SR 02-09-1982 11B
,.
. -
~S.~A.JJ.SS.Jn'~d
Counci~ l~eetlng -zt.-::'r-Jary 9,
Sani:a
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9 1112
7-t?-~" 00 2- -S2FEB
1982
?c-
Eayor ane. ClLY
Cou!"1cil
F:K.Or'i.
C~ty Staff
SiJBJICT:
San~a :~onica r~iolcri -';:21 B~~sine s s I:!:yterprise Program
In"t::,oduct:"o;1
Tris reuorr trans~its lnformatlon or. re~uired addltlons ~y the
Calliornla Depar~me~t o~ lransportatlcc; (Cal Trans), an agent
o~ the UnlteG StaTes ~epart~ent of ~ransportation, ~ecessary for
rederal approval of the Ci~y or Sa~Ta r!oDlcals p~eviously adop~ed
~inorlty 3U5lness Enter?rise (~BE) ?~ogram.
~t is Y'ecommended "t~a"t the City or Santa ~ionica adopt the revised
?~iIlO~lty 3usiness :nter?rise Program, in order to mainTain a
co~t~n~ed eligibillty for ~ederal financial assistance.
Bac}cgrC)1J.nd
Toe Ci -cy of Santa J10nica ~~iDori ty nusiness ::=:nteY':?rise Prog::>ar..
adopted alli approved ~y the Clty Caunell unGer A2so1ution ~c.
5386 OTI 0ove~~er 3, 1981, was ~eviewed by Ca~ 7rans and requ~red
certain addlt~ons to the prog~~~ as necessary for T~eir a?p~oval.
At this t~ne the ap?rova~ is necessary fo~ reconstruction of
~ilsDire Boulevard ~roE Ocean Avenue to 21st Street and instal:-
atlon of traffic slg~als a~ var~ous loca~~ons vit~ ?ederal Aid
J:'ba::1 High\-IdYS LlIeds In the anount of -$1,575 r.illlon. '='l-1e
revised M32 program is attached with the following raq~ired
additions.
(The cnanges are indicated on the :':BE prograi'1l by a
line l~ the rlg~t Da~g~~.)
J!.~
fEe 9 101,_._
~
e
~age 2
l.oC2.tlon
Page 2
P-;:r~ 3
- :::lo,-"
Page 3
?age 4-
Page 4-
Page ;)
Page ~
j
Page 7
Page 13
Page. 14
?age 15
.?age 18
?age 20
?eq~ired Addition
Slgnature O~ ~ne Director o~ Ge~eral Services
Parnes of Llaison O~f~cer - John Alschule~
Section v - ?~3LIC NJ~I~ICAT=ON
Sectior. VII - Second ?a~agra]h - Encou~aging
contracLo~ use of minority banks
Section Vr:I - ~he utlllzing of Cal Trans
certlfled ~3E dlrectories
Section X - SELECT=ON C~I~sRIA ?8R C8NTRACTS
~.vI TH 11BL: G.J-L-\LS
Sect~o~ XI - CJNTRACT PROCL~~RES
Section XI: - S~I - ASIDES
Sectlon XVIII - ~ECORDS AN~ REPORTS
Section x~x - CO~Ph~=NIS
..;.nCl.USlon of ORGA~r:LZAIIOfiAL CHAR-:::'
I:lclusiori of A'=~P.;LCHI~El~:r B - ()V~Rft~SL 1'i:SE GC.AL
P:..~~.~~YSI3
Inclusion of Al'IAC~llEE? C - ~lnJORIT:: Bus:=rr::ss
ENIER?RISS REQil=R~S~~S
ReCO;1rrrenda t~on
It is recon~e~ded ~Dat the City CouDell adopt the at~ached
resolution, adc;ting the p~o?osed revised C~ty of Santa l:onica
:-'131:: ?rogra::Il.
Fre?ared by. :oh~ ]alil~
Sta.::1 Sc~oll
:Gcu.g ~""IcP~-:eer
AttacrJJ.em: .
CO?y of Revised Santa Eonica iDE Program
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RESOLUTION NC. 6442(CC5)
(CITY CO~NC=L SERIES)
A RESOLUTION C? THE CITY COUNCIL OF
TFX CITY OF SA~TA ~CNICA A~OPTI~G
THE REVISED S.AJ'!TA iIONICA 21INORITY
BUSINESS ENTE~?RISE P~OGrtA}l
~VP~REAS, recent changes In Federal Rules and
Regulations requlre the City of Santa Monica to adept a
~lnority Business Enterprise Program, in order to be eligible
to receive financial assistance; and
ylliEREAS, the continuing receipt of Federal funds is
essential for current and future expenditures of the City of
Santa Monica; and
~~iEREAS, the participation in Federally-assisted
projects by minority or female-owned businesses is encouraged
by policies incorporated in the Santa Monica Minority 3usiness
Enterprise Program; and
~iBEREAS, certain additions are required by the California
Department of Transportation to the previously adopted Santa
Monica Minority Business Znterprise Progra~ for Federal approval,
NOW, THEREFORE, 7HE CITY COUNCIL OF ~HE CITY Of
SANTA MONICA DO~S RESOLVE AS FOLLOWS:
SECTION l. The re~ised Santa ~onica Minority
Business Enterprise Progra~ attached hereto and incorporated
by reference is hereby adopted.
SECTION 2. The City ~anager lS directed to submit ~he
Revised Santa Monica Minority Business Enterprise Pregram to
appropriate Federal agencies =or rheir approval.
_ e
SECTION 3. The Clty Clerk shall cert~fy to the
adoption of thlS resolution and thenceforth and thereaf~er the
sa~e shall be in force and effect.
APPROVED AS TO FOfu~:
('~ 1M.. ~ .....
City Attorney "
-2-
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ADOPTED AND APPROVED THIS
16th
DAY
OF
February
, 1982.
/~ ~;li ,-'
[)'""sf( ~
(JAYOR
I HEREBY CERTIFY THAT THE FOREGOING RESOLUTION
NO. 6442(CCS}WAS DULY ADOPTED BY THE CITY COUNCIL OF THE
CITY OF SANTA MONICA PT A MEETING THEREOF HELD ON
February 16
, 1982 BY THE FOLLOWING COUNCIL VOTE:
AYES:
COUNCILMEMBERS: Conn, Edwards, Jennings, Press, Reed,
Zane, Mayor Yannatta Goldway
NOES:
COUNCIlMEMBERS: None
ABSENT:
COUNCILMEMBERS: None
ABSTAIN:
COUNCILMEMBERS: None
ATTEST:
~Y)~
CITY CLERK
-1'- - ,-..j
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CITY OF SANTA MONICA
MINORITY BUSINESS ENTERPRISE PROGRAM
FOR FEDERALLY ASSISTED PROJECTS
I. POLICY
The City of Santa Monica (hereinafter called .City"), a
recipient of Federal financial assistance from various Federal
agencies (hereinafter called "Government"), is committed to a
Minority Business Enterprise Program {hereinafter called
"Program"}, in accordance with Federal Regulations issued by the
Department of Transportation (hereinafter called "DOT"), on March
31, 1980, July 3, 1980, and on March 12, 1981, (49 CFR Part 23)
(hereinafter called IIRegulations").
It is the intention of the City that minority business
enterprises shall be afforded every practicable opportunity to
participate in the performance of contracts relating to the
City's Federally-funded projects. The City is determined to
provide opportunities for MBE participation in the competitive
bidding process for the City's contract requirements through the ~
establishment of the procedures outlined herein. This program
shall apply to all Federally funded projects and programs.
It is the policy of the City to establish partiCipation
goals for business enterprises owned and controlled by minorities
and by women, in accordance with the following standards:
A. Goals shall be estabished for minority or women
controlled firms in the following categories:
1) Operating services9 supplies9 materials, and
equipment in programs funded all or in part by
Federal monies (for which an annual overall
participation goal shan apply); and
2) Construction projects fund~d all or in part by
the Government (for which goals snall be set on
a pro j ec t bas f s ) .
B.
Goals snall be based on
awards and the size and
contracts and procurements
year.
projections of contract
nature of the total
estimated for any given
City of Santa Monica
MBE Program
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January 21, 1982
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C. Goals shall be related to the availability of MBE's
who have the capability to perform the types of
services or to furnish the types of procurements
which will satisfy the City's projected contract
needs during the course of a given year.
<~;I <t.. ~ thl.dL~
Stanley E~ll
Director of General Services
City of Santa Monica
MBE Program
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J a n ua ry 21, 1982
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II. OBJECTIVES OF THE MINORITY BUSINESS ENTERPRISE PROGRAM
The objectives of this program are:
A. To identify business enterprises owned and
controlled by minorities and by women which are
qualified to provide the City with required
materials, goods, and services.
B. To develop procedures which will. acquaint
prospective minority business enterprises with the
City's contract activities and requirements.
C. To develop the necessary inter-departmental
relationships within the City which will facilitate
implementation of this program.
O. To assist in the improvement of the economic level
of minority business enterprises in the Santa
Monica Bay Area by providing opportunities for the
award of Government-funded contract work to firms
owned and controlled by minorities and by women.
III. DESIGNATION OF LIAISON OFFICER AND SUPPORT STAFF
The MBE Program shall be administered by the City's
Administrative staff under the direction of the City Manager
(John H. Alschulerl Liaison Officer. Each individual
Government-funded project or program is administered by
departmental administrative staff which will also be responsible
for the day-to-day implementation of the MBE Program as it
relates to particular projects. The City Manager and staff shall
coordinate the overall program.
IV. FOR CONTRACTS
The City shal1 use affirmative action techniques to
facilitate MBE participation in contracting activities.
V. PUBLIC NOTIFICATION
At the time of submittal of this program to the U.S.
Department of Transportation, the City of Santa Monica will
publish a notice in both minority and majority local media. Said
publication shall:
Announce the Cfty of Santa Monica1s overall goals.
Inform the public that the goals and a description
of how they were set, are available for public
inspection for a period of 30 days.
City of Santa Monica
MBE Program
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*
3
January 21, 1982
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Inform the pUblic that both U.S. DOT and the City
of Santa Monica will accept comments on the goals
for 45 days from the date of notice.
The notice shall advise interested parties that
comments are for informational purposes only.
*
In addition to the foregoing, interested minority and
majority contractor organizations will receive direct mailings of
this complete program with a request that they provide written
comments to the City of Santa Monica on this program.
VI. MBE NOTIFICATION
All MBE's on the Caltrans certified MBE listing will
receive appropriate notification of projects scheduled to be
advertised. HBE assistance centers will also receive
notification. All assistance centers funded by the U.S.
Department of Commerce (Minority Business Development
Administration) and designated as State Plan Rooms will receive
complimentary plans and specifications for projects within their
geographical area responsibility.
VII. USE OF BANKS UNDER MBE CONTROL
If the City at any time needs to bank funds received
from Federal agencies, then this MBE Program shall also apply to
the selection of banks for deposit of those funds within the
Santa Monica city limits or such other areas as may be selected
by the City Council. If no such banks exist, then the goal shall
be zero.
The City of Santa Monica will encourage all contractors
to use the services of banks owned and controlled by minorities
or females. This encouragement will be disseminated during
pre-bid and pre-construction conferences (if scheduled) and by
the contract specifications.
VIII.
MBE DIRECTORIES
The City shall maintain and utilize the Caltrans
certified MBE directories of local MBE firms with capabilities
relevant to general contracting requirements and to particular
solicitations. These directories will be available to bidders
and proposers on Government-funded City projects.
City of Santa Monfca
MBE Program
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January 21, 1982
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IX. MBE PROGRAM IMPLEMENTATION
The staff designated under Section III of this procedure
(hereinafter called the "Project Review Committee"), shall
provide individual project review. This group shall assist in
the implementation of this program and make recommendations to
the City Council with respect to the establishment of annual
overall participation goals for the procurement categories of
professional services. supplies, materials, and equipment and
contract participation goals for individual construction
projects. In addition, these designated staff members shall
review all bids submitted for Federally-assisted contracts,
evaluate the MBE participation included in each bid, determine
the eligibility and proper certification of the various MBE's
listed by the bidders for participation in the contract work, and
take all necessary actions to assess the responsiveness of said
bids relative to the applicable MBE requirements for such
contracts. A statement shall be made to the City Manager and the
City Council which presents the compliance of the various bidders
with the applicable MBE requirements and which recommends award
of the SUbject contract to the lowest responsible and responsive
bidder. .
x. SELECTION CRITERIA FOR CONTRACTS WITH MBE GOALS
Every contract containing MBE goals shall be evaluated
by the MBE Liaison Officer or his/her designee to ascertain
bidding contractor1s efforts to attain the MBE goals. The award
of any project with MBE goals must be concurred with by the MBE
Liaison Officer or his/her designee before said contract may be
awarded. Should there be disagreement between City of Santa
Monica functional units concerning contractors' efforts to attain
contract goals for MBE participation, the matter shall be
referred to the Director of General Services or his designee, for
final determination.
Competitors that fail to meet the MBE goals and fail to
demonstrate sufficient reasonable efforts shall not be eligible
to be awarded the contract.
City of Santa Monica
MBE Program
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January 21, 1982
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Any contracts that contain MBE goals, pursuant to this
policy, will be monitored on an ongoing basis by project
personnel during the course of construction. The MBE Liaison
Officer is to be immediately advised of any circumstances wherein
contractor compliance with the MBE provision is questionable.
The contractor shall submit a final report for each project with
MBE goals which includes total payments to the prime contractor
as well as payments the prime contractor has made to MBE
subcontractors, vendors, and suppliers. If the report indicates
the prime contractor has not achieved the project goals, project
personnel shall attach an evaluation, in narrative form, of the
reasons for failure to attain the goals and any corrective action
that was taken.
Prime contractors
Santa Monica personnel of
scheduled progress payments
vendors, or suppliers.
will be required to notify City of
any situation in which regularly
are not made to MBE subcontractors,
Contracts which do not contain specific goals will
contain the following provfsions~
1} "Policy. It is the Dolicy of the City of Santa
Monlca that minority business enterprises as
defined 1n 49 CFR Part 23 shall have maximum
opportunity to participate in the performance of
contracts financed in whole or in part with Federal
funds under this agreement. Consequently, the MBE
requirements of 49 CFR Part 23 apply to this
agreement. II
2) IIMBE Obligation. (i) The recipient or its
contractor agrees to ensure that minority business
enterprises as defined in 49 CRF Part 23 have the
maximum opportunity to participate in the
performance of contracts and subcontracts financed
in whole or in part with Federal funds provided
under this agreement. In this regard. all
recipients or contractors shall take necessary and
~easonable steps in accordance with 49 CFR Part 23
to ensure that minority business enterprises have
the maximum opportunity to compete and perform
contracts. Recipients and their contractors shall
not discriminate on the basis of race, color,
natural origin, or sex in the award and performance
of OOT-assisted cQntracts.~
.
City of Santa Monica
MOE Program
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January 21, 1982
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MBE use on projects without goals will be reported to
the Liaison Officer and will be included in the City's reports to
Caltrans and to the appropriate DOT element. MBE use on such
projects will be counted toward attainment of the overall City.
go a 1 .
XI. CONTRACT PROCEDURE
This plan shall be implemented through the utilization
of contract special provisions which are shown as Attachment C.
Tnese procedures require bidders to submit the names of MBE
subcontractors and supplierst a description of the work each is
to perform or material to be furnishedt and the dollar value of
each subcontract.
XII. SET-ASIDES
. ,
If determined necessary by the MBE Liaison Officert the
City of Santa Monica will consider the use of MBE set-asides as a
tool to ach; eve the overall Ci ty goal.
XI I 1.
MBE PERCENTAGE GOALS FOR THE DOLLAR VALUE OF WORK ON
CONSTRUCTION PROJECTS
MBE goals shall be established by the Project Review
Committee for each construction project. It;s the intention of
the City that the MBE goal for each contract be achieved. Goals
may be established for minority-owned and women-owned firms by
setting percentage ranges, coupled with an overall MBE
participation goal for each project. The contract goal
established for a given project shall be speCified in the
contract specifications.
XIV. AWARD OF CONTRACT
A. General Statement. The City shall award
construction contracts to the lowest responsible
and responsive bidder. A bidder that fails to
achieve the specified MBE goals may be considered
eligible for award of contract only if it can
demonstrate having made sufficient good faith
efforts to meet the goal as outlined in the
regulations. If such efforts cannot be documented
by the bidder. then it shall not be deemed
"responsible" and thereforet shall be ineligible
for award of tne contract.
City of Santa Monica
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January 21t 1982
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B. Determination of Lowest Responsible and Responsive
B1(Jder
1. Evaluation of Bids. After the bid
open1ng, tne- Proj~ct Review Committee
shall evaluate all bid proposals and
required information submitted by bidders
for the contract to determine a
recommendation for award of the contract
to the lowest responsible and responsive
bidder.
2. Eligibility of MBE's. The MBE's listed
by b1dders for participation in the
contract work shall be listed in the
City's MBE directories. The Committee
may also accept MBE's certified by
Federal Government agencies.
3. Determination of Amount of MBE
Participation. The percentage goal as
established" by the Project Review
Committee shall be the standard used to
evaluate whether bidders have satisfied
the MBE contract requirements. A bidder
shall not be credited for exceeding an
~BE goal.
C. Bidders Meeti~g MBE Goals. A bidder shall submit a
written assurance w{th the bid proposal that the
MBE contract goals have been met or that reasonable
efforts have been made to meet the goals. In
additlon~ at the time set in the contract
specifications, the bidder shall also submit all
other information required by the regulations. MBE
subcontractors, suppliers, and manufacturers must
perform a commercially useful function in the work
of the contract in order for their contribution
toward the total contract work to be included in
the MBE contract participation percentages.
o. Bidders Not Meeting MBE Goals. A bidder who does
not meet the MBE goals shall submit a report
documenting that the bidder made sufffcfent
reasonable efforts to meet the goals. This report
shall follow the format outlined in the
regulations.
City of Santa Monica
MBE Program
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January 21, 1982
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E. Recommendation Process for Award of Contract. The
Project Review Committee snaIl review all
information submitted by the bidders and may
request such additional information from a bidder
as may be necessary to determine MBE goal
compliance.
If a bidder does not meet the MBE goal, yet is low bid,
then the Project Review Committee may recommend award of the
contract to said bidder if it can document that a good faith
effort was made to meet the MBE goal as outlined in the
regulations. If such documentation is not submittedJ the Project
Review Committee cannot deem said bidder to be "responsible".
Following the determination by the Project Review
Committee of the lowest responsible and responsive bidder, it
shall prepare a statement on such low bidder's compliance with
the MBE policy for review by the City Council at the time that
the contract award is considered. If the City Council disagrees
with staff's recommendation regarding the responsible low bidder,
it shall reject all bids or refer the matter back to staff for
further evaluation and recommendation. The decision of the City
Council on the award of the contract, if such a decision is made,
shall be final and binding on all parties.
F. Substitution of Subcontractors. If a contractor,
after award, should request the substitution of a
subcontractor pursuant to the Subletting and
Subcontracting Fair Practices Act (California
Government Code Section 4100 et seq.), the
contractor shall replace an MBE subcontractor with
another MBE subcontractor if such action is
necessary to maintain the required level of MBE
participation. In the event that a contractor
having made sufficient reasonable efforts to find a
substitute subcontractor, 1s unable to do so, the
contractor may use a non-MBE subcontra~tor, subject
to the-approval of the City.
xv. MATERIALS~ SUPPLIES, AND PROFESSIONAL SERVICES
A. Goal for Materials, Supplies~ and professional
serV1ces. The City Council, upon recommen~at10n ot
the Project Review Committee, shall establish an
overall goal for MBE participation in the City's
procurement of equipment, material, supplies, and
professional services in programs funded all or in
part by Federal monies. Exhibit S, attached hereto
and incorporated herein by this reference, sets
forth this goal. It is the intention of the City
City of Santa Monica
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January 21, 1982
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that the annual goal be achieved. In establishing
this goa1~ appropriate City staff and the City
Council shall consider the following factors:
1. The overall projection of contract awards
in the particular areas.
2. The availability of firms owned and
controlled by minorities or women in each
category or area of specialty. In
defining the geographic area for
determining availability~ the City. shall
follow the same approach it takes with
respect to non-MBE firms for a type of
procurement.
3. The dollar amount and percentage of
procurement projected to be required from
"sole-source" vendors.
4. A compari son of the goal establ i shed for
the previous year to the actual
percentage utilization for that year and
the experience of the City in obtaining
participation in its procurement and
professional servIces contracts from
firms owned and controlled by minorities
or women.
5. Unique characteristics of the
procurements of equipment~ supplies~
materials~ and professional services
proposed for the following year.
6. Any suggestions and information developed
from the City staff~ industry~ and
professional sources and other public
agencies.
7. Any other relevant criteria.
B. Annual Evaluation. At the end of each fiscal year.
City staff, snaIl review the overall MBE goal for
the procurement category of equipment, materials,
supplies~ and professional services and shall
furnish the City Manager and City Council with a
report documenting the overall percentage
participation of firms owned and controlled by
minorities or women. Also~ this report shall
recommend an overall MBE participation goal for the
new fiscal year.
City of Santa Monica
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January 21~ 1982
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Following this review process, the City Council may
determine that it is necessary or appropriate to review the
preceding year's goal. In such event, the revised goal shall be
submitted to the Government and Exhibit 8 shall be amended
accordingly.
XVI. PROJECTS EXEMPT FROM THIS PROGRAM
XVII.
A.
Vehicle Procurements. The acquisition of
vehicles is categorically exempt from this
Transit
transit
program.
B. Other Projects. In addition, certain other
projects, -may be designated as exempt from this
program. Exemptions may be made in the following
circumstances:
1. Projects in which there are no known MBE
Contractors, subcontractors, or suppliers
who are in the business of supplying the
labor, materials, equipment, or services
sought in a particular procurement or
construction contract.
z. Projects consisting of only one or two
subtrades may be exempt from specific MBE
contract goals due to the fact that
setting participation goals for projects
with such limited opportunitites for
sub-bids could result in restrictive
bidding.
These exemptions do not imply relief from
efforts to solicit MBE bids and sub-bids.
The City will make efforts to solicit
bids from MBE's and require that
contractors solicit MBE sub-bids for
these projects whenever pOSSible.
DEFINITIONS
A.
business
which is
minority
Minority Business Enterprise. A minority
enterprise 1S a sma1 I Dus1ness concern
owned and controlled by one ~r more
persons or by women. \
1. Small Business Concern. A small business
concern shall ~mean an enterprise which is
independently owned and operated and
which is not dominant 1n its field of
operation and which further meets the
criteria established by the Small
Business Administration as set forth in
City of Santa Monica
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January 21, 1982
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Section
U.S.C.A.
implementing
amended.
3 of the Small Business Act (15
Section 632) and the
regulations (13 CFR 212) as
2. Owned and Controlled. Owned and
controlled means a small business concern
whose management and daily business
operations are controlled by minority
persons or by women; and which is (1) a
sole proprietorship legitimately owned by
an individual who is a minority person or
a woman; (2) a partnership or joint
venture in which at least 51 percent of
the beneficial ownership interest
legitimately is held by minority persons
or by women; or (3)a corporation or other
entity, including a publicly owned
business. 1n which at least 51 percent of
the voting interest and 51 percent of the
beneficial ownership interest (i.e.,
stock) legitimately are held and owned by
minority persons or by women.
3. Minority Persons. A minority person is a
parson who is a citizen or lawful
permanent resident of the United States
and who is:
a. Black (a person having origins in any
of the black racial groups of
Africa);
b. Hispanic (a person of Spanish or
Portuguese culture with origins in
Mexico. South or Central America, or
the Caribbean Islands, regardless of
race);
c. Asian American (a person having
origins in any of the original
peoples of the Far East~ Southeast
Asia. the Indian Subcontinent, or the
Pacific Islands); or
d. American Indian and Alaskan Native (a
pe~son having origins in any of the
original peoples of North America).
City of Santa Monica
MBE Program
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January 21, 1982
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e. Members of other groups or other
individuals found to be economically
and socially disadvantaged as defined
below. In determining whether a firm
is economically and socially
disadvantaged, the City shall use the
specific criteria developed by the
Small Business Administration under
Section 8 (a) of the Small Business
Act, as amended (15 Section 637 (a))
and implementing regulations.
{1} Socially disadvantaged individuals
are those who have been subjected
to racial or ethnic prejudice or
cultural bias because of their
identity as a member of a group
without regard to their individual
qualities.
(2) Economically disadvantaged
individuals are those 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 business area
who are not socially disadvantaged.
In determining the degree of
diminished credit and capital
opportunities. the City shall
consider. among other factors, the
assets and net worth of such
socially disadvantaged individuals.
XVIII.
RECORDS AND REPORTS
The MBE Liaison Officer shall maintain such records, and
provide such reports, as are necessary to ensure full compliance
with this policy. Such records and reports shall include, as a
minimum. the following information:
*
Procedures which have been adopted to comply with
this MBE policy.
*
Awards to MBE's.
*
Awards to majority contractors.
Final project reports concerning MBE Utilization.
*
City of Santa Monica
MBE Program
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January 21, 1982
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Such other data as is needed to fully evaluate the
City's compliance with this program.
The MBE Liaison Officer shall submit reports to Caltrans and to
U.S. DOT elements as required. These reports will include:
*
* Number and dollar value of contracts awarded to
MBE's.
*
Description of general categories of contracts
awarded to MBE's.
XIX. COMPLAIMTS
Any complaints received by the City of Santa Monica
concerning this program will be investigated by the City. The
City of Santa Monica will endeavor to resolve said complaints
within 90 days of receipt by the MBe Liaison Officer. The
appropriate DOT element will be furnished a copy of the complaint
and invited to participate in the investigation/resolution. The
DOT element will receive a complete investigative report on the
complaint and will be requested to concur in the proposed
disposition of said complaint.
Contractors will be directed to notify the City of Santa
Monica of any complaints they may receive concerning this
program.
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City of Santa Monica
MBE Program
14
January 21~ 1982
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o R G A N I Z A T ION A L C H ART
CITY COUNCIL
RUTH VANNATTA GOLDWAY, MAYOR
KEN EDWARDS, MAYOR PRO TEMPORE
JAMES P. CONN
WILLIAMS H. JENNINGS
DOLORES M. PRESS
CHRISTINE E. REED
ODIN IS ZANE
I
.
JOHN H. ALSCHULER
CITY MANAGER
MBE LIAISON OFFICER
I
I STANLEY E. SCHOll
n DIRECTDR DF ~E~ERAL SERVICES
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I
JOHN JALILI
ASSISTANT CITY MANAGER
E. DOUGLAS MCATEER
CITY ENGINEER
City of Santa Monica
MBE Program
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January 21, 1982
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EXHIBIT A
SAMPLE AFFIDAVIT FORM
STATE OF
COUNTY (CITY) OF
Affidavit of Minority Business Enterprises
I HEREBY DECLARE AND AFFIRM that I am the
(Title)
and duly authorized representative of
whose address is
(Name of Corpor~tioni
I hereby declare and affirm that as a minority business
enterprise (MBE) as defined by the City of Santa Monica in the
specifications for
(Contract Number and Name)
the above-named firm will provide information requested by said
City to document this fact.
1 DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF
PERJURY THAT THE CONTENTS OF THE FOREGOING ARE TRUE AND CORRECT,
AND THAT I AM AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE
THIS AFFIDAVIT.
(Date)
{Aff1ant)
STATE OF
COUNTY (CITY) Of'
.
.
On this day of , 1982 before me
. the undersigned officer, personally appeared
, known to me to be the person described in
the foregoing Affidavit and acknowledged that he {she} executed
the same in the capacity therein stated and for the purposes
therein contained.
In witness thereof. I hereunto set my hand and official
seal.
(Notary Public)
My Commission Expires
City of Santa Monica
MBE Program
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January 21, 1982
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EXHIBIT B
ANNUAL MBE GOAL FOR THE PROCUREMENT CATEGORY
OF EQUIPMENT~ MATERIALS, SUPPLIES AND
PROFESSIONAL SERVICES
The Cfty.s overall MBE participation goal for the
procurement
category af equipment~ materials, supplies and
professional services for the Fiscal Year 1981-82 shall be 2
percent.
In arriving at this goal, the City has evaluated its
total procurement expenditures, as well as the other factors
enumerated on Pages 6 and 7 of the Program.
As
noted
in
the
Program on Page 3~ the MBE
participation goals for the contract category of construction
work shall be established on a project by project basis.
City of Santa Monica
MBE Program
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January 21~ 1982
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ATTACHMENT B
OVERALL MBE GOAL ANALYSIS
Minority Population: City of Santa Monica = 22$
County of Los Angeles = 47%
Existing Program: The City has adopted its own
MBE Program with an overall
goal as shown below.
ANALYSIS
Analysis of construction contracts awarded by the City during the
preceeding year discloses that only one subcontract, representing
approximately l' in dollar value of all contracts awarded, was
obtained by an individual or firm listed in the current Caltrans
MBE Directory. As the City has not had or administered an MBE
program of its own in the past, it is impossible to determine how
many, if any, of the individuals or firms involved would have
qualified for MBE certification under Federal criteria.
The City of Santa Monica has two major projects eligible for
Federal funding fn this, and the next fiscal year: Reconstruction
of Wilshire Boulevard from Ocean Avenue to Twenty-First Street
(Estimated Cost = $1,584,000), and Installation of New Traffic
Signals and Upgrading of Existing Systems at Various Locations
{Estimated Cost = $270~OOOl. However, plans are not complete for
these projects, so that itemized cost estimates are not available
at this time for the formulation of individual project goals.
In view of the City's lack of data regarding prior MBE awards and
future MBE opportun;ties~ the criteria used to establish Caltrans
overall goals have been used to develop the City's overall goals
as shown below:
Projects
Total Value
M~
Value
F%
Value
over
$l~OOO,OOO
$100~OOO to
$500,000
$1,584~OOO
6%
$ 95~040
2%
$31.680
270,000
$1,854,UUU
7%
18,900
$113~940
3%
8,100
$39,780
Minority Businesses:
Female Businesses:
$113,940 / $1,854,000 = 6.1~
$ 39,780 / $1,854,000 = 2.1%
City of Santa Monica
MBE Program
18 January 21, 1982
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These figures have been adjusted downward slightly to reflect the
prime contractor1s overhead and profit so that the City of Santa
Monica hereby establishes an overall Minority Business Enterprise
goal for the period from October I, 1981 to September 3D, 1982 of
8~: 6~ for minority businss enterprises and 2% for female
business enterprises.
City of Santa Monica
MBE Program
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January 21, 1982
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ATTACHMENT C
MINORITY BUSINESS ENTERPRISE REQUIREMENTS
SECTION 1 - MINORITY BUSINESS ENTERPRISE
This project is subject to Part 23, Title 49, Code of Federal
Regulations entitled "Participation by Minority Business
Enterprise in Department of Transportation Programs." Portions
of tne Regulations are set forth in Section 6-1.05 of the Federal
Requirements for Federal-Aid Construction Projects elsewhere in
these Special Provisions, and the Regulations in their entirety
are incorporated herein by this reference.
Bidders shall be fully informed respecting the reQuirements of
the Regulations; particular attention is directed to the
following matters:
A. A minority Business Enterprise (MBE) must be a
small business concern as defined pursuant to
Section 3 of U.S. Small Business Act;
B. An MBE may participate as a ~rime contractor,
subcontractor, joint venture partner with a prime
or subcontractor, or vendor of material or
supplies;
c. An MBE joint venture partner must be responsible
for a clearly defined portion of the work to be
performed in addition to satisfying requirements
for ownership and control. The MBE joint venturer
must submit Schedule B of the Regulations;
D. An MBE must perform a commercially useful function,
1.e.~ must be responsible for the execution of a
distinct element of the work and must carry out its
responsibility by actually performing, managing,
and supervising the work;
E. Credit for an MBE vendor of materials or supplies
is limited to 20 percent of the amount to be paid
to the vendor for the material unless the vendor
manufactures or substantially alters the goods;
F. A MBE must be certified before credit may be
allowed toward the MBE goal. The Caltrans MBE
Directory identifies MBE's which have been
certified and others which may qualify for
certification. The MBE Directory may be examined
at Santa Monica City >>all, 1685 Main Street, Santa
Monica, California 90401.
City of Santa Monica
MBE Program
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January 2l~ 1982
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G. Noncompliance by the contractor with the
requirements of the regulations constitutes a
breach of this contract and may resul t in
termination of the contract or other appropriate
remedy for such breach.
H. Bidders are encouraged to utilize services offered
by banks owned and controlled by minorities or
women.
SECTION 2 - MBE GOALS FOR THIS PROJECT
The City has established a total Minority Business Enterprise
(MBE) participation goal of 8.2% for this project composed of
6.1% MBE's owned and controlled by minorities and 2.1% owned and
controlled by women.
It is the bidder's responsibility to make a sufficient portion of
the work available to subcontractors and suppliers and to select
those portions of the work or material needs consistent with the
available MBE subcontractors and suppliers, so as to assure
meeting the goal for MBE participation.
SECTION 3 - SUBMISSION OF MBE INFORMATION
The apparent successful bidder (low bidder) shall submit MBE
information to the Office of the City Engineer no later than 5:00
P.M. on Friday of the week following the bid opening. Other
bidders need not submit MBE information unless requested to do so
by the City. When such request is made, the MBE information of
such bidder shall be submitted within one week. The information
shall i net ude:
1 )
Names of MBEls to be used.
description of work or supplies
each and the dollar value of
transaction;
with a complete
to be provided by
each such MBE
NOTE: MBE Subcontractors for signal and lighting
items. if there are such items of work, must
have been named in the bfd--See section
entitled, hSubcontracting" of these Special
Provisions.
2} A "Minority and Female Business Enterprise
Questionnaire" (Schedule A) for each MBE not
already certified;
3} Schedule B for each MBE joint venturer.
City of Santa Monica
MBE Program
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January 21, 1982
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Bidders whose submittal in 1) above indicates they will meet the
stated MBE goal, need not submit any further information, unless
the City in its review finds that the goal has not been met, in
which case, additional information will be requested by the City.
The additional information may be requested to clarify claimed
MBE participation, add MBE participation, or demonstrate that a
good faith effort was made to meet the MBE goal. Such
information shall be submitted promptly upon request by the City.
It is the Bidder's responsibility to meet the goal of MBE
participation or to provide information to establish good faith
efforts to do so. Such information should include the following:
4} The names and dates of advertisement of each
newspaper, trade paper, and minority-focus paper in
which request for MBE participation for this
project was placed by the bidder;
5) The names and dates of notices of all certified
MBE's solicited by direct mail for this project;
6) The items of work for which the bidder requested
subbids or materials to be supplied by MBE's;
7} The names of MBEts who submitted bids for any of
the work indicated in 6) above, which were not
accepted~ the name of the subcontractor or supplier
that was selected for that portion of work~ and the
reasons for bidder's choice. {If the reasons was
price~ give the price bid by subcontractor or
supplier};
8) Assistance that the bidder has extended to MBE's
identified in 7) above to remedy the deficiency in
the MBE's subbids;
9) Any additional data to support a demonstration of
good faith effort~ such as contacts with MBE
assistance agencies.
SECTION 4 - AWARD OF CONTRACT
The award of contract~ if it be awarded, will be to the lowest
responsible bidder whose proposal complies with all the
requirements prescribed and who has met the goal for MBE
participation or has demonstrated, to the satisfaction of the
Cfty~ good faith effort to do so. Meeting the goal for MBE
participation Or demonstrating, to the satisfaction of the City,
good faith efforts to do so is a condition for being eligible for
award of contract_
City of Santa Monica
MBE Program
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January 21~ 1982
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SECTION 5 - MBE RECORDS
The contractor shall maintain records of all subcontracts entered
into with certified MBE and female subcontractors and records of
materials purchased from certified MBE and female suppliers.
Such records shall show the name and business address of each MBE
and fe~ale subcontractor or vendor and the total dollar amount
actually paid each MBE and female subcontractor or vendor.
Upon completion of the contract, a summary of these records shall
be prepared and certified correct by the contractor or his/her
authorized representative, and shall be furnished to the City
Engineer within 30 days after acceptance by the City Engineer.
SECTION 6 - SUBCONTRACTING
Attention is directed to the provisions of Section 2-3,
"SUBCONTRACTS", of the *Standard Specifications, Section 5,
"Minority Business Enterprise Requirements", elsewhere in these
specifications and the Special Provisions.
NOTE: * Refers to "Standard Specifications for Public
Works Construction".
The MBE information furnished under Section
Information", of these Special Provisions
subcontractor information required to be
Section 2-3.
3, qSubmission of MBE
is in addition to the
furnished under said
In accordance with the Federal MBE regulations (Section 23.45 (f)
(2) Part 23, Title 49 CFR):
A. No substitution of an MBE subcontractor shall be
made at any time without the written consent of the
City; and
B. If any MBE subcontractor is unable to perform
successfully and is to b~ replaced, the contractor
will be required to make good faith efforts to
replace the original ~BE subcontractor with another
MBE subcontractor.
The "Subletting and Subcontracting Fair Practices Act"
(Government Code Section 4100-4113, fnc1usive) applies to the
items of signals and lighting and requires subcontractors, if
used for such work, to be listed in the prime contractor's
proposal; prOhibits the substitution of subcontractors, except as
City of Santa Monica
MBE Program
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January 21, 1982
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therein authorized; and provides for penalties for violation of
the Act. Bidders are cautioned that this listing requirement 1s
in addition to the requirement to provide a list of MBE
subcontractors after the opening of the proposals. Each bidder
shall, with respect to the item of signals and lighting, list in
hi s proposal:
1) The name and the location of the place of business
of each subcontractor who will perform work or
labor or render services to the prime contractor in
or about the construction of the work or
improvement, or a subcontractor licensed by the
State of California who, under subcontract to the
prime contractor, specially fabricates and installs
a portion of the work or improvement according to
the detailed drawings contained in the plans and
specifications; in an amount in excess of one-half
of one percent of the prime contractor's total bid.
2) The portion of the work which will be done by each
such subcontractor. Only one subcontractor shall
be listed for such portion.
A sheet for listing the subcontractors~ as required
by the Subletting and Subcontracting Fair Practices
Act, ts included fn the proposal.
City of Santa Monica
MBE Program
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January 21, 1982