restaurants
Limited-Service Restaurants
Cafeterias
Snack and Nonalcoholic Beverage Bars
Food Service Contractors
Caterers
Mobile Food Services
Drinking Places (Alcoholic Beverages)
810000
811000
811111
811112
811113
811118
811121
811122
811191
811192
811198
811211
811212
811213
811219
811310
811411
811412
811420
811430
812000
812320
812331
812332
812921
812922
812930
813000
Other Services
Repair and Maintenance
General Automotive Repair
Automotive Exhaust System Repair
Automotive Transmission Repair
Other Automotive Mechanical and Electrical Repair and
Maintenance
Automotive Body, Paint and Interior Repairand Maintenance
Automotive Glass Replacement Shops
Automotive Oil Change and Lubrication Shops
Car Washes
All Other Automotive Repair and Maintenance
Consumer Electronics Repair and Maintenance
Computer and Office Machine Repair and Maintenance
Communication Equipment Repair and Maintenanc;e
Other Electronic and Precision Equipment Repair and
Maintenance
Commercial and Industrial Machinery and Equipment
(except Automoli\/fi_andEiectronic)Repair and Maintenan(;El
HoJl1e_a~d (3ard_Eln E:quipment ~pair and. Maintenance
Applianc:El. Rep(lir a11c1 ~(lilllena nee
Reupholstery ancl Furniture Repair
Footwear and Leather Goods Repair
Pfirsonal.<Jnd Laundry Services
Drycleaning and Laundry Services (except Coin-Operated)
Linen Supply
Industrial Launderers
Photo Finishing Laboratories (except One-Hour)
One-Hour Photo Finishing
Parking Lots and Garages ...
Religious, Grantmaking, Civic, Professional and Similar
Organizations
• Note: evidence of State or other licensing is required in order to be classified in this industry, if applicable. Page 6
257
I
CALIFORNIA UNIFIED
CERTIFICATION PROGRAM (CUCP)
Roster of Certifying Agencies
Note: If you received this information on hard copy, the California Unified Certification Program Application
Package is available on the website at http://www.dot.ca.gov/hq/bep/business forms.htm.
If the firm has its principal place of business in another state and is currently certified in that state, please
contact the California Department of Transportation in the Northern Cluster.
Southern Cluster I
Area Counties
Riverside, Imperial
Riverside Imperial & San Diego
San Diego (RIS)
Los Angeles Kern
Los Angeles
Area Orange
San Bernardino
San Luis Obispo
Santa Barbara
Ventura
Note: Lzst of agenczes subject to change
Certifying Agencies
SUBMIT APPLICATION PACKAGE TO:
y CITY OF LOS ANGELES*
y LOS ANGELES COUNTY METROPOLITAN
TRANSPORTATION AUTHORITY
OR
y CALIFORNIA DEPARTMENT OF TRANSPORTATION
SEE CONTACT INFORMATION BELOW
CITY OF LOS ANGELES*
Bureau of Contract Admin.
Centralized Certification Section
1149 S. Broadway, Ste 300
Los Angeles, CA 90015
Phone: (213) 847-2684
Fax: (213) 847-2777
httJ!://bca.Iacity.org
*Only firms actively pursuing
contracting opportunities with
City of Los Angeles
or
firms located within
City of Los Angeles may apply
Roster
Page 2 of2
258
LOS ANGELES COUNTY
METROPOLITAN
TRANSPORTATION
AUTHORITY (METRO)
Diversity and Economic
Opportunity Department
One Gateway Plaza, MS 99-8-4
Los Angeles, CA 90012
Phone: (213) 922-2600
Fax: (213) 922-7660
www.metro.net
Updated 6/2011
Roster of Cert~fyinf( Af(encies
I Northern Cluster I
Area Counties Certifying Agencies
Bay Areal Alameda
Central Valley Amador
Calaveras
Contra Costa
Fresno
Kings
Madera
Marin
Mariposa
Merced
Monterey
Napa
San Benito
San Francisco
San Joaquin
San Mateo
Santa Clara
Santa Cruz
Solano
Sonoma
Stanislaus
Tulare
Tuolumne
Northern Alpine Nevada
California Butte Placer
Colusa Plumas
Del Norte Sacramento
ElDorado Shasta
Glenn Sierra
Humboldt Siskiyou
In yo Sutter
Lake Tehama
Lassen Trinity
Mendocino Yolo
Modoc Yuba
Mono
* Lzst of agenczes subject to change
S.F. BAY AREA RAPID
TRANSIT DISTRICT (BART)
Office of Civil Rights
300 Lakeside Drive
18'h Floor
Oakland, CA 94612
Phone: (510) 464-6100
Fax: (510) 464-7587
www.bart.gov
CITY OF FRESNO
DBE Program
2101 G Street, Building A
Fresno, CA 93706
Phone: (559) 621-1132
Fax: (559) 488-1069
www .fresno.gov
SANTA CLARA VALLEY
TRANSPORTATION
AUTHORITY (VTA)
Office of Small &
Disadvantaged Businesses
3331 North First Street, Bldg. A
San Jose, CA 95134-1906
Phone: (408) 321-5962
Fax: (408) 955-9729
www.vta.org
CENTRAL CONTRA COSTA
TRANSIT AUTHORITY
(CCCTA)
Office of Civil Rights
2477 Arnold Industrial Way
Concord, CA 94520-5327
Phone: (925) 676-1976
Fax: (925) 686-2630
www.cccta.org
CALIFORNIA
DEPARTMENT OF
TRANSPORTATION
(CAL TRANS)
Office of Business and Economic
Opportunity MS 79
1823 -14'h Street
Sacramento, CA 95814
Phone: (916) 324-1700 or
(866) 810-6346
Fax: (916) 324-1862
www.dot.ca.gov
Roster
Page 2 of2
259
L------------------------------------------------------------------
SAN FRANCISCO
MUNICIPAL
TRANSPORTATION
AGENCY (SFMTA)
Contract Compliance Office
I S. Van Ness Avenue, 6th Floor
San Francisco, CA 94103
Phone: (415) 701-4436
Fax: (415) 701-4347
www.sfmuni.com
SAN MATEO COUNTY
TRANSIT DISTRICT (
SAM TRANS)/
PENINSULA CORRIDOR
JOINT POWERS BOARD
(JPB)
DBE Office
1250 San Carlos Avenue
San Carlos, CA 94070
Phone: (650) 508-7939
Fax: (650) 508-7738
www.samtrans.com
YOLO COUNTY
TRANSPORTATION
DISTRICT
(YOLOBUS)
DBE Programs
350 Industrial Way
Woodland, CA 95776
Phone: (530) 402-2817
Fax: (530) 661-1732
www.rolobus.com
Updated 6/2011
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
Exhibit E
Uniform Report of DBE Awards or Commitments and Payments
260
Number Hispanic American Total to D8Es (dollars) Native American 261 ('lumber) Subcont. Asian American (dollars) Asian· Pacific American Ht Si{JnaJure of Au!hori:z;ed Conscious {number) Non· Minority Women Neutral [dollars) Neutral I number) this reporting period only) =~ dollars to DBEs Year-End TOTALS Percentage of Total DBE Participation I I
lNSTRtJCTIOi"S FOR COMPLETING THE UNIFORM REPORT 01<' Dlll<: A WAROS OR COMMITMENTS ANI)
PAYMENTS
l. Indicate the IXIT Operating Administration (OA) tbat pnwides
vour 1·\,deml !1nancial assistance. If assistance comes from more
than on~ OA, use sep3ratc reporting forms for cad1 OA. lf you are an
FTA recipient. indicate y<.>ur Vcnd<.>r Number in the space providcd.
2. If you arc an FAA recipient, indicate the relevant All' Numbers
covered by this report. lf more than six, attach a separate sheet
3. Specify the Federal tlscal year (i.e., October I September 30) in
which the covered reporting pedt1d falls,
4, State tbc date of submission of this report.
5. Check the appropriate box th;tt indicates the reporting period
that the data provided in this report covers. If this repor1 is due
June l. dati should cover October I .. March 3 L lf this rep<>rt is
due December L data sl10uld cover April ! ~· Scptembt'T 30. lf this
report is due to the FAA, data should cover the entite year.
6. Name of the recipient.
7. State your annual DBE goal(s) established for the Federal fiscal
year of this report to be submitted to and approved by the relevant
OA Your Ovcmll Goal is to be reported as well as the breakdown
for specific Race Conscious and Race Neutral Goals (bnth of which
include gendcr-cnnscious/neutral goals). The Race Conscious Goa I
portion sh<>u!d be based on programs that focus on and provide
bcnc!1ts only for DBEs. The usc of contract goals is a primary
e':amplc of a Race Conscious mel\sure. The Race Neutral Goal
portion should include programs that. while benefiting DB~~. arc
not solely focused on DBE fim1s. For example, a snwlf business
outreach program. technical assistance, and prompt p:lyment
clauses can a~sist a wide variety of bu~incsscs in addition to
helping DBE !lrms.
S-9. Tbc amounts in items Rt,A)-9(1) should include ali types of
prime contracts awarded and all types of subcontracts awarded or
eommiuctl. inclnding: professional or consnltnnt servic~s.
construction, purcha~e of materials or supplies, lease or purchase of
equipment and any other types of services. All dollar amounts are
to re!1ect only the Federal share of ~uch contracts, and shmtld be
rounded to the nearest dollar.
8(A). Provide the tQ!al dollar <1monnt for all prime contracts
assisted with [lOT funds that were awarded during this reporting
period.
R(B). Provide the toral number <:>f all prime cotlfracts asslSI<~d with
DOT funds that were awarded during this reporting period,.
S{C). From the total dollar amount awarded in ilcm &(At provi<.lc
the dollar amoun! awarded tv certified DBEs dming this reporting
period.
S(lJ). From the t01al number of prime contracts awarded in iwm
8(8), specify the number awarded to certified DBEs during this
reporting period.
8(E), From the total dollars awarded in 8(C). provide the QQll.ru:
amount awarttcd to DBEs though the ~tse of Race Con~eious
methods. See the definition of Race Conscious Goal in item 7 and
tllc explanation of project types in item 8 to include in your
calculation.
8(F} From lhc total number of prime contracts award<:d in 8(D),
specify the !.!.l!lll!l.!:J awarded to DBEs through Race Conscious
methods.
8(Gl From the total dollar amount award~'d in item 8(C), provide
the gol!ar amount awarded to certified DBEs through lhe US>~ of
Race Neutral methods. See the definition of Race Neutral Goal in
item 7 and the explanation of project types in item 8 to include.
8(H)_ From the total number of prime contracts awarded in 8(0),
sp~~cify the ~awarded to DBEs through Race Neutral methods.
S(l). Of all prime contracts awarded this reponing period, calculare
the percentage going to DBEs. Divide the dollar amount in item
1:\(CI by the dollar amount in item 8(A) to derive this perc.cutagc.
Round percemage to the nearest tenth,
9(A)·9{l). Items 9(A)-9(I) are dcrivt.-d in the same way as items 8(A)·
M(l), except that these calculations should be based on subcontracts
rather than prime contracts. Unlike prime contracts, which may
only be awarded, subcontracts may be either awarded or committed.
IO(A)-ll(J). For all DUEs awarded prime eontracts and awarded or
committed subcontracl'> as indkated in 8(C)-(D) and 9(C)-(D), break
the data dOVt'II further by total dollar amount as well as the number
of all contracts going to e?ch ethnic group as well as to non-
minority women. The "Other'" category includes those DBEs who
are not members of the presumptively disadvantaged groups
already listed, but who are determined eligible for the DBE program
on an individual basis (e.g. a Caucasian male with a disability). The
TOTALS value in lO{H) should equal the sum of 8(G) plus 9(C), and
similarly, the TOTALS value in ll(H) should equal the sum of 8(D)
plus 9(D). Column l should only be filled out if this report is due
on December!, as indicated in item 5. The values for this column
an:-derived by adding the. values reported in column H in your first
report with the values reported in this sccoml report
l2(A). Provide the total number of prime colltmcts completed
during this reporting period that had Race Consconus goals. Race
C<:>nsciou~ J;Qntn•cts are those with <.:onttaet goa!:; or another Race
Conscious measure.
l2{H). Provide the total dollar value of ptime contracts completed
this reporting period that had Race Conscious goats.
12(C). Provide the total dollar amount of DBE participation on all
Race Conscious prime contracts completed this reporting period
that was necessary to meet the eontmct goals on them This applies
<>nly to Race Conscious prime contracts.
12(0). Provide the acmal wtal DBE participation in dollars M the
race conscious prime wntrnct$ completed this reporting pctiod.
12{L'). Of all the prime comraets completed this reportiltg period,
calculate the percentage of DBE participation. Divide the actual
total dollar amount in 12(0) by the total dollar value provided in
l2{B) to derive this percentage. Round to the nearest tenth.
l3(A )-13(E), Items l3(A)-B(E) are derived m the same manner as
items 12(A)-12(E), except these figures should be based on Race
Ncntrnl prime contacts (i.e, those with no race conscious measures).
l4(A)-!4{E). Calculate the tntab for each column by adding the
race conscious and neutral figures provided in each row above.
15. Name of the Authorized Representative preparing this form.
16. Signature of the Authorized Representative.
17. Phone number vf the Alllhorizcd R!!prescntativc.
18. Fax number of the Authorized Representative .
.. Submit your completed rej><>rt «> yuur Regh>mll or Oh·islon Office.
262
Riverside County Transportation Commission Disadvantaged Business Enterprise (DBE) Program
Exhibit F
Monthly Subcontractors Paid Report
263
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (MonthNear) Report Number Date Prepared ) __ . l.~J!!:!!m );!~~~/), ,', m• "') c.. ,. H ·-.l~ ,. )) " 1) Project Name ; 2) Project Location ; 3) Contract Number 4) Original Contract 5) Contract Award Date Award Amount 6) Current Contract . 7) RCTC Payment to ' 8) Total Amount Paid to Value Prime This Month Prime to Date 9) Date of Last Progress 1 0) Percent of Project . 11) DBE Goal I Payment Received from Complete I Percentage RCTC (committed) . -" n 12) Prime Contractor 13) Contact Person 14) Street Address 15) City/State/Zip 16) Area Code/Phone No. I 17) Email Address ' --Dollars Dollar Original Dollar+/-18) SUBCONTRACTOR/SUPPLIER Paid This Amount Schedule Activity ID Type of Work Dollar resulting from Paid to (Construction only) Performed Amount Change Order Month Date Committed Activity Subcontractor/Supplier #1 I l l ! l ! ! Name Address Area Code/Phone Contact Person Subcontractor/Supplier #2 ! ! ! ! ! ! Name Address Area Code/Phone Contact Person Subcontractor/Supplier #3 ! ! ! ! 1 1 1 Name Address Area Code/Phone Contact Person 264
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (MonthNear) Report Number Date Prepared Subcontractor/Supplier #4 t t 1 ! ! ! I Name ! Address ' Area Code/Phone Contact Person Subcontractor/Supplier #5 t ! ! ! ! ! Name Address Area Code/Phone Contact Person Subcontractor/Supplier #6 l l l l l l l Name Address Area Code/Phone Contact Person INSTRUCTIONS The Prime shall make prompt payment of all monies due and owed to DBE and non-DBE firms within 10 business days upon receipt of payment from Riverside County Transportation Commission (RCTC) as per Contract Agreement. Payment of retention shall be made to all DBE and non-DBE subcontractors within 10 days after satisfactory completion of the subcontracted work. This form is due to RCTC by the 15th of each month and should reflect all payments made to subs through the last day of the previous month. The Prime must report monthly, even if the sub(s) did not perform any work for the previous month. Please forward signed original documents by email and/or fax. ----Completed By: ------------------------------Name Signature Date 265
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (Month/Year) Report Number Date Prepared Pavment Hist DBE Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier Sub/Supplier DBE Sub/Supplier Subcontractors/Suppliers #1 #2 #3 #4 #5 #6 Total Invoice Invoice Date Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Numbers and Date Paid i I GRAND TOTAL (Paid to Date) 266
Summary of Disadvantaged Business Enterprise (DBE) -Subcontractors Paid Monthly Report Reporting Period (Month/Year) Report Number Date Prepared Instructions -Summary of Monthly DBE Payments Information SUCCESSFUL BIDDER: This form requires specific information regarding the disadvantaged business enterprise subcontractors paid on this construction contract. The form must be completed for all DBEs. The form requires that the Reporting Period (month/year) be included. A Report Number should also be completed. This field should include a sequential number with the first form having number "1". The date prepared should also be included. IMPORTANT: Identify all DBE firms that were paid during the reporting period for the project, regardless of tier. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid. There is a column for the "Dollars Paid This Month". Enter the Total amount paid for each DBE firm for the reporting period. Also include the total amount paid to date, which shall include the amount paid for the current reporting period. Include the Schedule Activity ID for construction contracts. Include a brief description for the type of work performed. The original dollar amount committed to the DBE firm should be included in the appropriate Column and any increase or decrease in the subcontract amount resulting from a change order shall be included in the "Dollar +/-resulting from Change Order Activity" column. This form must be signed and dated by the prime contractor's representative that is responsible for reporting DBE compliance matters. The form must be submitted no later than the 151h day of each month. 267
RESOLUTION NO. 12-004
RESOLUTION OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
ADOPTING ITS
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
ATTACHMENT 2
AND OVERALL DISADVANTAGED BUSINESS ENTERPRISE PROJECT GOAL
(49 CFR PART 26) AS IT APPLIES TO FUNDING RECEIVED
DIRECTLY FROM THE FEDERAL TRANSIT ADMINISTRATION
WHEREAS, the Riverside County Transportation Commission
(Commission) adopted a Disadvantaged Business Enterprise (DBE) program in
1999;
WHEREAS, the DBE Program adopted in 1999 was for Federal Highway
Administration (FHWA) funds received by the Commission as a sub-recipient
through the California Department of Transportation (Caltrans);
WHEREAS, the Ninth Circuit Court of Appeals, in a decision regarding
the Washington State Department of Transportation, determined that sufficient
evidence must exist to support the use of race-conscious measures on federal-aid
contracts;
WHEREAS, the Commission is still required, pursuant to 49 CFR
Part 26, to adopt a DBE goal and implement its DBE program as applies to federal
funding received by the Commission directly from the Federal Transit
Administration (FTA);
WHEREAS, the methodology to determine the agency's DBE goal shall
be in accordance with 49 CFR Part 26;
WHEREAS, the Commission is a direct recipient of FTA funds;
WHEREAS, the Commission does not currently have sufficient
evidence of discrimination or its effects which would support the adoption or
implementation of a race-conscious DBE goal;
268
WHEREAS, in light of the Ninth Circuit ruling and the U.S. DOT directive,
and in accordance with 49 CFR Part 26, the Commission has utilized all race
neutral methodology in calculating the Overall DBE goal for the Perris Valley Line
Project.
NOW, THEREFORE, the Riverside County Transportation Commission
hereby resolves as follows:
SECTION 1. The Riverside County Transportation Commission submits its
Overall DBE Project goal for the Perris Valley Line Project.
SECTION 2. The Overall DBE goal for the Perris Valley Line Project shall be 3.8%.
SECTION 3. The Commission shall implement a race-neutral DBE program,
and shall take affirmative steps to utilize race-neutral means of meeting its overall
goal.
ADOPTED this 2nd day of February, 2012.
John J. Benoit, Chair
Riverside County Transportation Commission
ATTEST:
Jennifer Harmon, Clerk of the Board
Riverside County Transportation Commission
269
AGENDA ITEM 7E
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
D ATE: February 2, 2012
TO Riverside County Transportation Commission
FR OM: Shirley Medina, Programming and Planning Manager
TH ROUGH: Anne Mayer, Executive Director
su BJECT: Riverside County 2013 Federal Transportation Improvement
Program Financial Resolution
s TAFF RECOMMENDATION:
Th is item is for the Commission to:
1 )
2)
Adopt Resolution No. 12-006, ~~Resolution Certifying Riverside County has
Resources to Fund Projects in Federal Fiscal Years 2012/13 Through 201 7/18
Transportation Improvement Program and Affirming Commitment to Implement All
Projects in the Program"; and
Forward to the Southern California Association of Governments (SCAG) for
inclusion in the 2013 Federal Transportation Improvement Program (FTIP).
BA CKGROUND INFORMATION:
Th e Safe Accountable Flexible Efficient Transportation Equity Act: A Legacy for Users
AFETEA-LU) requires that SCAG adopt a FTIP for the metropolitan planning area and
at this document be included in the Federal Statewide Transportation Improvement
ogram (FSTIP) before receiving federal funds for transportation projects. The FSTIP
ust be updated by the metropolitan planning organization every two years. The FSTIP
plements projects identified in the first six years (FFY 2012/13 -2017 /18) of the
(S
th
Pr
m
im
lo ng-range 2012 Regional Transportation Plan.
Fe
air
deral regulations require SCAG to determine that the FTIP: 1) conforms to the adopted
plans in the region; 2) is financially constrained; and 3) affirms project commitments.
Th e attached resolution must be included in the 2013 FTIP update to certify that the
verside County portion of the FTIP is financially constrained and to affirm the
mmitment to implement the projects. Financial constraint and project commitment is
fined as follows:
Ri
co
de
1 .
Ag
Financial Constraint: The Commission must certify that the Riverside County
Transportation Improvement Program is financially constrained (projects are not
programmed in excess of fund levels) and that the funding may be reasonably
expected to carry out the program.
enda Item 7E
270
2. Project Commitment: The Commission must affirm that its highest priorities for
funding are the projects in the 2013 FTIP. The affirmation is specifically targeted
to enforceable Transportation Control Measures (TCM). TCM are
strategies/projects employed to reduce emissions from on-road mobile sources.
Over the past three months, staff reviewed projects submitted by Caltrans, local
agencies, and transit operators in Riverside County. This includes all regionally
significant projects, projects included in the Short Range Transit Plans, Measure A
Highway projects, as well as projects funded with federal, State Transportation
Improvement Program, Proposition 1 B, Safe Routes to Schools, Highway Bridge
Program, and Transportation Uniform Mitigation Fee funds. Projects that completed
construction were identified and removed from the FTIP, while other projects were
added, deleted, or modified at the request of project sponsors. All project programming
was reviewed to ensure that each project has clearly identified funding sources and
schedule and was accomplished with the concurrence of each project sponsor. The end
result is that Riverside County is submitting a list of 348 projects that are consistent
with the financial constraint and TCM implementation requirements of SAFETEA-LU.
The 2013 FTIP Update is scheduled for approval by the SCAG Regional Council by
October 2012. SCAG subsequently will pursue the necessary state and federal
approvals for the 2013 FTIP. These approvals are anticipated to occur by early
December 2012.
Attachment: Resolution No. 12-006
Agenda Item 7E
271
RESOLUTION NO. 12-006
RESOLUTION OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION
CERTIFYING THAT RIVERSIDE COUNTY HAS RESOURCES TO FUND PROJECTS IN
FEDERAL FISCAL YEARS 2012/13 THROUGH 2017/18 TRANSPORTATION
IMPROVEMENT PROGRAM AND AFFIRMING COMMITMENT TO IMPLEMENT ALL
PROJECTS IN THE PROGRAM
WHEREAS, Riverside County is located within the metropolitan planning boundaries
of the Southern California Association of Governments (SCAG); and
WHEREAS, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users (SAFETEA-LU) requires SCAG to adopt a regional transportation
improvement program for the metropolitan area; and
WHEREAS, the SAFETEA-LU also requires that the regional transportation
improvement program include a financial plan that demonstrates how the
transportation improvement program can be implemented; and
WHEREAS, the Riverside County Transportation Commission (RCTC) is the agency
responsible for short-range capital and service planning and programming for the
Riverside County area within SCAG; and
WHEREAS, as the responsible agency for short-range transportation planning, the
RCTC is responsible for developing the Riverside County Transportation
Improvement Program (TIP), including all projects utilizing federal and state
highway and transit funds; and
WHEREAS, the RCTC must determine, on an annual basis, the total amount of
funds that could be available for transportation projects within its boundaries; and
WHEREAS, the RCTC has adopted the FFY 2012/13 through FFY 2017/18
Riverside County TIP with funding for FFY 2012/13 and FFY 2013/14 available and
committed, and reasonably committed for FFY 2014/15 through FFY 2017/2018.
NOW, THEREFORE, BE IT RESOLVED by the RCTC that it affirms its continuing
commitment to the projects in the FFY 2012/13 through FFY 2017/18 Riverside
County TIP; and
BE IT FURTHER RESOLVED, that the FFY 2012/13 through FFY 2017/18 Riverside
County TIP Financial Plan identifies the resources that are available and committed
in the first two years and reasonably available to carry out the program in the last
four years, and certifies that:
272
1 Projects in the FFY 201 2/13 through FFY 201 7/1 8 Riverside County
TIP are consistent with the proposed 2012 State Transportation
Improvement Program scheduled to be approved by the California
Transportation Commission in March 2012; and
2 All of the projects in the Riverside County TIP have complete funding
identified in the Program.
3 Riverside County has the funding capacity in its county Surface
Transportation Program (STP} and Congestion Mitigation and Air
Quality Program (CMAQ} allocation to fund all of the projects in the
FFY 2012/13 through FFY 2017/18 Riverside County TIP, and
4 The local match for projects funded with federal STP and CMAQ
program funds is identified in the TIP,
5 All the Federal Transit Administration funded projects are programmed
within SAFETEA-LU Guaranteed Funding Levels.
APPROVED AND ADOPTED this 2nd day of February, 2012.
John J. Benoit, Chair
Riverside County Transportation Commission
ATTEST:
Jennifer Harmon, Clerk of the Board
Riverside County Transportation Commission
273
AGENDA ITEM 7F
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE:
TO:
FROM:
THROUGH:
SUBJECT:
February 2, 2012
----------------------------------------~
Riverside County Transportation Commission
Henry Nickel, Staff Analyst
Sheldon Peterson, Rail Manager
Anne Mayer, Executive Director
Memorandum of Understanding with the SCRRA for Security Guard
Services at the Downtown Riverside Station and Layover Facility
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Approve Memorandum of Understanding (MOU) No. 12-25-043-00 with the
Southern California Regional Rail Authority (SCRRA) for security guard
services at the Downtown Riverside Station and layover facility; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the MOU
on behalf of the Commission.
BACKGROUND INFORMATION:
The Commission provides security guard services for its five Metrolink stations -
Downtown Riverside, La Sierra, North Main Corona, Pedley, and West Corona.
MOU No. 04-25-079-00 was established between the Commission and SCRRA in
which SCRRA agreed to reimburse the Commission for providing security guard
services at the Downtown Riverside Station and layover facility. That MOU has
now expired and services have been extended under a short term purchase order.
MOU No. 12-25-043-00 is intended to replace and supersede all prior MOUs
related to reimbursement of costs for security guard services therein.
Costs to be reimbursed include pepper-spray equipped security guards at the
Downtown Riverside Station and layover facility 8 hours per day Monday through
Friday and 24 hours per day on weekends. SCRRA will pay a pro rata share for the
security supervisor not to exceed $4 per hour. According to the fee schedule in
the MOU, the reimbursement for the base period is $394,000, and reimbursements
for the option periods total $356,000. The total not to exceed reimbursements for
the base period plus option periods is $750,000.
Agenda Item 7F
274
DISCUSSION:
To continue security guard services related to equipment layover needs at the
Downtown Riverside Station, SCRRA requires a new MOU with the Commission
because services have been extended under a short term purchase order and a prior
MOU for the same services has expired.
MOU No. 12-25-043-00 was approved by the SCRRA on January 13, 2012. The
MOU provides for continued SCRRA reimbursement for security services rendered
under the Commission's existing contract with Universal Protection Service GP,
Inc. for a base period of performance from January 2012 to May 2014 with two
one-year options. Either the Commission or SCRRA may terminate the agreement
with 30 days written notice.
Funding for security guard services reimbursements to the Commission is available
in the SCRRA's FY2011-12 operating budget and will be requested in its future
annual budgets.
Staff recommends the Commission approve the MOU and authorize the Chair,
pursuant to legal counsel review, to execute the MOU on behalf of the
Commission.
Financial Information
In Fiscal Year Budget: I Yes I I FY2011/12 Amount: I $45,600
N/A Year: FY 2012/13 + $704,400
Source of Funds: I SCRRA Reimbursement (local) Budget Adjustment: I No
N/A
GL!Project Accounting No.: 254001-416-41608-0000 103-25-41203
Fiscal Procedures Approved: ~~ I Date: I 01/19/12
Attachment: Draft MOU No. 12-25-043-00
Agenda Item 7F
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Memorandum of Understanding No. MU125-12
MEMORANDUM OF UNDERSTANDING (MU125-12)
BETWEEN THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND
THE SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY
FOR
SECURITY GUARD SERVICES FOR LAYOVER FACILITY
THIS MEMORANDUM OF UNDERSTANDING ("MOU") is made and entered into this
_____ , 2011 ("Effective Date") by and between the RIVERSIDE COUNTY
TRANSPORTATION COMMISSION ("RCTC"), and the Southern California Regional Rail Authority
("SCRRA"), a joint powers authority.
RECITALS:
WHEREAS, the parties desire to establish a Memorandum of Understanding where SCRRA
agrees to provide payment for security guard services related to equipment layover needs at the
Riverside Downtown Metrolink Station and layover facility, the ("Station").
NOW THEREFORE, the RCTC and SCRRA agree as follows:
ARTICLE 1. COMPLETE AGREEMENT
This MOU, including any exhibits and documents incorporated herein and made applicable by
reference, constitutes the complete and exclusive statement of the terms and conditions of the MOU
between SCRRA and RCTC and supersedes all prior representations, understandings, and
communications between the parties. The above-referenced Recitals are true and correct and are
incorporated by reference herein.
ARTICLE 2. TERM
This MOU shall commence on January 1, 2012 and expire on May 1, 2014 except that it
shall renew automatically from year to year for two (2) additional one (1) year terms unless one of
the parties provides at least thirty (30) days written notice of non-renewal in advance of each
additional May 1 expiration date. Notwithstanding the foregoing, this MOU may be terminated by
either party upon thirty (30) days written notice.
17336.00600\7023845.2
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Memorandum of Understanding No. MU125-12
1
2 ARTICLE 3. IT IS MUTUALLY UNDERSTOOD AND AGREED:
3 All parties agree to the following responsibilities regarding the MOU:
4 A SCRRA will pay to RCTC the hourly rate for the applicable year, as shown in Exhibit
5 "B", attached hereto and incorporated by reference, for all armed security guard services. In
6 addition, SCRRA will pay RCTC a prorated share of the security supervisor costs, not-to-exceed
7 $4.00 per hour. Payments will be made to RCTC within thirty (30) days of receipt and approval of
8 RCTC's invoice and supporting documentation by SCRRA. The amount paid by SCRRA to RCTC
9 will compensate RCTC for the services contained Exhibit "A", attached hereto and incorporated by
10 reference, which includes yearly cost of living adjustments.
11 B. RCTC shall submit quarterly invoices to SCRRA for reimbursement for services.
12 Invoices shall specify the period covered, and the agreed reimbursement rate specified in attached
13 Exhibits. Invoices shall be submitted to:
14 Accounts Payable
15 Southern California Regional Rail SCRRA
16 One Gateway Plaza, 121h Floor
17 Los Angeles, CA 90012
18 C. Complete and accurate invoices submitted on a quarterly basis shall be paid within thirty
19 (30) days of receipt of the invoice.
20 D. (a) RCTC agrees to indemnify and hold SCRRA, harmless from and against all
21 losses, damages, actions and expenses (including attorneys' fees) on account of bodily injury to or
22 death of any person or damage to or loss of use of property incident to or arising from any negligence
23 or willful misconduct of RCTC under the terms of this MOU.
24 {b) SCRRA agrees to indemnify and hold RCTC harmless from and against all
25 losses, damages, actions and expenses (including attorney's fees) on account of bodily injury to or
26 death of any person or damage to or loss of use of property incident to or arising from any negligence
17336.00600\7023845.2
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Memorandum of Understanding No. MU125-12
1 or willful misconduct of SCRRA under the terms of this MOU.
2 E. Notices hereunder shall be sent to the parties as follows:
3 To SCRRA: To RCTC:
4
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6
Southern California Regional Rail Authority
One Gateway Plaza, 121h Floor
Los Angeles, CA 90012
Riverside County Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
7 Attention: Contracts Administration Attention: Contract Administration
8 F. This MOU constitutes the entire agreement between the parties with respect to the
9 subject matter of this MOU, including, without limitation, attached Exhibits, and may only be amended
1 0 by mutual written consent of the parties.
11 G. The persons executing this MOU on behalf of the parties hereto warrant that they are
12 duly authorized to execute this MOU on behalf of said parties and that, by so executing this MOU, the
13 parties hereto are formally bound to the provisions of this MOU.
14 H. The headings of all sections of this MOU are inserted solely for the convenience of
15 reference and are not part of and not intended to govern, limit, or aid in the construction or interpretation
16 of any terms or provision thereof.
17 I. If any term, provision, covenant, or condition of this MOU is held to be invalid, void or
18 otherwise unenforceable, to any extent, by any court of competent jurisdiction, the remainder to this
19 MOU shall not be affected thereby, and each term, provision, covenant or condition of this MOU shall
20 be valid and enforceable to the fullest extent permitted by law.
21 J. This MOU may be executed and delivered in any number of counterparts, each of
22 which, when executed and delivered shall be deemed an original and all of which together shall
23 constitute the same agreement. Facsimile signatures will be permitted.
24 K. Neither this MOU, nor any of a party's rights, obligations, duties, or interests hereunder
25 may be assigned in whole or in part by either party without the prior written consent of the other party.
26 Any such attempt of assignment shall be deemed void and of no force and effect. Consent to one
17336.00600\7023845.2
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Memorandum of Understanding No. MU125-12
1 assignment shall not be deemed consent to any subsequent assignment, nor the waiver of any right to
2 consent to such subsequent assignment.
3 L. This MOU is by and between SCRRA and RCTC and is not intended and shall not be
4 construed so as to create the relationship of agent, servant, employee, partnership, joint venture or
5 association, as among SCRRA and RCTC.
6 M. Each party shall warrant to the other that, in the performance of this MOU, it shall
7 comply with all applicable federal, state and local laws, statutes and ordinances and lawful orders, rules
8 and regulations promulgated thereunder.
9 N. This MOU shall be binding on the successors and assigns of the parties hereto, and
1 0 shall not be assigned by any of the parties, without the written consent of the other parties.
11 0. Either party shall be excused from performing its obligations under this MOU during the
12 time and to the extent that it is prevented from performing by an unforeseeable cause beyond its
13 control, including but not limited to: any incidence of fire, flood, acts of God, commandeering of material,
14 products, plants or facilities by the federal, state or local government, national fuel shortage, or a
15 material act or omission by the other party, when satisfactory evidence of such cause is presented to
16 the other party, and provided further that such nonperformance is unforeseeable, beyond the control
17 and is not due to the fault or negligence of the party not performing.
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17336.00600\7023845.2
[Signatures on following page]
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Memorandum of Understanding No. MU125-12
SIGNATURE PAGE TO
MEMORANDUM OF UNDERSTANDING NO. MU125-12
IN WITNESS WHEREOF, the parties hereto have caused this MOU No. MU125-12
to be executed on the date first above written.
SOUTHERN CALIFORNIA
RAIL AUTHORITY
REGIONAL RIVERSIDE COUNTY TRANSPORTATION
COMMISSION
By:-----------
TITLE:
APPROVED AS TO FORM:
By:-----------
Don 0. Del Rio
General Counsel
17336.00600\7023845.2
By: _______________________ __
John J. Benoit, Chair
APPROVED AS TO FORM
By: ______________________ __
Best Best & Krieger LLP
General Counsel to the Riverside County
Transportation Commission
Page 5 of?
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Memorandum of Understanding No. MU125-12
EXHIBIT A
Schedule of Services
Riverside -Downtown Station
4066 Vine Street
Riverside, CA 92506
Metrolink Equipment Layover Guards Bi-weekly Schedule
Downtown Station Guard, 8 hours per day Monday-Friday
Downtown Station Guard weekends, 24 hours per day
Hours per week: 88
Total hours: 176
Mission Train Guard, 8 hours per day Monday-Friday
Mission Train Guard weekends, 24 hours per day
Hours per week: 88
Total Hours: 176
Contract Supervisor:
Hours per week: 40
Total Hours: 80
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Memorandum of Understanding No. MU125-12
EXHIBIT 8
Compensation Schedule
The compensation schedule shown below includes cost of living increases. Compensation for
holidays for the year 2012 for the Downtown Armed Guard, Layover Armed Guard, and the
Contract Supervisor is $228.00 per year for each position. This amount is subject to the cost of
living increase, in an amount commensurate with the cost of living increase for the hourly rates as
shown in the schedule below.
Station 2012 2013 2014 2015
Tower Unarmed 14.59 14.95 15.32 15.70
Downtown Unarmed 14.59 14.95 15.32 15.70
La Sierra Unarmed 14.59 14.95 15.32 15.70
Pedley Unarmed 14.59 14.95 15.32 15.70
West Corona Unarmed 14.59 14.95 15.32 15.70
North Main Unarmed 14.59 14.95 15.32 15.70
CCTV Operator 15.94 16.33 16.74 17.14
Downtown Armed 17.28 17.71 18.16 18.61
Layover Armed 17.28 17.71 18.16 18.61
Asst. Supervisor 19.98 20.48 21.00 21.53
Contract Supervisor 24.68 25.30 25.93 26.58
Cost of Living Increases
2013 %
2014 %
2015 %
2016 %
Overall 9.35% increase for guards and 9.43% increase for Supervisor over five years.
17336.00600\7023845.2
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2016
16.09
16.09
16.09
16.09
16.09
16.09
17.58
19.08
19.08
22.07
27.24
AGENDA ITEM 7G
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
-------+-
TO: Riverside County Transportation Commission
-------+-
FROM: Robert J. Yates, Multimodal Services Director ------+-
THROUGH: Anne Mayer, Executive Director
SUBJECT: Rideshare Software Procurement
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Approve Agreement No. 12-41-047-00 with Base Technologies, LLC
(BaseTech) for the provision and hosting of new ridematching software in an
amount not to exceed $216,000; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission.
BACKGROUND INFORMATION:
The Commuter Assistance Program
Rideshare and other commuter transportation demand management (TDM)
programs are a vital tool for Riverside County and the entire Inland Empire region,
as they significantly decrease the number of vehicles traveling on congested
corridors and save thousands of pounds of pollutants from being emitted into the
air each year. The Commission has valued rideshare as a viable element to help
extract more efficient operation out of the county's transportation system by
ncluding it in the 1989 Measure A. That vision has been acknowledged and i
further recognized as successful with the passage and implementation of the 2009
Measure A, which again includes a TDM strategy as a funded element of the plan
through 2039.
I n FY 2010/11, the Commission's Commuter Assistance Program (CAP) had
18,376 participants, saved 3.8 million one-way trips from being taken, and
prevented over 1 . 7 million pounds of emissions from polluting the air in Riverside
and San Bernardino Counties.
Agenda Item 7G
283
Ridematching Services
The Commission's CAP was established in 1991 and is intended to implement the
commuter services called out in Measure A. Advantage Rideshare, an incentive
based rideshare program, was one of the first programs developed, marketed, and
implemented by the Commission. Participants of the program receive cash
incentives in the form of gift cards for ridesharing over a three-month term. The
Club Ride program was developed in 1992 to provide incentives to those who
continue to rideshare past the first three months.
The common link to the provision of these services is the ability for users to
generate ride matches with others wishing to either carpool or vanpool. Originally,
the Commission relied on ridematching services provided through the Southern
California Association of Governments (SCAG) and, ultimately in FY 2000/01,
opted to leave the partnership with SCAG and undertake its own ridematching
services. In FY 2001/02, the Commission entered into Agreement No. 02-41-052
with Multisystems, Inc. (Multisystems) for the provision, implementation, and
maintenance of its RidePro software for ridematching. Subsequently, Multisystems
was acquired by Trapeze Software, which became the recognized vendor of the
RidePro software via formal amendment approved by the Commission in 2003.
Since leaving the SCAG ridematching partnership, the Commission has led the way
in implementing, operating, and maintaining the regional rideshare database to
support coordinated and efficient ridematching services throughout the five county
Southern California region. This entails processing commuter surveys, commuter
and employer data retrieval, program reporting, Rideguide generation, network
security, system maintenance, and operation. The Los Angeles County
Metropolitan Transportation Authority, Orange County Transportation Authority,
San Bernardino Associated Governments, and Ventura County Transportation
Commission have contracted with the Commission for the administration of the
regional ridematching database for the past eight years.
Ridematching Software
Currently, there are over 150,000 active users of the regional ridematching system.
These users are responsible for entering and maintaining their own data for which
ridematches are based. Primarily by inputting their major cross streets and work
hours for both home and work locations, carpools can be formed by users matching
themselves with each other. Over the past eight years, the Commission has
continued to contract with Trapeze/Multisystems for annual maintenance to the
RidePro software. This includes both updates and enhancements. Trapeze's
current agreement with the Commission expires on June 30, 2012.
Agenda Item 7G
284
In August 2009, an outside source attempted to break (hack) into the regional
ridematch system. While personal information was not obtained nor disseminated,
the Commission had to undertake extensive efforts in order to further secure the
system from hacking attempts. Trapeze/Multisystems to this day has not accepted
responsibility for the breech in security. This has made negotiations for a renewal
of the annual maintenance contract very difficult, as the license agreement with
the Trapeze/Multisystems does not allow the Commission to own the source code,
manipulate the code to its satisfaction, or perform its own maintenance.
DISCUSSION:
Ridematching software, while prevalent on the market in many different forms, has
some unique challenges when it comes to its use in Southern California. While
ridematching is important, the ability for employers to gain compliance with and
remain compliant to the South Coast Air Quality Management District's Rule 2202
is also important and is one of the primary services offered by the Commission to
its employer partners. As such, the ability to calculate average vehicle ridership
(AVR) reports for employers is a necessary requirement of any ridematching
software to be utilized by the Commission. Additionally, the ability for the
Commission to work directly with employers in managing their rideshare programs
requires a high level of complexity and programming. Lastly, the Commission's
nationally recognized and award winning program requires a high standard of
functionality in order to not just maintain its standards but continue to lead the way
in the delivery of innovative TOM programs to Riverside County residents.
While attempting resolution with Trapeze/Multisystems in order to continue offering
the Ridepro software and in light of the upcoming contract expiration date, staff
began an investigation into alternatives to the use of the Ridepro software.
Staff research into available alternatives spanned several months during the fall of
2011, and one of the tools utilized was a peer review process. By talking to other
transportation agencies having similar ridematching and TOM programs in terms of
functionality and size, staff was able to gain a better understanding of how peer
agencies have been able to deal with solutions for the provision of a well
performing TOM program and ridematching in particular. In discussions with the
Bay Area Metropolitan Transportation Commission (MTC) and the New York MTC
among others, a trend in software preference became apparent and a potential
alternative to the use of Trapeze/Multisystems RidePro software was identified.
Given the high regard that the two transportation agencies held for their preferred
software vendor, BaseTech, and the job that it was doing, staff contacted
BaseTech and initiated a scope of work discussion with it to implement its Komotor
ridematching software for the Commission.
Agenda Item 7G
285
Staff understands the sensitivity surrounding the use of sole source contracts, yet
the unique programming needs required for a safe and secure ridematching system
that can produce A VR reports leave few alternatives for ridematching software
available on the open market. In fact, staff believes that the BaseTech Komotor
software offers a significant number of benefits over the use of the existing
RidePro software provided by Trapeze/Multisystems that could be realized by the
Commission should it choose to enter into an agreement with BaseTech.
While the cost of $134,000 to initially build and host the Komotor system may
seem high, the cost structure outlined by BaseTech leverages previous work that
BaseTech performed for many other agencies, primarily those software modules
created for the Bay Area MTC. This has the function of actually lowering the initial
cost to the Commission as the software does not have to be created from the
ground up for use in California.
In comparison, the cost for Trapeze/Multisystems to develop the RidePro software
for the Commission back in 2002 was $197,000, and the Commission was also
required to host the system itself, which further added to the cost. As an example
of hosting costs, currently between equipment and management, the Commission
expends an additional $211,213 per year on average for its CAP manager
consultant to perform this service. The BaseTech proposal includes the first year
of hosting under its base price, and subsequent two years of the proposed contract
call for hosting to be charged at a rate of $2,000/month. Therefore, utilizing
BaseTech's managed hosting services would significantly reduce the Commission's
cost over time as compared to the Trapeze/Multisystems product. Should a
contract with BaseTech be approved, staff proposes to codify this cost savings by
reducing the scope of the CAP manager to eliminate hosting services from that
contract.
The BaseTech Komotor product also reduces the Commission's long term financial
exposure on another front by significantly reducing the annual software
maintenance fee when compared to the Trapeze/Multisystems RidePro software.
In comparison to the $10,000 yearly maintenance fee proposed by Base Tech,
Trapeze/Multisystems charged the Commission $69,820 for maintenance for
FY 2011/12. This fee has also been rising at a rate averaging 5% year over year.
As such and even taking the build cost into account, the Commission will be even
or possibly ahead financially within two years by using the BaseTech software.
Additionally, Base Tech proposes to include the first year of maintenance at no
additional cost to the Commission.
Lastly and most contentious, when it came to staff's negot1at1ons with
Trapeze/Multisystems, is the issue of intellectual property ownership. With the
RidePro license, the Commission is not allowed to either maintain or manipulate the
RidePro software to its own benefit. This feature of the Trapeze/Multisystems
Agenda Item 7G
286
license is overly restnct1ve in the opm1on of both Commission legal counsel and
staff and is one of the primary factors behind the security breech that left the
Commission exposed and "on the hook" for the costs associated with re-securing
the system.
Conversely with the BaseTech software, the Commission would retain full
ownership rights as well as full rights to manipulate the code and programming to
suit its own needs. The Commission also would retain the right to host the
BaseTech Komotor product itself as well as perform its own system maintenance
should it decide to do so in the future. Significant flexibility and long term cost
savings would therefore also be realized by the Commission from this change in
license.
Given the benefits outlined above, staff is recommending the Commission award an
agreement to Base Technologies LLC for the design, construction, and
implementation of the Komotor Ridematch Software system in the amount of
$134,000. This will include the first year of maintenance and hosting. It is further
staff's recommendation that this award include two one year options for hosting
and maintenance services in the amount of $34,000 per year and an additional
$14,000 in programming contingency. This results in a three-year contract amount
not to exceed $216,000 should the base contract and the two one-year options be
exercised.
Financial Information
In Fiscal Year Budget: I Yes I I FY 2011/12 Amount: I $134,000
N/A Year: FY 2012/13 + $82,000
Source of Funds: I Measure A Budget Adjustment: I No
N/A
GL/Project Accounting No.: 632107 65520 263 41 65520
Fiscal Procedures Approved: ~~ I Date: I 01/19/12
Attachment: Draft Agreement No. 12-41-04 7-00
Agenda Item 7G
287
Agreement No. 12-41-047-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR COMMUTER ASSISTANCE PROGRAM SOFTWARE SERVICES
WITH BASE TECHNOLOGIES, LLC
1. PARTIES AND DATE.
This Agreement is made and entered into this_ day of , 2012, by
and between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and BASE TECHNOLOGIES ("Consultant"), a Limited Liability Corporation.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing commuter assistance program software services to
public clients, is licensed in the State of California, and is familiar with the plans of
Commission.
2.2 Commission desires to engage Consultant to render certain consulting
services for the Commission Commuter Assistance Program Software Project ("Project")
as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting services
and advice on various issues affecting the decisions of Commission regarding the Project
and on other programs and matters affecting Commission, hereinafter referred to as
"Services". The Services are more particularly described in Exhibit "A" attached hereto and
incorporated herein by reference. All Services shall be subject to, and performed in
accordance with, this Agreement, the exhibits attached hereto and incorporated herein by
reference, and all applicable local, state, and federal laws, rules and regulations.
3.2 Term. The term of this Agreement shall be from the date first specified
above to June 30, 2015, unless earlier terminated as provided herein. Consultant shall
288
complete the Services within the term of this Agreement and shall meet any other
established schedules and deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Schedule of
Services set forth in Exhibit "B" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Schedule of
Services.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will determine
the means, method and details of performing the Services subject to the requirements of
this Agreement. Commission retains Consultant on an independent contractbr basis and
Consultant is not an employee of Commission. Consultant retains the right to perform
similar or different services for others during the term of this Agreement. Any additional
personnel performing the Services under this Agreement on behalf of Consultant shall not
be employees of Commission and shall at all times be under Consultant's exclusive
direction and control. Consultant shall pay all wages, salaries, and other amounts due
such personnel in connection with their performance of Services under this Agreement and
as required by law. Consultant shall be responsible for all reports and obligations
respecting such additional personnel, including, but not limited to: social security taxes,
income tax withholding, unemployment insurance, and workers' compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under this
Agreement. Should one or more of such personnel become unavailable, Consultant may
substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as to
the substitution of key personnel, Commission shall be entitled to terminate this Agreement
for cause, pursuant to provisions of Section 3.16 of this Agreement. The key personnel for
performance of this Agreement are as follows: Dorian Sellitto, Chief Operating Officer.
3.7 Commission's Representative. Commission hereby designates the
Executive Director, his or her designee, to act as its representative for the performance of
this Agreement ("Commission's Representative"). Commission's representative shall have
the power to act on behalf of Commission for all purposes under this Agreement.
Consultant shall not accept direction from any person other than Commission's
Representative or his or her designee.
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3.8 Consultant's Representative. Consultant hereby designates Dorian
Sellitto or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant's Representative"). Consultant's Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant's Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all portions
of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the professional
calling necessary to perform the Services. Consultant warrants that all employees and
subcontractors shall have sufficient skill and experience to perform the Services assigned
to them. Finally, Consultant represents that it, its employees and subcontractors have all
licenses, permits, qualifications and approvals of whatever nature that are legally required
to perform the Services and that such licenses and approvals shall be maintained
throughout the term of this Agreement. Consultant shall perform, at its own cost and
expense and without reimbursement from Commission, any Services necessary to correct
errors or omissions which are caused by the Consultant's failure to comply with the
standard of care provided for herein, and shall be fully responsible to the Commission for
all damages and other liabilities provided for in the indemnification provisions of this
Agreement arising from the Consultant's errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cai/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and without
giving written notice to Commission, Consultant shall be solely responsible for all costs
arising therefrom. Consultant shall defend, indemnify and hold Commission, its officials,
directors, officers, employees and agents free and harmless, pursuant to the
indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
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3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that it
has secured all insurance required under this section. In addition, Consultant shall not
allow any subcontractor to commence work on any subcontract until it has secured all
insurance required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may a~ise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall meet
at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at least
as broad as the latest version of the following: (1),,General Liability: Insurance Services
Office Commercial General Liability coverage (occurrE:ft1ce form CG 0001 ); (2) Automobile
Liability: Insurance Services Office Busin\~ss Auto Coverage form number CA 0001, code 1
(any auto); and (3) Workers' Compensation and Employer's Liability: Workers'
Compensation insurance as required by the State of California and Employer's Liability
Insurance.
(B) Minimum Limits of Insurance. Consultant shall maintain
limits no less than: (1) General, Liability: $2,000,000 per occurrence for bodily injury,
personal injury and property damage. If Commercial General Liability Insurance or other
form with general aggregate limit is used, either the general aggregate limit shall apply
separately to this Agreement/location or the general aggregate limit shall be twice the
required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily injury
and property damage; and (3) if Consultant has an employees, Workers' Compensation
and Employer's Liability: Workers' Compensation limits as required by the Labor Code of
the State of California. Employer's Practices Liability limits of $1,000,000 per accident.
3.12.3 [Reserved] Professional Liability. Consultant shall procure and
maintain, and require its sub-consultants to procure and maintain, for a period of five (5)
years following completion of the Project, errors and omissions liability insurance
appropriate to their profession. Such insurance shall be in an amount not less than
$1,000,000 per claim.
3.12.4 Insurance Endorsements. The insurance policies shall contain
the following provisions, or Consultant shall provide endorsements on forms approved by
the Commission to add the following provisions to the insurance policies:
(A) General Liability. The general liability policy shall be
endorsed to state that: (1) the Commission, its directors, officials, officers, employees and
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agents shall be covered as additional insureds with respect to the Services or operations
performed by or on behalf of the Consultant, including materials, parts or equipment
furnished in connection with such work; and (2) the insurance coverage shall be primary
insurance as respects the Commission, its directors, officials, officers, employees and
agents, or if excess, shall stand in an unbroken chain of coverage excess of the
Consultant's scheduled underlying coverage. Any insurance or self-insurance maintained
by the Commission, its directors, officials, officers, employees and agents shall be excess
of the Consultant's insurance and shall not be called upon to contribute with it in any way.
(B) Automobile Liability. The automobile liability policy shall
be endorsed to state that: (1) the Commission, its directors, officials, officers, employees
and agents shall be covered as additional insureds with respect to the ownership,
operation, maintenance, use, loading or unloading of any auto owned, leased, hired or
borrowed by the Consultant or for which the Consultant is responsible; and (2) the
insurance coverage shall be primary insurance as respects the Commission, its directors,
officials, officers, employees and agents, or if excess, shall stand in an unbroken chain of
coverage excess of the Consultant's scheduled underlying coverage. Any insurance or
self-insurance maintained by the Commission, its directors, officials, officers, employees
and agents shall be excess of the Consultant's insurance and shall not be called upon to
contribute with it in any way.
(C) Workers' Compensation and Employers Liability
Coverage. The insurer shall agree to waive all rights of subrogation against the
Commission, its directors, officials, officers, employees and agents for losses paid under
the terms of the insurance policy which arise from work performed by the Consultant
(D) All Coverages. Each insurance policy required by this
Agreement shall be endorsed to state that: (A) coverage shall not be suspended, voided or
canceled except after thirty (30) days prior written notice by certified mail, return receipt
requested, has been given to the Commission; and, (B) any failure to comply with reporting
or other provisions of the policies, including breaches of warranties, shall not affect
coverage provided to the Commission, its directors, officials, officers, employees and
agents.
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles or
self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current AM. Best's rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
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3.12. 7 Verification of Coverage. Consultant shall furnish Commission
with original certificates of insurance and endorsements effecting coverage required by this
Agreement on forms satisfactory to the Commission. The certificates and endorsements
for each insurance policy shall be signed by a person authorized by that insurer to bind
coverage on its behalf. All certificates and endorsements must be received and approved
by the Commission before work commences. The Commission reserves the right to
require complete, certified copies of all required insurance policies, at any time.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules and
regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at the
rates set forth in Exhibit "C" attached hereto. The total compensation shall not exceed
Two Hundred Sixteen Thousand Dollars and No Cents ($216,000.00) without written
approval ofCommission'sExecutive Director ("Total Compensation"). Extra Work may be
authorized, as described below, and if authorized, will be compensated at the rates and
manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the proper
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completion of the Project, but which the parties did not reasonably anticipate would be
necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and accurate
records with respect to all costs and expenses incurred and fees charged under this
Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice to
Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
( 15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
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CONSULTANT:
Base Technologies, LLC
1749 Old Meadow Road, Suite 500
Mclean, VA 22102
Attn: Dorian Sellitto
COMMISSION:
Riverside County
Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and
addressed to the party at its applicable address. Actual notice shall be deemed adequate
notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an. exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-licen$e any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are pr~pared or caused to be prepared
by Consultant under this Agreement ("Documents & Data").
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right
to grant the exclusive and perpetual license for all such Documents & Data. Consultant
makes no such representation and warranty in regard to Documents & Data which were
prepared by design professionals other than Consultant or provided to Consultant by the
Commission.
Commission shall not be limited in any way in its use of the Documents
& Data at any time, provided that any such use not within the purposes intended by this
Agreement shall be at Commission's sole risk.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials, data,
computer programs or software and source code, enhancements, documents, and any and
all works of authorship fixed in any tangible medium or expression, including but not limited
to, physical drawings or other data magnetically or otherwise recorded on computer media
("Intellectual Property") prepared or developed by or on behalf of Consultant under this
Agreement as well as any other such Intellectual Property prepared or developed by or on
behalf of Consultant under this Agreement.
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The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right to
the above referenced Intellectual Property. Should Consultant, either during or following
termination of this Agreement, desire to use any of the above-referenced Intellectual
Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by the
Consultant for general use prior to the execution of this Agreement and which are not the
copyright of any other party or publicly available and any other computer applications, shall
continue to be the property of the Consultant. However, unless otherwise identified and
stated prior to execution of this Agreement, Consultant represents and warrants that it has
the right to grant the exclusive and perpetual license for all such Intellectual Property as
provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3., 18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant in
connection with the performance of this Agreement shall be held confidential by
Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor shall
such materials be disclosed to any person or entity not connected with the performance of
the Services or the Project. Nothing furnished to Consultant which is otherwise known to
Consultant or is generally known, or has become known, to the related industry shall be
deemed confidential. Consultant shall not use Commission's name or insignia,
photographs of the Project, or any publicity pertaining to the Services or the Project in any
magazine, trade paper, newspaper, television or radio production or other similar medium
without the prior written consent of Commission.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the other
party, either legal, administrative or otherwise, arising out of or in connection with this
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Agreement, the prevailing party in such litigation shall be entitled to have and recover from
the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall indemnify and hold the Commission,
its directors, officials, officers, agents, consultants, employees and volunteers free and
harmless from any and all claims, demands, causes of action, costs, expenses, liabilities,
losses, damages or injuries, in law or in equity, to property or persons, including wrongful
death, in any manner arising out of or incident to alleged negligent acts, omissions or willful
misconduct of the Consultant, its officials, officers, employees, agents, consultants, and
contractors arising out of or in connection with the performance of the Services, the Project
or this Agreement, including without limitation, the payment of all consequential damages,
attorneys fees and other related costs and expenses. Consultant shall defend, at
Consultant's own cost, expense and risk, any and all such aforesaid suits, actions or other
legal proceedings of every kind that may be brought or instituted against the Commission,
its directors, officials, officers, agents, consultants, employees and volunteers. Consultant
shall pay and satisfy any judgment, award ordecree that may be rendered against the
Commission or its directors, officials, officers, agents, consultants, employees and
volunteers, in any such suit, action or other legal proceeding. Consultant shall reimburse
the Commission and its directors, officials, officers, agents, consultants, employees and
volunteers, for any and a Illegal expenses and costs, incllllding reasonable attorney's fees,
incurred by each of them in connection therewith or in enforcing the indemnity herein
provided. Consultant's obligation to indemnity shall not be restricted to insurance
proceeds, if any, received by the Commission or its directors, officials, officers, agents,
consultants, employees and volunteers. ·.·Notwithstanding the foregoing, to the extent
Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall
be limited, to the extent required ·by Civil Code Section 2782.8, to claims that arise out of,
pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
This Section 3.21 shailsurviveany expiration or termination of this Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement of
the parties with respect to the subject matter hereof, and supersedes all prior negotiations,
understandings or agreemer;1ts. This Agreement may only be modified by a writing signed
by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of the
State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every provision
of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
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3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without the
prior written consent of Commission.
3.27 Prohibited Interests.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that
it has not paid nor has it agreed to pay any company or person, other than a bona fide
employee working solely for Consultant, any fee, commission, percentage, brokerage fee,
gift or other consideration contingent upon or resulting from the award or making of this
Agreement. For breach or violation of this warranty, Commission shall have the right to
rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term ofthis Agreement, no member,
officer or employee of Commission, during the term of his or her service with Commission,
shall have any direct interest in this Agreement, or obtain any present or anticipated
material benefit arising therefrom.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or applicant
for employment because of race, religion, color, national origin, ancestry, sex or age. Such
non-discrimination shall include, but not be limited to, all activities related to
initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising,
layoff or termination. Consultant shall also comply with all relevant provisions of
Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to aU provisions stipulated in this Agreement.
3.30 Prevailing Wages. By its execution of this Agreement, Consultant
certified that it is aware of the requirements of California Labor Code Sections 1720 et seq.
and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq.
("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the
performance of other requirements on certain "public works" and "maintenance" projects. If
the Services are being performed as part of an applicable "public works" or "maintenance"
project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or
more, Consultant agrees to fully comply with such Prevailing Wage Laws. The
Commission shall provide Consultant with a copy of the prevailing rate of per diem wages
in effect at the commencement of this Agreement. Consultant shall make copies of the
prevailing rates of per diem wages for each craft, classification or type of worker needed to
execute the Services available to interested parties upon request, and shall post copies at
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the Consultant's principal place of business and at the project site. Consultant shall
defend, indemnify and hold the Commission, its elected officials, officers, employees and
agents free and harmless from any claims, liabilities, costs, penalties or interest arising out
of any failure or alleged failure to comply with the Prevailing Wage Laws.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified employees
as indentured apprentices on the work performed hereunder solely on the ground of race,
creed, national origin, ancestry, color or sex. Every qualified apprentice shall be paid the
standard wage paid to apprentices under the regulations of the craft or trade in which he or
she is employed and shall be employed only in the craft or trade to which he or she is
registered.
If California Labor Code Section 1777.5 applies to the Services, Consultant
and any subcontractor hereunder who employs workers in any apprenticeable craft or trade
shall apply to the joint apprenticeship council administering applicable standards for a
certificate approving Consultant or any sub-consultant for the employment and training of
apprentices. Upon issuance of this certificate, Consultant and any sub-consultant shall
employ the number of apprentices provided for therein, as well as contribute to the fund to
administer the apprenticeship program in each craft or trade in the area of the work
hereunder.
The parties expressly understand that the responsibility for compliance with
provisions of this Section and with Sections 1777.5, 1777.6 and 1777.7 of the California
Labor Code in regard to all apprenticeable occupations lies with Consultant.
3.32 No Waiver. Failure of Commission to insist on any one occasion upon
strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of any
worker employed on the work shall be limited and restricted to eight hours during any one
calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any sub-
consultant under him, for each calendar day during which such workman is required or
permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-Hour
Law.
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3.34 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, shall survive any such expiration or
termination.
3.35 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.36 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which require
every employer to be insured against liability for Workers' Compensation or to undertake
self-insurance in accordance with the provisions of that Code, and agrees to comply with
such provisions before commencing the performance of the Services.
3.37 Counterparts. This Agreement may be signed in counterparts, each of
which shall constitute an original.
3.38 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR COMMUTER ASSISTANCE PROGRAM SOFTWARE SERVICES
WITH BASE TECHNOLOGIES
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
By:
John J. Benoit
Chairman
Approved as to Form:
By:
Best Best & Krieger LLP
General Counsel
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BASE TECHNOLOGIES, LLC
By:
Signature
Name
Title
Attest:
By: __________________ _
Its: Secretary
EXHIBIT "A"
SCOPE OF SERVICES
L_INSERT_j
A-1
302
EXHIBIT "8"
SCHEDULE OF SERVICES
L_INSERT __]
B-1
303
EXHIBIT "C"
COMPENSATION
L_INSERT_j
C-1
304
---------·~~~~~-
AGENDA ITEM 8
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: February 2, 2012
1~-----------+--
TO: Riverside County Transportation Commission
1~-----------+--
FROM: Michael Blomquist, Toll Program Director
·~-----------+--
THROUGH: Anne Mayer, Executive Director
·~-----------+--
Agreement with Parsons Transportation Group to Provide
SUBJECT:
Engineering Services for the Preparation of Plans, Specifications,
Cost Estimates, and Related Services for Improvements to State
Route 91 in the Eastbound Direction and to the State Routes 71 /91
Interchange
1.!:::=====:!:::::::::
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Award Agreement No. 11-31-110-00 to Parsons Transportation Group, Inc.
(Parsons) to provide engineering services for the preparation of plans,
specifications, and cost estimates (PS&E) and related services for
improvements to State Route 91 in the eastbound direction and to the 71 /91
interchange, from approximately one-quarter mile west of Green River Road
to Serfas Club Drive in the city of Corona based on the attached project
scope, schedule, and cost in the amount of $8,136,031, plus a contingency
amount of $804,537, for a total amount not to exceed $8,940,568,
contingent upon obligation of federal funds;
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission; and
3) Authorize the Executive Director to approve contingency work up to the total
not to exceed amount as may be required for the project.
BACKGROUND INFORMATION:
On November 5, 2002, the voters of Riverside County approved the extension of
Measure A, authorizing the collection of a one-half percent retail transactions and
use tax to fund transportation programs and improvements within the county of
Riverside, and adopting the Riverside County Transportation Improvement Plan.
Pursuant to Public Utility Code Sections 240000 et seq., the Commission is
authorized to allocate the proceeds of the tax in furtherance of the Measures. The
services to be provided will be funded with Measure A proceeds and/or other
state/federal funds as applicable.
Agenda Item 8
305
Improvements to the 71 /91 interchange was one of the projects identified and
approved by the voters as part of the 2009 Measure A and was included in the
2009 Measure A 1 0-Year Delivery Plan. The project would improve mobility on
SR-91 and SR-71 by enhancing operations and the capacity of the 71 /91
interchange by constructing a new, direct flyover connector from eastbound SR-91
to northbound SR-71 and reconfiguring the eastbound SR-91 ramp between Green
River Road and the 71 /91 interchange.
Agreement No. 08-31-033-00 (Caltrans No. 8-1380) and its subsequent
amendment, Agreement No. 1 08-31-033-01 (Caltrans No. 8-1380/1 ), between
the Commission and Caltrans executed in 2008 and 2011, respectively, provide the
Commission responsibility for project approval and environmental document
(completed in June 2011 ), PS&E, and right of way activities.
Selection Process
Under California law, a selection by the Commission for professional services of
private architectural or engineering type services, as defined under the California
Government Code, must be made on the basis of demonstrated competence and
professional qualifications. This qualifications based process is used to determine
which firm is the most qualified and, as a result, the most qualified firm will enter
into negotiations with the Commission to establish a fair and reasonable price for
the subject services.
Request for Qualifications (RFQ) No. 11-31-11 0-00 for the provision of PS&E
services for construction of the 71 /91 interchange project was issued on
May 16, 2011. A pre-proposal conference was conducted on June 7, 2011, and
staff responded to all questions from potential offerors. The deadline for submittal
of statements of qualifications (SOQ) was July 12, 2011. The Commission
received SOQs from three firms -BergerABAM, Parsons Brinckerhoff (PB), and
Parsons prior to the deadline.
An evaluation committee was appointed to review the SOQs received and to
conduct firm interviews. The evaluation committee was comprised of Commission
staff, a representative from the county of Riverside, and a representative from the
city of Corona. Based on the committee's evaluation of the written SOQ
submittals and pursuant to the terms of the RFQ, the committee shortlisted two of
the three offerors and invited those firms to the interview phase of the evaluation
and selection process. The shortlisted firms included:
• Parsons Brinckerhoff
• Parsons Transportation Group, Inc.
Agenda Item 8
306
Interviews with the referenced firms were conducted on September 13, 2011, and,
after final scoring by the evaluation committee, Parsons was ranked the most
qualified firm under the terms of the RFQ.
Staff recommends award of Agreement No. 11-31-11 0-00 to Parsons
Transportation Group, Inc. to provide engineering services for the preparation of
PS&E for proposed improvements to SR-91, in the eastbound direction and to the
71 /91 interchange, from approximately one-quarter mile west of Green River Road
to Serfas Club Drive in the city of Corona based on the attached project scope,
schedule, and cost in the amount of $8,136,031, plus a contingency amount of
$804,537 to cover potential changes in scope, for a total amount not to exceed
$8,940,568.
Award of Agreement No. 11-31-11 0-00 is contingent upon federal obligation of
unexpended funds designated for project improvements in this area.
Staff recommends authorizing the Chair, pursuant to legal counsel review, to
execute the agreement on behalf of the Commission. Staff further recommends
authorizing the Executive Director to approve contingency work up to the total not
to exceed amount as may be required for the project.
Financial Information
In Fiscal Year Budget: I Yes I 1 FY 2011 I 1 2 Amount: I $1,000,000
Year: FY 2012/13 + $7,940,568
Source of Funds: I Federal Earmark Budget Adjustment: I No
GLA/Project Accounting No.: loo3021 81102 262 31 81101
Fiscal Procedures Approved: I ~~ I Date: I 01/23/12
Attachment: Draft Agreement No. 11-31-110-00
Agenda Item 8
307
AGREEMENT N0.11-31-110-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT WITH
PARSONS TRANSPORTATION GROUP, INC.
FOR
PREPARATION OF PLANS, SPECIFICATIONS AND COST ESTIMATE (PS&E)
FOR THE
CONSTRUCTION OF THE STATE ROUTE 91/ STATE ROUTE 711NTERCHANGE
IMPROVEMENTS PROJECT
1. PARTIES AND DATE.
This Agreement is made and entered into this_ day of , 2012,
by and between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the
Commission") and PARSONS TRANSPORTATION GROUP, INC. ("Consultant"), an
Illinois coproration.
2. RECITALS.
2.1 On November 8, 1988 the Voters of Riverside County approved
Measure A authorizing the collection of a one-half percent (1/2 %) retail transactions
and use tax (the "tax") to fund transportation programs and improvements within the
County of Riverside, and adopting the Riverside County Transportation Improvement
Plan (the "Plan").
2.2 Pursuant to Public Utility Code Sections 240000 et seq., the
Commission is authorized to allocate the proceeds of the Tax in furtherance of the Plan.
2.3 On November 5, 2002, the voters of Riverside County approved an
extension of the Measure A tax for an additional thirty (30) years for the continued
funding of transportation and improvements within the County of Riverside.
A source of funding for payment for professional services provided under
this Agreement is federal funds from the United States Department of Transportation
pursuant to the following projecUprogram [INSERT NAME OF FEDERAL PROGRAM].
This Agreement shall not be deemed to be approved by the Commission until the
certifications shown in Exhibits "E" and "F" attached hereto and incorporated herein by
reference, are executed and incorporated in this Agreement.
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2.4 Consultant desires to perform and assume responsibility for the
provision of certain professional services required by the Commission on the terms and
conditions set forth in this Agreement. Consultant represents that it is experienced in
providing L_INSERT TYPE OF SERVICES__j services to public clients, is licensed
in the State of California (if necessary), and is familiar with the plans of the Commission.
2.5 The Commission desires to engage Consultant to render such
services for the State Route 91/State Route 71 lnterchang~ Improvement Project
project ("Project"), as set forth in this Agreement. ·
3. TERMS.
3.1 General Scope of Services. Consultant shalt furnish all technical
and professional services, including labor, material, equipme(lt,. transportation,
supervision and expertise, and incidental and customary work necessary to fully and
adequately supply the professional L_INSERT TYPE OF SERVICES__j services
necessary for the Project ("Services"). The Services are more particularly described in
Exhibit "A" attached hereto and incorporated herein by reference. All Services shall be
subject to, and performed in accordance with, this Agreement, the exhibits attached
hereto and incorporated herein by reference, and all applicable local, state and federal
laws, rules and regulations. · · ·
3.2 Commencement of Services. [__USE THIS PARAGRAPH IF
NOTICE TO PROCEED OR. LIMITED NOTICE TO PROCEED HAS BEEN
ISSUED __j Commission has authorized Consultant to commence performance of the
Services by a "Notice to Proceed" or "Limited Notice to Proceed" dated
--,---------· Consultant agrees that Services already performed pursuant to the
"Notice to Proceed" or "Limited Notice to Proceed" shall be governed by all the
provisions of this Agreement, including all indemnification and insurance provisions.
L_USE THIS SENTENCE IF NO NOTICE TO PROCEED OR LIMITED
NOTICE TO PROCEED HAS BEEN ISSUED__j The Consultant shall commence
work upon receipt of a written "Notice to Proceed" or "Limited Notice to Proceed" from
Commission.
3.2.1. Pre-Award Audit. As a result of the federal funding for this
Project, and to the extent Caltrans procedures apply in connection therewith, issuance
of a "Notice to Proceed" may be contingent upon completion and approval of a pre-
award audit. Any questions raised during the pre-award audit shall be resolved before
the Commission will consider approval of this Agreement. The federal aid provided
under this Agreement is contingent on meeting all Federal requirements and could be
withdrawn, thereby entitling the Commission to terminate this Agreement, if the
procedures are not completed. The Consultant's files shall be maintained in a manner
to facilitate Federal and State process reviews. In addition, the applicable federal
agency, or Caltrans acting in behalf of a federal agency, may require that prior to
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performance of any work for which Federal reimbursement is requested and provided,
that said federal agency or Caltrans must give to Commission an "Authorization to
Proceed".
3.2.2 Post-Award Audit. In the event that Caltrans authorizes the
Commission to issue a "Limited Notice to Proceed", Consultant's cost proposal, set forth
in the attached Exhibit "C", will be subject to a post-award audit by Caltrans.
Consultant's files shall be maintained in a manner to facilitate Federal and State
process reviews. If any post-award audit recommendations are received by
Commission from Caltrans, Exhibit "C" shall be adjusted by Consultant and approved by
Commission to conform to the audit recommendations. Consultant agrees that
individual items of cost may be incorporated into the attached Exhibit "C", based on the
interim or post-award audit recommendations of Caltrans, at Commission's sole
discretion. Refusal by Consultant to incorporate the interim audit or post-award
recommendations of Caltrans will be considered a breach of this Agreement and cause
for termination.
3.3 Term. The term of this Agreement shall be from the date first
specified above or the date of issuance of the Notice to Proceed by the Commission,
whichever occurs first, to December 31, 2014, unless earlier terminated as provided
herein. Consultant shall complete the Services within the term of this Agreement, and
shall meet any other established schedules and deadlines. All applicable
indemnification provisions of this Agreement shall remain in effect following the
termination of this Agreement.
3.4 Commission's Representative. The Commission hereby designates
the Commission's Executive Director, or his or her designee, to act as its
Representative for the performance of this Agreement ("Commission's
Representative"). Commission's Representative shall have the authority to act on
behalf of the Commission for all purposes under this Agreement. Commission's
Representative shall also review and give approval, as needed, to the details of
Consultant's work as it progresses. Consultant shall not accept direction or orders from
any person other than the Commission's Representative or his or her designee.
3.5 Consultant's Representative. Consultant hereby designates David
Speirs to act as its Representative for the performance of this Agreement ("Consultant's
Representative"). Consultant's Representative shall have full authority to act on behalf
of Consultant for all purposes under this Agreement. The Consultant's Representative
shall supervise and direct the Services, using his or her professional skill and attention,
and shall be responsible for all means, methods, techniques, sequences and
procedures and for the satisfactory coordination of all portions of the Services under this
Agreement. Consultant shall work closely and cooperate fully with Commission's
Representative and any other agencies which may have jurisdiction over, or an interest
in, the Services. Consultant's Representative shall be available to the Commission staff
at all reasonable times. Any substitution in Consultant's Representative shall be
approved in writing by Commission's Representative.
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3.6 Substitution of Key Personnel. Consultant has represented to the
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable,
Consultant may substitute other personnel of at least equal competence upon written
approval by the Commission. In the event that the Commission and Consultant cannot
agree as to the substitution of the key personnel, the Commission shall be entitled to
terminate this Agreement for cause, pursuant to the provisions of Section 3.14. The key
personnel for performance of this Agreement are: L_LIST NAMES AND TITLES__j.
3. 7 Preliminary Review of Work. All reports, working papers, and
similar work products prepared for submission in the course of providing Services under
this Agreement shall be submitted to the Commission's Representative in draft form,
and the Commission may require revisions of such drafts prior to formal submission and
approval. In the event plans and designs are to be developed as part of the Project,
final detailed plans and designs shall be contingent upon obtaining' environmental
clearance as may be required in connection with Federal funding. In the event that
Commission's Representative, in his sole discretion, determines the formally submitted
work product to be not in accordance with the standard of care established under this
contract, Commission's Representative may require Consultant to revise and resubmit
the work at no cost to the Commission.
3.8 Appearance at Hearings. If and when required by the Commission,
Consultant shall render assistance at public hearings or other meetings related to the
Project or necessary to the performance of the Services. However, Consultant shall not
be required to, and will not, render any decision, interpretation or recommendation
regarding questions of a legal nature or which may be construed as constituting a legal
opinion.
3.9 Standard of Care; Licenses. Consultant represents and maintains
that it is skilled in the professional calling necessary to perform all Services, duties and
obligations required by this Agreement to fully and adequately complete the Project.
Consultant shall perform the Services and duties in conformance to and consistent with
the standards generally recognized as being employed by professionals in the same
discipline in the State of California. Consultant warrants that all employees and
subcontractors shall have sufficient skill and experience to perform the Services
assigned to them. Consultant further represents and warrants to the Commission that
its employees and. subcontractors have all licenses, permits, qualifications and
approvals of whatever nature that are legally required to perform the Services, and that
such licenses and approvals shall be maintained throughout the term of this Agreement.
Consultant shall perform, at its own cost and expense and without reimbursement from
the Commission, any services necessary to correct errors or omissions which are
caused by the Consultant's failure to comply with the standard of care provided for
herein, and shall be fully responsible to the Commission for all damages and other
liabilities provided for in the indemnification provisions of this Agreement arising from
the Consultant's errors and omissions. Any employee of Consultant or its sub-
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consultants who is determined by the Commission to be uncooperative, incompetent, a
threat to the adequate or timely completion of the Project, a threat to the safety of
persons or property, or any employee who fails or refuses to perform the Services in a
manner acceptable to the Commission, shall be promptly removed from the Project by
the Consultant and shall not be re-employed to perform any of the Services or to work
on the Project.
3.10 Opportunity to Cure. Commission may provide Consultant an
opportunity to cure, at Consultant's expense, all errors and omissions which may be
disclosed during Project implementation. Should Consultant fail to make such
correction in a timely manner, such correction may be made by the Commission, and
the cost thereof charged to Consultant.
3.11 Inspection of Work. Consultant shall allow the Commission's
Representative to inspect or review Consultant's work in progress at any reasonable
time.
3.12 Final Acceptance. Upon determination by the Commission that
Consultant has satisfactorily completed the Services required under this Agreement and
within the term set forth in Section ,3,3, the Commission shall give Consultant a written
Notice of Final Acceptance. Upon receipt of such notice, Consultant shall incur no
further costs hereunder, unless otherwise specified in the Notice of Final Acceptance.
Consultant may request issuance of a Notice of. Final Acceptance when, in its opinion, it
has satisfactorily completed all Services required under the terms of this Agreement. In
the event copyrights are permitted under this Agreement, then in connection with
Federal funding, it is hereby acknowledged and agreed that the United States
Department of Transportation shall have the royalty-free non-exclusive and irrevocable
right to reproduce, publish, or otherwise use, and to authorize others to use, the work
for governmental purposes.
3.13 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local., state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cai/OSHA
requirements, and shall give all notices required by law. For example, and not by way
of limitation, Consultant shall keep itself fully informed of and in compliance with all
implementing regulations, design standards, specifications, previous commitments that
must be incorporated in the design of the Project, and administrative controls including
those of the United States Department of Transportation. Compliance with Federal
procedures may include completion of the applicable environmental documents and
approved by the United States Department of Transportation. For example, and not by
way of limitation, a signed Categorical Exclusion, Finding of No Significant Impact, or
published Record of Decision may be required to be approved and/or completed by the
United States Department of Transportation. For Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to the Commission, Consultant shall be solely responsible
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for all costs ans1ng therefrom. Consultant shall defend, indemnify and hold
Commission, its officials, directors, officers, employees and agents free and harmless,
pursuant to the indemnification provisions of this Agreement, from any claim or liability
arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.14 Termination.
3.14.1 Notice; Reason. Commission may, by written notice to
Consultant, terminate this Agreement, in whole or in part, at any time by giving written
notice to Consultant of such termination, and specifying the effective date thereof
("Notice of Termination"). Such termination may be for Commission's convenience or
because of Consultant's failure to perform its duties and .. obligations under this
Agreement, including, but not limited to, the failure of Consultant to timely perform
Services pursuant to the Schedule of Services described in Section 3.15 of this
Agreement. Consultant may not terminate this Agreement except for cause.
3.14.2 Discontinuance of Services. Upon receipt of the written
Notice of Termination, Consultant shall discontinue all affected Services as directed in
the Notice or as otherwise provided herein, and deliver to the Commission all
Documents and Data, as defined in this Agreement, as may have been prepared or
accumulated by Consultant in performance of the Services, whether completed or in
progress.
3.14.3Effect of Termination For Convenience. If the termination is
to be for the convenience of the Commission, the Commission shall compensate
Consultant for Services fully and adequately provided through the effective date of
termination. Such ~ayment shall include a prorated amount of profit, if applicable, but
no amount shall be paid for anticipated profit on unperformed Services. Consultant shall
provide documentation deemed adequate by Commission's Representative to show the
Services actually completed by Consultant prior to the effective date of termination.
This Ag:reement shal!terminate on the effective date of the Notice of Termination.
3.14.4 Effect of Termination for Cause. If the termination is for
cause, Consultant shall be compensated for those Services which have been fully and
adequately completed and accepted by the Commission as of the date the Commission
provides the Notice of Termination. In such case, the Commission may take over the
work and prosecute the same to completion by contract or otherwise. Further,
Consultant shall be' liable to the Commission for any reasonable additional costs
incurred by the Commission to revise work for which the Commission has compensated
Consultant under this Agreement, but which the Commission has determined in its sole
discretion needs to be revised, in part or whole, to complete the Project because it did
not meet the standard of care established in Section 3.9. Termination of this Agreement
for cause may be considered by the Commission in determining whether to enter into
future agreements with Consultant.
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3.14.5 Cumulative Remedies. The rights and remedies of the
Parties provided in this Section are in addition to any other rights and remedies
provided by law or under this Agreement.
3.14.6 Procurement of Similar Services. In the event this
Agreement is terminated, in whole or in part, as provided by this Section, the
Commission may procure, upon such terms and in such manner as it deems
appropriate, services similar to those terminated.
3.14. 7 Waivers. Consultant, in executing this Agreement, shall be
deemed to have waived any and all claims for damages which may otherwise arise from
the Commission's termination of this Agreement, for convenience or cause, as provided
in this Section.
3.15 Schedule and Progress of Services.
3.15.1 Schedule of Services. Consultant shall perforrl'rthe Services
expeditiously, within the term of this Agreement, and in accordance with the Schedule of
Services set forth in Exhibit "B" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel to perform
the Services in conformance with such conditions. In order to facilitate Consultant's
conformance with the Schedule, the Commission shall respond to Consultant's
submittals in a timely manner. Upon request of Commission's Representative,
Consultant shall provide a more detailed schedule of anticipated performance to meet
the Schedule of Services.
3.15.2 Modification of the Schedule. Consultant shall regularly
report to the Commission, through correspondence or progress reports, its progress in
providing required Services within the scheduled time periods. Commission shall be
promptly informed of all anticipated delays. In the event that Consultant determines that
a schedule modification is necessary, Consultant shall promptly submit a revised
Schedule of Services for approval by Commission's Representative.
3.15.3 Trend Meetings. Consultant shall conduct trend meetings
with the Commission's Representative and other interested parties, as requested by the
Commission, on a bi-weekly basis or as may be mutually scheduled by the Parties at a
standard day and time. These trend meetings will encompass focused and informal
discussions concerning scope, schedule, and current progress of Services, relevant
cost issues, and future Project objectives. Consultant shall be responsible for the
preparation and distribution of meeting agendas to be received by the Commission and
other attendees no later than three (3) working days prior to the meeting.
3.15.4 Progress Reports. As part of its monthly invoice, Consultant
shall submit a progress report, in a form determined by the Commission, which will
indicate the progress achieved during the previous month in relation to the Schedule of
Services. Submission of such progress report by Consultant shall be a condition
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precedent to receipt of payment from the Commission for each monthly invoice
submitted.
3.16 Delay in Performance.
3.16.1 Excusable Delays. Should Consultant be delayed or
prevented from the timely performance of any act or Services required by the terms of
the Agreement by reason of acts of God or of the public enemy, acts or omissions of the
Commission or other governmental agencies in either their sovereign or contractual
capacities, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes or
unusually severe weather, performance of such act shall be.excused for the period of
such delay.
3.16.2 Written Notice. If Consultant believes it is entitled to an
extension of time due to conditions set forth in subsection 3.16:1, Consultant shall
provide written notice to the Commission within seven (7) working days from the time
Consultant knows, or reasonably should have known, thqt performance ofthe Services
will be delayed due to such conditions. Failure. of Cori$ultant to provide:'such timely
notice shall constitute a waiver by Consultant ofariy ;rig~f to an excusable delay in time
of performance. • ·. c' ' .•
3.16.3 Mutual Agreement. Performance of any Services under this
Agreement may be delayed upon mutual agreement of the Parties. Upon such
agreement, Consultant's Schedule of Services shall be extended as necessary by the
Commission. Consultant shall take all reasonable steps to minimize delay in
completion, and additional costs, resulting from any such extension.
3.17 Status of Consultant/Subconsultants.
3.17. t Independent Contractor. The Services shall be performed
by Consultant or under its supervision. Consultant will determine the means, methods
and details of performing the Services subject to the requirements of this Agreement.
Commission retains Consultant on an independent contractor basis and not as an
employee, agent or representative of the Commission. Consultant retains the right to
perform similar or different services for others during the term of this Agreement. Any
additional personnel performing the Services under this Agreement on behalf of
Consultant shall at all times be under Consultant's exclusive direction and control.
Consultant shall pay all wages, salaries and other amounts due such personnel in
connection with their performance of Services and as required by law. Consultant shall
be responsible for all reports and obligations respecting such personnel, including but
not limited to, social security taxes, income tax withholdings, unemployment insurance,
disability insurance, and workers' compensation insurance.
3.17 .2 Prevailing Wages. By its execution of this Agreement,
Consultant certifies that it is aware of the requirements of California Labor Code
Sections 1720 et seq. and 1770 et seq., as well as California Code of Regulations, Title
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8, Section 16000 et ~ ("Prevailing Wage Laws"), which require the payment of
prevailing wage rates and the performance of other requirements on certain "public
works" and "maintenance" projects. If the Services are being performed as part of an
applicable "public works" or "maintenance" project, as defined by the Prevailing Wage
Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully
comply with such Prevailing Wage Laws. Copies of the prevailing rate of per diem
wages in effect at commencement of this Agreement are on file at the Commission's
offices. Consultant shall make copies of the prevailing rates of per diem wages for each
craft, classification or type of worker needed to execute the Services available to
interested parties upon request, and shall post copies at the Consultant's principal place
of business and at the project site. Consultant shall defend, indemnify and hold the
Commission, its elected officials, officers, employees and agents free and harmless
from any claims, liabilities, costs, penalties or interest arising out of any failure or
alleged failure to comply with the Prevailing Wage Laws.
3.17.3 Eight-Hour Law. Pursuant to the provisions of the California
Labor Code, eight hours of labor shall constitute a legal day's work, and the time of
service of any worker employed on the work shall be limited and restricted to eight
hours during any one calendar day, and forty hours in any one calendar week, except
when payment for overtime is made at not less than one and one-half the basic rate for
all hours worked in excess of eight hours per day ("Eight-Hour Law"), unless Consultant
or the Services are not subject to the Eight-Hour Law. Consultant shall forfeit to
Commission as a penalty, $50.00 for each worker employed in the execution of this
Agreement by him, or by any sub-consultant under him, for each calendar day during
which such workman is required or permitted to work more than eight hours in any
calendar day and forty hours in any one calendar week without such compensation for
overtime violation of the provisions of the California Labor Code, unless Consultant or
the Services are not subject to the Eight-Hour Law.
3.17.4 Assignment or Transfer. Consultant shall not assign,
hypothecate, or transfer, either directly or by operation of law, this Agreement or any
interest herein, without the prior written consent of the Commission. Any attempt to do
so shall be null and void, and any assignees, hypothecates or transferees shall acquire
no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.17.5 Subcontracting. Consultant shall not subcontract any
portion of the work or Services required by this Agreement, except as expressly stated
herein, without prior written approval of the Commission. Subcontracts, if any, shall
contain a provision making them subject to all provisions stipulated in this Agreement.
Consultant has, as part of its proposal, identified certain
companies/firms that will be subconsultants utilized by Consultant ("Subconsultants") for
Project delivery. A list of said Subconsultants may be attached hereto as Exhibit "C"
Part 2 and made a part hereof. The Commission hereby approves the use by
Consultant of the Subconsultants identified in Exhibit "C" Part 2. In the event and prior
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to the replacement of any Subconsultant approved herein, the Consultant shall seek
and obtain the Commission's written approval. Exhibit "C" Part 2 also sets forth the
rates at which each Subconsultant shall bill the Consultant for Services and that are
subject to reimbursement by the Commission to Consultant. Additional Direct Costs, as
defined in Exhibit "C" Part 1 shall be the same for both the Consultant and all
subconsultants, unless otherwise identified in Exhibit "C" Part 2.
Consultant acknowledges that approval of Consultant's utilization of
the identified Subconsultants together with the incorporation of Subconsultants' rate
schedules and cost proposals into this Agreement shall in :no way be construed to
create any contractual relationship between any Subconsultant and the Commission.
The Subconsultant rate schedules and cost proposals contained herein are for
accounting purposes only. In the event that any Subconsultant shall bring any action,
claim or proceeding purporting to enforce any right purportedly arising under this
Agreement, the Consultant shall be responsible for the Commission's reasonable legal
fees without regard to the merits of any such claim.
! •• ~-
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents .& Data. This Agreement creates an exclusive
and perpetual license for Commission to copy, use, modify, reuse, or sub-license any
and all copyrights and designs embodied in plans, specifications, studies, drawings,
estimates, materials, data and other documents or works of authorship fixed in any
tangible medium of expression, including but not limited to, physical drawings or data
magnetically or otherWi$e recorded on computer diskettes, which are prepared or
caused to be prepared by Consultant under this Agreement ("Documents & Data").
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive ahd perpetual license for any Documents & Data
the subcontractor prepare$ under this Ag.reement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such·representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission's sole risk.
3.18.2 Intellectual Prooertv. In addition, Commission shall have
and retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including
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but not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media ("Intellectual Property") prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property
prepared or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid
for wholly or in part by Commission, whether or not developed in conjunction with
Consultant, and whether or not developed by Consultant. Consultant will execute
separate written assignments of any and all rights to the above referenced Intellectual
Property upon request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, de.sire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which .Were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are
not the copyright of any other party or publicly available and any other computer
applications, shall continue to be the property of the Consultant. However, unless
otherwise identified and stated prior to execution of this Agreement, Consultant
represents and warrants that it has the right to grant the exclusive and perpetual license
for all such Intellectual Property as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3,18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
Consultant. Such materials shall not, without the prior written consent of Commission,
be used by Consultant. for any purposes other than the performance of the Services.
Nor shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production
or other similar medium without the prior written consent of Commission.
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3.19 Indemnification. To the fullest extent permitted by law, Consultant
shall defend, indemnify and hold Commission, its directors, officials, officers,
employees, consultants, volunteers, and agents free and harmless from any and all
claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in
law or equity, to property or persons, including wrongful death, in any manner arising
out of or incident to alleged negligent acts, omissions, or willful misconduct of
Consultant, its officials, officers, employees, agents, consultants, and contractors arising
out of or in connection with the performance of the Services, the Project or this
Agreement, including without limitation the payment of consequential damages, expert
witness fees, and attorneys fees and other related costs and expenses. Consultant
shall defend, at Consultant's own cost, expense and risk, any and all such aforesaid
suits, actions or other legal proceedings of every kind that may be brought or instituted
against Commission, its directors, officials, officers, employees, consultants, agents, or
volunteers. Consultant shall pay and satisfy any judgment, award or decree that may
be rendered against Commission or its directors, officials, officers, employees,
consultants, agents, or volunteers, in any such suit, action or other legal proceeding.
Consultant shall reimburse Commission and its directors, officials, officers, employees,
consultants, agents, and/or volunteers, for any and all legal expenses and costs,
including reasonable attorney's fees, incurred by each of them in connection therewith
or in enforcing the indemnity herein provided. Consultant's obligation to indemnify shall
not be restricted to insurance proceeds, if any, received by Commission, its directors,
officials officers, employees, consultants, agents, or volunteers. Notwithstanding the
foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8,
the above indemnity shall be limited, to the extent required by Civil Code Section
2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness,
or willful misconduct of the Consultant. Consultant's obligations as set forth in this
Section 3.19 shall survive expiration or termination of this Agreement.
3.20 Insurance.
3.20.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section. In addition, Consultant shall not
allow any subcontractor to commence work on any subcontract until it has secured all
insurance required under this section.
~ 3.20.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with
the performance of the Agreement by the Consultant, its agents, representatives,
employees or subcontractors. Consultant shall also require all of its subcontractors to
procure and maintain the same insurance for the duration of the Agreement. Such
insurance shall meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
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Services Office Commercial General Liability coverage (occurrence form CG 0001); (2)
Automobile Liability: Insurance Services Office Business Auto Coverage form number
CA 0001, code 1 (any auto); and (3) if Consultant has employees, Workers'
Compensation and Employer's Liability: Workers' Compensation insurance as required
by the State of California and Employer's Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit
shall apply separately to this Agreement/location or the general aggregate limit shall be
twice the required occurrence limit; (2) Automobile Liability: $1 ,000,000 per accident for
bodily injury and property damage; and (3) Workers' Compensation and Employer's
Liability: Workers' Compensation limits as required by the Labor Code of the State of
California. Employer's Liability limits of $1 ,000,000 per accident f,or bodily injury or
disease.
3.20.3 Professional Liability. Consultant shall procure and
maintain, and require its sub-consultants to procure and maintain, for a period of five (5)
years following completion of the Project, errors and omissions liability insurance
appropriate to their profession. Such insurance shall be in an amount not less than
$2,000,000 [__INCREASE IF NECESSARY -OTHERWISE LEAVE AS IS AND
DELETE THIS NOTE__j per claim.
3.20.4 Aircraft Liability Insurance. Prior to the direct or indirect use
of any civil aircraft to provide Services under this Agreement, Consultant shall procure
and maintain, or cause to be procured and maintained, aircraft liability insurance or
equivalent form, with a single limit of not less than $5,000,000 per each occurrence.
Such insurance shall include coverage for owned, hired and non-owned aircraft and
passengers, and shall name, or be endorsed to name, the Commission, its directors,
officials, officers, employees consultants and agents as additional insureds with respect
to the Services or operations performed by or on behalf of the Consultant.
3.20.5 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability. The general liability policy shall be
endorsed to state that: (1) the Commission, its directors, officials, officers, employees
and agents shall be covered as additional insureds with respect to the Services or
operations performed by or on behalf of the Consultant, including materials, parts or
equipment furnished in connection with such work; and (2) the insurance coverage shall
be primary insurance as respects the Commission, its directors, officials, officers,
employees and agents, or if excess, shall stand in an unbroken chain of coverage
excess of the Consultant's scheduled underlying coverage. Any insurance or self-
insurance maintained by the Commission, its directors, officials, officers, employees and
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agents shall be excess of the Consultant's insurance and shall not be called upon to
contribute with it in any way.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned,
leased, hired or borrowed by the Consultant or for which the Consultant is responsible;
and (2) the insurance coverage shall be primary insurance as respects the Commission,
its directors, officials, officers, employees and agents, or i~ ~xcess, shall stand in an
unbroken chain of coverage excess of the Consultant's scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant's insurance and shall
not be called upon to contribute with it in any way.
(C) Workers' Compensation and Employers Liability
Coverage. The insurer shall agree to waive all rights of subrogati0f1 against the
Commission, its directors, officials, officers, employees and agents for~'tosses paid
under the terms of the insurance policy which arise" from work performed by the
Consultant.
(D) All Cov~rages, Each insurance policy required by this
Agreement shall be endorsed to state that: (A) .coverage shall not be suspended,
voided or canceled except after thirty (30) days prior written notice by certified mail,
return receipt requested, has been given to the Commission; and (B) any failure to
comply with reporting or other provisions of the policies, including breaches of
warranties, shall notaffect coverage provided to the Commission, its directors, officials,
officers, employees and agents'. '
3.20.6 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must.be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, atthe option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or (2) the
Consultant shall procure a bond guaranteeing payment of losses and related
investigation costs, claims and administrative and defense expenses.
3.20. 7 Separation of Insureds; No Special Limitations. All
insurance required by this Section shall contain standard separation of insureds
provisions. In addition, such insurance shall not contain any special limitations on the
scope of protection afforded to the Commission, its directors, officials, officers,
employees, and agents.
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---------------~----------------------------------------,
3.20.8 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best's rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
3.20.9 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
required by this Agreement on forms satisfactory to the Commission. The certificates
and endorsements for each insurance policy shall be signed by a person authorized by
that insurer to bind coverage on its behalf. All certificates and endorsements must be
received and approved by the Commission before work commences. The Commission
reserves the right to require complete, certified copies of all required insurance policies,
at any time.
3.20.1 0 Other Insurance. At its option, the Commission may
require such additional coverage(s), limits and/or the reduction of deductibles or
retentions it considers reasonable and prudent based upon risk factors that may directly
or indirectly impact the Project. In retaining this option Commission does not warrant
Consultant's insurance program to be adequate. Consultant shall have the right to
purchase insurance in addition to the insurance required in this Section.
3.21 Safety. Consultant shall execute and maintain its work so as to
avoid injury or damage to any person or property. In carrying out its Services, the
Consultant shall at all times be in compliance with all applicable local, state and federal
laws, rules and regulations, and shall exercise all necessary precautions for the safety
of employees appropriate to the nature of the work and the conditions under which the
work is to be performed. Safety precautions as applicable shall include, but shall not be
limited to: (A) adequate life protection and life saving equipment and procedures; (B)
instructions in accident prevention for all employees and subcontractors, such as safe
walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space
procedures, trenching and shoring, equipment and other safety devices, equipment and
wearing apparel as are necessary or lawfully required to prevent accidents or injuries;
and (C) adequate facilities for the proper inspection and maintenance of all safety
measures.
3.22 Fees and Payment.
3.22.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "C" attached hereto and incorporated herein by reference.
The total compensation shall be on the basis of direct costs plus a fixed fee as further
set forth in Exhibit "C" and shall not exceed the maximum amount of Eight Million One
Hundred Thirty Six Thousand Thirty One Dollars ($8,136,031) without written
approval of Commission's Executive Director ("Total Compensation").
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3.22.2 Payment of Compensation. Consultant shall submit a
monthly itemized statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
subsequent billing periods, as appropriate, through the date of the Statement. Charges
specific to each Milestone listed in the Schedule of Services shall be listed separately
on an attachment to each statement. Each statement shall be accompanied by a
monthly progress report and spreadsheets showing hours expended for each task for
each month and the total Project to date. Each statement shall include a cover sheet
bearing a certification as to the accuracy of the statement signed by the Consultant's
Project Manager or other authorized officer.
3.22.3 Additional Work. Any work or activities that are in addition
to, or otherwise outside of, the Services to be performed pursuant to this Agreement
shall only be performed pursuant to a separate agreement between the parties.
Notwithstanding the foregoing, the Commission's Executive Director may make a
change to the Agreement, other than a Cardinal Change. For purposes of this
Agreement, a Cardinal Change is a change which is ''outside the scope" of the
Agreement; in other words, work which should not be regarded as having been fairly
and reasonably within the contemplation of the parties when the Agreement was
entered into. An example of a change which is not a Cardinal Change would be where,
in a contract to construct a building there are many changes in the materials used, but
the size and layout of the building remains the same. Cardinal Changes are not within
the authority of this provision to order, and shall be processed by the Commission as
"sole source" procurements according to applicable law, including the requirements of
FTA Circular 4220 .. 1 D, paragraph 9(f).
(a) In addition to the changes authorized above, a
modification which is signed by Consultant and the Commission's Executive Director,
other than a Cardinal Change, may be made in order to: (1) make a negotiated
equitable adjustment to the Agreement price, delivery schedule and other terms
resulting from the issuance of a Change Order, (2) reflect definitive letter contracts, and
(3) reflect other agreements of the parties modifying the terms of this Agreement
("Bilateral Contract Modification").
(b) Consultant shall not perform, nor be compensated for
any change, without written authorization from the Commission's Executive Director as
set forth herein. In the event such a change authorization is not issued and signed by
the Commission's Executive Director, Consultant shall not provide such change.
3.22.4 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by the Commission's
Representative.
3.23 Prohibited Interests.
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3.23.1 Solicitation. Consultant maintains and warrants that it has
not employed nor retained any company or person, other than a bona fide employee
working solely for Consultant, to solicit or secure this Agreement. Further, Consultant
warrants that it has not paid nor has it agreed to pay any company or person, other than
a bona fide employee working solely for Consultant, any fee, commission, percentage,
brokerage fee, gift or other consideration contingent upon or resulting from the award or
making of this Agreement. For breach or violation of this warranty, the Commission
shall have the right to rescind this Agreement without liability.
3.23.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of the Commission, during the term of his or her service
with the Commission, shall have any direct interest in this Agreement, or obtain any
present or anticipated material benefit arising therefrom.
3.23.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of
the employee's regular working hours or on weekends, holidays or vacation time.
Further, the employment by the Consultant of per§onnel who have been on the
Commission payroll within one year prior to the date of execution of this Agreement,
where this employment is caused by and or dependent upon the Consultant securing
this or related Agreements with the Commission, is prohibited.
3.23.4 Covenant Against Contingent Fees. As required in
connection with federal funding, the Consultant warrants that he/she has not employed
or retained any company or person, other than a bona fide employee working for the
Consultant, to solicit or secure this Agreement, and that he/she has not paid or agreed
to pay any company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting
from the award or formation of this Agreement. For breach or violation of this warranty,
the Commission shall have the right to terminate this Agreement without liability
pursuant to Section 3.14, or at its discretion to deduct from the Agreement price or
consideration, or otherwise recover, the full amount of such fee, commission,
percentage, brokerage fee, gift, or contingent fee.
3.235Covenant Against Expenditure of Local Agencv. State or
Federal Funds for Lobbying. [__INCLUDE ONLY IF FEDERAL FUNDING WILL
EXCEED $100,000, OTHERWISE DELETE THIS SECTION 3.23.5 AND EXHIBIT
"J"__j The Consultant certifies that to the best of his/ her knowledge and belief no
state, federal or local agency appropriated funds have been paid, or will be paid by or
on behalf of the Consultant to any person for the purpose of influencing or attempting to
influence an officer or employee of any state or federal agency; a Member of the State
Legislature or United States Congress; an officer or employee of the Legislature or
Congress; or any employee of a Member of the Legislature or Congress, in connection
with the award of any state or federal contract, grant, loan, or cooperative agreement, or
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the extension, continuation, renewal, amendment, or modification of any state or federal
contract, grant, loan, or cooperative agreement.
a) If any funds other than federal appropriated funds have
been paid, or will be paid to any person for the purpose of influencing or attempting to
influence an officer or employee of any federal agency; a Member of Congress; an
officer or employee of Congress, or an employee of a Member of Congress; in
connection with this Agreement, the Consultant shall complete and submit the
attached Exhibit "E", Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with the attached instructions.
b) The Consultant's certification ,provided in this section is a
material representation of fact upon which reliance was placed when this Agreement
was entered into, and is a prerequisite for entering into this Agreement pursuant to
Section 1352, Title 31, US. Code. Failure to comply with the restrictions on
expenditures, or the disclosure and certification requirements set forth in Section 1352,
Title 31, US. Code may result in a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
c) The Consultant also agh:~es by signing this Agreement that
he/she shall require that the language set forth in this SE;ction 3.23.5 be included in all
Consultant subcontracts which exceed $100;000, and thatall such subcontractors shall
certify and disclose accordingly.
3.24 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged
under this Agreeme,nt. As required in connection with federal funding, the Federal
Acquisition Regulatiof)s in Title 48, CFR 31 shall be the governing factors regarding
allowable elements of:cost. All such records shall be clearly identifiable. Consultant
shall allow a representative of the Commission, the State, the State Auditor, or any duly
authorized representative of the Federal government having jurisdiction under Federal
laws or regulations (including the basis of Federal funding in whole or in part) during
normalbusiness hours to. examine, audit, and make transcripts or copies of any and all
ledgers and books of aGcount, invoices, vouchers, canceled checks, and any other
records or documents created pursuant to this Agreement. All such information shall be
retained by Consultant Jor at least three (3) years following termination of this
Agreement. Following final settlement of the contract accounts with the United States
Department of Transportation under this Agreement, such records and documents may
be microfilmed at the option of the Commission, but in any event shall be retained for
said three (3) year period after processing of the final voucher by the United States
Department of Transportation.
a) The Consultant also agrees to comply with Federal procedures in
accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments.
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b) Any costs for which payment has been made to the Consultant that
are determined by subsequent audit to be unallowable under 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31 et seq. or under 49 CFR, Part 18,
Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments, are subject to repayment by the Consultant to the
Commission.
3.25 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any subcontractor,
employee or applicant for employment because of race, religion, color, national origin,
ancestry, sex or age. Such non-discrimination shall include, but not be limited to, all
activities related to initial employment, upgrading, demotion, transfer, recruitment or
recruitment advertising, layoff or termination.
3.26 Right to Employ Other Consultants. Commission reserves the right
to employ other consultants in connection with the Project.
3.27 Governing Law. This Agreement shall be governed by and
construed with the laws of the State of California. Venue shall be in Riverside County.
3.28 Attorneys' Fees. It either party commences an action against the
other party, either legal, administrative or otherwise, arising .out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and
recover from the losing party reasonable attorneys' tees and, all other costs of such
actions.
3.29 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.30 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
3.31 Notices. All notices permitted or required under this Agreement
shall be given to the respective parties at the following address, or at such other
address as the respective parties may provide in writing for this purpose:
CONSULTANT:
Parsons Transportation Group, Inc.
100 M Street, SE, Suite 1200
Washington, D.C. 20003
Attn: David Speirs
COMMISSION:
Riverside County
Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Attn: Executive Director
Such notice shall be deemed made when personally delivered or when mailed, forty-
eight (48) hours after deposit in the U.S. mail, first class postage prepaid, and
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addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.32 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and
obligations of the Parties and the interpretation of the Parties' understanding concerning
the performance of the Services.
3.33 Amendment or Modification. No supplement, modification, or
amendment of this Agreement shall be binding unless executed in writing and signed by
both Parties.
3.34 Entire Agreement. This Agreement contains:tne entire agreement
of the Parties relating to the subject matter hereof and supersedes all"prior negotiations,
agreements or understandings.
3.35 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by cf:court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.36 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refus~ Jo accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed; national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or sh~ is employed and shall be employed only in the craft or trade to
which he or she is registered~ ·
If California Labor Code Section 1777.5 applies to the Services,
Consultant and any subcontractor hereunder who employs workers in any
apprenticeable craft or trade shall apply to the joint apprenticeship council administering
applicable standards for a certificate approving Consultant or any sub-consultant for the
employment and training ~f apprentices. Upon issuance of this certificate, Consultant
and any sub-consultant shall employ the number of apprentices provided for therein, as
well as contribute to the fund to administer the apprenticeship program in each craft or
trade in the area of the work hereunder.
The parties expressly understand that the responsibility for compliance
with provisions of this Section and with Sections 1777.5, 1777.6 and 1777.7 of the
California Labor Code in regard to all apprenticeable occupations lies with Consultant
3.37 Provisions Applicable When Federal Department of Transportation
Funds Are Involved. When funding for the Services provided by this Agreement are
provided, in whole or in part, from the United States Department of Transportation,
Consultant shall also fully and adequately comply with the provisions included in Exhibit
"D" (Federal Department of Transportation Requirements and California Department of
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Transportation (Caltrans) DBE program requirements) attached hereto and incorporated
herein by reference.
3.38 Survival. All rights and obligations hereunder that by their nature
are to continue after any expiration or termination of this Agreement, including, but not
limited to, the indemnification and confidentiality obligations, shall survive any such
expiration or termination.
3.39 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.40 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers' Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.41 Counterparts. This Agreement may be signed in counterparts,
each of which shall constitute an original.
3.42 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.43 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not
be deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or
times.
[Signatures on following page]
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SIGNATURE PAGE
TO
PROFESSIONAL SERVICES AGREEMENT
WITH FHWA FUNDING/ASSISTANCE
IN WITNESS WHEREOF, this Agreement was executed on the date first written
above.
RIVERSIDE COUNTY PARSONS TRANSPORTATION
TRANSPORTATION COMMISSION GROUP, INC.
By:
[INSERT NAME] By:
Chair Signature
' .. ·.
[NOT NEEDED IF APPROVED BY Name
COMMISSION]
Title
By:
Anne Mayer
Executive Director
Approved as to Form:
ATTEST:
By:
Best, Best & Krieger LLP By:
General Counsel
Its: Secretary
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MODEL PROFESSIONAL SERVICES AGREEMENT -EXHIBIT "A"
SCOPE OF SERVICES
L_INSERT __]
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EXHIBIT A (PART 1)
SR 71/SR 911nterchange-Scope of Work
Background
SR 91 is currently the only major route between Riverside and Orange Counties. While traffic demand has continued
to increase, capacity-increasing improvements within the project limits have been limited to the toll lanes between
SR 55 and the Orange/Riverside County Line. The toll lanes, while providing some congestion relief in the westbound
(WB) direction, have resulted in lane imbalances on EB SR 91 where the toll lanes end and merge into the existing
lanes of SR 91, resulting in heavy congestion at the Orange-Riverside County line. In addition, the SR 241 merge lanes
converging into a heavily used facility have contributed to the congestion. Within the project limits, traffic on the
eastbound (EB) SR 91 to NB SR 71 connector loop ramp backs up onto the outside lane of EB SR 91, causing
congestion on the mainline during PM peak-hours between the Green River on-ramp and the northbound (NB) SR 71
off-ramp as EB through traffic is forced to merge into the interior lanes of SR 91. Traffic from the EB Green River Road
on-ramp to SR 91 is also forced to merge and weave with the NB SR 71 connector traffic, adding to the congestion.
The bottleneck caused by the tight radius loop of the EB SR 91 to NB SR 71 on-ramp and the close proximity of the
Green River Road on-ramp to the NB SR 71 connector are the major contributors to the recurring congestion which is
projected to worsen with volumes that would exceed the capacity of the existing single lane loop on-ramp to NB SR
71. Accident rates are also increasing along this segment of SR 91 as compared to the statewide average as motorists
attempt lane change maneuvers under stop-and-go conditions. The purpose of the SR 91/711nterchange
Improvement Project includes:
• Improve the operational efficiency of the EB SR 91 to NB SR 71 connector.
• Minimize future congestion and delay in the EB direction of SR 91 between Green River Road and the SR
91/71 interchange.
• Improve accessibility to SR 71 from EB SR 91 at Green River Road.
• Improve access and reduce congestion associa~ed with weaving from Green River Road to EB SR 91.
Existing Interchange
The existing interchange is classified as a freeway-to-freeway interchange Type F-6. The existing EB SR 91 to NB SR 71
connector consists of a single-lane, tight loop ramp that passes under the 91/71 separation to join the WB SR 91 to
the NB SR 71 connector. In addition, the southbound (SB) SR 71 to EB SR 91 connector passes under the 91/71
separation as a single-lane ramp, paralleling the EB SR 91 to NB SR 71 connector beyond the existing loop. The
existing WB SR 91 to NB SR 71 connector diverges from SR 91 as a 2-lane ramp and merges to a single lane prior to
joining the single-lane EB SR 91 to NB SR 71 connector, forming the 2-lane NB SR 71. NB SR 71 then crosses the Santa
Ana River on an existing 4-lane structure shared by the 2-lane SB SR 71. The existing SB SR 71 to WB SR 91 connector
diverges from SR 71 as a single lane and opens to 2 lanes to provide storage for ramp metering prior to merging onto
WB SR 91 as an auxiliary lane between SR 71 and the WB Green River Road off-ramp.
Proposed Interchange Improvements
The interchange improvements are located on SR 91 from PM 0.6 to PM 2.6 and on SR 71 from PM 1.6 to PM 3.0.
The project will convert the existing Type F-6 freeway interchange into a Type F-5 freeway interchange. The project
will re-align the Green River Road on-ramp to enter EB SR 91 downstream of the connector off-ramp to SR 71.
Reconfiguring the ramps will eliminate traffic weaving and merging problems associated with the existing condition
where the downstream SR 71 connector off-ramp closely follows the upstream Green River Road on-ramp along SR
91. The project will realign a segment of SB SR 71, north of the Santa Ana River Bridge, to allow the EB to NB
connector to align to the inside of the existing WB SR 91 to NB SR 71 connector ramp. In addition, the project will
restripe the WB SR 91 to NB SR 71 connector from one to two lanes and restripe the SB SR 71 to EB SR 91 from one to
three lanes to provide storage prior to the existing ramp meter.
SR 91/ SR71 PS&E-Scope of work
Date: 01-17-2012
Page 1
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The proposed EB SR 91 to NB SR 71 connector is a high-speed, two-lane direct connector with a 1,275-foot radius
curve. A slip ramp from the Green River Road on-ramp provides access to SR 71 from Green River Road. The Green
River Road on-ramp is a proposed two-lane ramp. The left lane would merge onto the SR 71 connector, while the
right lane would diverge from the slip ramp alignment and continue as the EB SR 91 on-ramp. The profile of the
Green River Road on-ramp has been designed to provide standard clearances over the existing Burlington Northern
Santa Fe (BNSF) railroad and Prado Road. The SB lanes of SR 71 will be re-aligned to provide clearance for the EB SR
91 to NB SR 71 connector merging to the inside of the NB SR 711anes. The United States Army Corps of Engineers
(USACE) maintenance access along SR 71 would be relocated approximately 1,400 feet north on SR 71. A 16-foot
right shoulder, as well as a two-way left-turn lane will be provided to facilitate turning movement into and out of this
facility. The following are locations where new/modified bridges will be required:
• Green River Road Railroad Overcrossing (Type: Cast-in-Place/Pre-stressed Concrete Box Girder)
• EB SR 91/NB SR 71 Connector (Type: Cast-in-Place/Pre-stressed Concrete Box Girder)
• E 9l-N 71 Connector Undercrossing (Type: Pre-stressed/Cast-in-Place Box Girder)
Scope of Work:
This scope of work describes task related to the development of Plans, Specifications and Estimate (PS&E)
for the project. The work will comply with the following general guidelines:
• The plans will be prepared in accordance with Caltrans' current policies and procedures.
• Drawings will be prepared in MicroStation Version 8 using Caltrans drafting standards.
• Tasks will reference Caltrans Work Breakdown Structure (WBS) Codes.
• The plans will be prepared using English units of measure.
Assumptions:
The Scope of Work does not include:
• Environmental Re-validation/Re-evaluation
• Aerially Deposited Lead Study
• Pavement Life-Cycle Cost Analysis
(Completed during PA/ED phase)
(Completed during PA/ED phase)
• Ramp Metering
• Utility Relocation Design
(no new Ramp meters are proposed for this project)
(Gas line, Electrical will be designed by Utility Owners)
Optional Services:-see discussion on page 27 of this document
1. Soil Nail Wall along SB SR71 at Chino Hills State Park
2. Segmental Design for E91 to N71 Connector
3. Construction Bid Support
4. Design Support During Construction
5. Railroad Signal Relocation
6. Geometric Approval Drawing (GAD)-Revisions and Updates
7. Landscape Design
8. Additional Aerial Photos (along SR 91 from SR 241 to Green River Road)
SR 91/ SR71 PS&E-Scope of work
Date: 01-17-2012
Page2
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Additional Assumptions:
• Permit/mitigation/outgrant fees-Estimated Fees have been included in the Direct Costs Estimate
• Minimal geometric revisions will be required from the approved Geometric Approval Drawings
(GAD).
• All bridges will be designed as a CIP/PS Concrete Box Girder Structures.
• (8) Retaining Walls will be designed as Mechanically Stabilized Earth (MSE) Walls
• (2) Retaining Walls will be designed as Standard Retaining Walls
• Construction contract administration will be completed by RCTC.
1. Project Management PS&E Component-(WBS 100.15)
1.1 Project Controls & Administration
Acting as Prime Consultant, Consultant will execute subcontracts with sub-Consultants and direct their
work. Prime contract terms and conditions will be incorporated into the subcontract agreements.
Consultant will be the primary contact for RCTC. This task will also include communication/ coordination
efforts by the Project Manager as part of the overall management of the project.
1.2 Project Management Plan (PMP)
Consultant will provide a Project Management Plan. The PMP will consist of the following activities and
tasks:
1.2.1 Work Plan and Project Schedules
Consultant will develop, maintain and implement the Work Plan and Project Schedules on an
ongoing basis, with input from RCTC and Caltrans. The Work Plan and Project Schedule will be
maintained and implemented throughout the PS&E. The Project Schedule will be maintained in a
standard format with Task I D's, Work Breakdown Structure (WBS} Elements. Consultant will prepare
a detailed schedule and RCTC will closely monitor the execution and implementation of the
schedule. The overall schedule will be updated, at a minimum, on a monthly basis and distributed to
PDT members at least one week prior to the PDT meeting. Consultant will use software, acceptable
to RCTC and Caltrans, which adequately identifies the critical path and floats on tasks.
1.2.2 Quality Management Plan
Consultant will develop, maintain and implement a Quality Management Plan. Consultant will
develop a project specific Quality Assurance/Quality Control (QA/QC} Plan for RCTC's review and
approval. The QA/QC Plan will include the following elements:
• Independent technical review concerning, planning assumptions, design criteria,
calculations, production drawings and specifications
• Inter-disciplinary reviews and coordination checks
• Control of project data
• Quality surveillance
SR 91/ SR71 PS&E-Scope of work
Date: 01-17-2012
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" D o c u m e n t a n d d a t a c h e c k i n g
" D o c u m e n t c o n t r o l
" T r a n s f e r a n d a c c e p t a n c e o f d a t a b y R C T C
1 . 2 . 2 . 1 Q A / Q C P r o g r a m
A n i n d e p e n d e n t C o n s u l t a n t Q A / Q C m a n a g e r w i l l p e r f o r m Q A / Q C t a s k s . N o w o r k w i l l b e
s u b m i t t e d t o C a l t r a n s u n t i l t h e Q A / Q C m a n a g e r h a s v e r i f i e d t h a t t h e r e q u i r e m e n t s o f t h e
p r o j e c t Q A / Q C p l a n h a s b e e n m e t . I n a d d i t i o n , t h e Q A / Q C m a n a g e r w i l l m e e t r e g u l a r l y w i t h
R C T C s t a f f t o e n s u r e t h a t t h e w o r k p r o d u c t i s n o t o n l y t e c h n i c a l l y c o r r e c t , b u t a l s o m e e t s t h e
n e e d s a n d e x p e c t a t i o n s o f R C T C . A l l c o m m e n t s a n d / o r c o r r e c t i v e a c t i o n s p r o p o s e d a s p a r t o f
t h e Q A / Q C w i l l b e t r a n s m i t t e d t o R C T C i m m e d i a t e l y a l o n g w i t h t h e c o r r e c t i v e a c t i o n s t o b e
e m p l o y e d .
1 . 2 . 3 C o m m u n i c a t i o n M a n a g e m e n t P l a n
C o n s u l t a n t w i l l d e v e l o p , m a i n t a i n a n d i m p l e m e n t a C o m m u n i c a t i o n M a n a g e m e n t P l a n i n
a c c o r d a n c e w i t h S A F E T E A - L U s e c t i o n 6 0 0 2 a n d C a l t r a n s r e q u i r e m e n t s . C o n s u l t a n t w i l l p r o v i d e
o v e r a l l d a y - t o - d a y p r o j e c t m a n a g e m e n t , c o o r d i n a t i o n , c o m m u n i c a t i o n w i t h R C T C , C a l t r a n s , o t h e r
C o n s u l t a n t s , s u b - C o n s u l t a n t s a n d a l l o t h e r a f f e c t e d a g e n c i e s , a s a p p r o p r i a t e .
1 . 2 . 4 R i s k M a n a g e m e n t P l a n
C o n s u l t a n t w i l l d e v e l o p , m a i n t a i n a n d i m p l e m e n t a R i s k M a n a g e m e n t P l a n .
1 . 2 . 5 R e s o u r c e M a n a g e m e n t P l a n
C o n s u l t a n t w i l l d e v e l o p , m a i n t a i n a n d i m p l e m e n t a R e s o u r c e M a n a g e m e n t P l a n . T h e p l a n w i l l
i n c l u d e s t a f f a n d p r o c u r e m e n t s o f o u t s i d e r e s o u r c e s s u c h a s c o n s u l t i n g s e r v i c e s . T h e p l a n w i l l a l s o
d o c u m e n t t h e r o l e s , r e s p o n s i b i l i t i e s a n d r e q u i r e d t i m e o f t h e t e a m m e m b e r s , i n c l u d i n g R C T C , a n d
C a l t r a n s . T h e p l a n w i l l e n s u r e t h a t a d e q u a t e r e s o u r c e s a r e a s s i g n e d t o a c c o m p l i s h a l l t a s k s a n d t h e
d e l i v e r y d a t e s i n t h e w o r k p l a n .
1 . 2 . 6 S a f e t y P l a n
C o n s u l t a n t w i l l d e v e l o p a n d m a i n t a i n a w o r k s a f e t y p l a n .
D e l i v e r a b l e s :
" W o r k P l a n
" P r o j e c t S c h e d u l e s
" Q u a l i t y M a n a g e m e n t P l a n
" C o m m u n i c a t i o n M a n a g e m e n t P l a n
" R i s k M a n a g e m e n t P l a n
" R e s o u r c e M a n a g e m e n t P l a n
" S a f e t y P l a n
1 . 3 M e e t i n g s
O v e r t h e c o u r s e o f t h e p r o j e c t , n u m e r o u s m e e t i n g s w i l l b e r e q u i r e d t o a d v a n c e t h e p r o j e c t t o P S &