caltrans improves mobility across california disadvantaged business enterprise (dbe) certification...

Caltrans Improves Mobility Across California

Disadvantaged Business Enterprise (DBE)Certification Workshop

Presented by

Caltrans Office of Business and Economic Opportunity

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LEARNING OBJECTIVESToday we shall discuss:

Title 49 of the Code of Federal Regulations (49 CFR), Part 26.

Eligibility criteria for the Unified Certification

Program (UCP).

California Unified Certification Program (CUCP).

Benefits of becoming DBE certified.

Caltrans Improves Mobility Across California2

LEARNING OBJECTIVESdiscussed today:

DBE application/certification process.

Applicant’s responsibilities when submitting a DBE application

What to do once you are a certified DBE

Annual Update Affidavit (AUA ) requirements.

How to find a certified firm on the CUCP database.


OBJECTIVE OF 49 CFR, PART 26:(To allow) participation of disadvantaged business enterprises in the Department of Transportation (DOT) Financial Assistance Programs.

To accomplish this, Part 26 seeks:

To ensure nondiscrimination in the award and administration of DOT assisted contracts for highway, transit, and airport programs

To create a level playing field on which DBE’s can compete fairly for DOT assisted contracts

To help eliminate barriers to the participation of DBE firms in DOT assisted contracts.


49 CFR, PART 26 OBJECTIVES (continued):

To ensure that only firms that fully meet the eligibly standards are permitted to participate as a DBE (to be discussed later).

To ensure the DBE program is narrowly tailored* in accordance with applicable law.

*Narrowly tailored is the legal principle that a law be written to specifically fulfill only its intended goals

(selective and specific).


CALIFORNIA UNIFIED CERTIFICATIONPROGRAM (CUCP)

The United States Department of Transportation (USDOT) requires that a Unified Certification Program (UCP), governed by 49 CFR, Part 26, be put into practice by each state.

The purpose of the UCP is to provide “one- stop shopping” of certification services to socially and economically disadvantaged individuals. Caltrans is the statewide agency.


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CUCP CERTIFYING AGENCIES (10) CA Department of Transportation (Caltrans) S.F. Bay Area Rapid Transit (BART) S.F. Municipal Transportation Agency (SFMTA) Santa Clara Valley Transportation Authority (VTA) San Mateo County Transit District (SAMTRANS) Central Contra Costa Transit Authority (CCCTA) City of Fresno Yolo County Transportation District (YOLOBUS) L.A. County Metropolitan Transportation Authority

(METRO) City of Los Angeles

BENEFITS OF BECOMING DBE CERTIFIED

Certification is recognized by 800 local agencies in California, other states and private companies.

Expands opportunities to participate on federally- funded contracts.

Become accessible to prime contractors needing to fulfill DBE participation goal requirements


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BENEFITS OF BECOMING DBE CERTIFIED Increases opportunities to network at events such

as procurement fairs and pre-bids.

Listings in official directories such as the CUCP

database.

DBE APPLICATION PROCESS

North American Industry Classification System (NAICS) codes are required for the application and based on the firm’s primary activity; information included in package. SBA size standards are applicable.

For DBE purposes, the three (3) year annual gross receipts for the firm (including affiliates) cannot exceed $22.41million….period.


DBE ELIGIBILITY CRITERIA

Social and Economic Disadvantage

Business Size Standards

Personal Net Worth

Ownership

Control


SOCIAL AND ECOMOMIC DISADVANTAGE

United States citizens or lawfully admitted permanent residents who are:

Women African Americans Hispanic Americans Native Americans Asian-Pacific Americans Subcontinent Asian Americans Or………..


SOCIAL AND ECOMOMIC DISADVANTAGE

Any individual found to be both socially and economically disadvantage, on a case-by- case basis, by a certifying agency pursuant to the standards of 49 CFR, Part 26, Appendix E.


PERSONAL NET WORTH (PNW) & SIZE STANDARDS

To be eligible for the program, an individual’s personal net worth cannot exceed $1.32 million.

DBE firms are also subject to applicable small business size standards in terms of annual receipts as determined by the United States Small Business Administration (SBA) (cannot exceed $22.41million)


OWNERSHIP

Majority ownership: the firm must be owned and controlled by at least 51 percent by a socially and economically disadvantaged individual or group of individuals.

Ownership must be real, substantial, and continuing; going beyond pro forma ownership of the firm as reflected in the ownership documents.


for sake of; as a matter of form.

OWNERSHIP

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*, and not merely the form of arrangements.

*real, essential, essence


CONTROL

The socially and economically disadvantaged

owner(s) must possess the power to direct or cause the direction of the management and polices of the firm as well as making the day-to-day and long-term decisions on matters of management, policy, and operations (e.g. By-laws, minutes, agreements, licensing, etc).


CONTROL

Only an independent business may be certified as a DBE. An independent business is one that the viability of which does not depend on its relationship with another firm or firms (e.g. personnel, facilities, equipment, financial support, relationships, resources etc. within normal industry practice).


DBE APPLICATION PROCESS

CUCP DBE Application Packages are available online at http://www.dot.ca.gov/hq/bep



http://www.dot.ca.gov/hq/bep/business_forms.htm


Page 2 of 8


Make sure you have submitted everything requested!

Photo ID indicating gender

Duty Statement

DBE APPLICATION CHECKLIST


This page must be completed.

What areas of California do you wish to or can work?

BE REALISTIC

SUPPLEMENTAL QUESTIONAIRE

DBE APPLICATION PROCESSThe Personal Financial Statement (PFS)

The PFS shall be completed by each socially and economically disadvantaged owner that make up the 51percent majority ownership of the firm.

Note if an owner is married, all assets and liabilities for the owner and his/her spouse must be disclosed; however, equity in the primary residence and ownership interest in the applicant’s firm is excluded by the certifying agency.



Married owners must include all assets and liabilities for both owner and his/her Spouse.

Page 2 is where real properties are listed.

Also indicate if figures are for a married couple

PERSONAL FINANCIAL STATEMENT

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PERSONAL FINANCIAL STATEMENT: PAGE 2

Sign & Date

Information regarding your properties owned.

Attach separate sheet if needed.

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NAICS CODE

Resource websites:

www.census.gov/eos/www/naics/

www.naics.com

APPLICANT’S RESPONSIBILITY

The Affidavit of Certification located at the end of the application must be signed, dated, and notarized prior to submitting to a certifying agency.

If you have any questions concerning the application, call 916-324-1700.


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WHAT HAPPENS NEXT?

Your application is assigned to an Analyst.

Analyst reviews and assess eligibility.

A Site Visit is schedule and conducted.

Certification determination completed.

ANNUAL UPDATE AFFIDAVIT

All DBE firms are required to submit an Annual Update Affidavit (aka No Change Declaration, AUA) each year.

The firm’s owner is declaring that there has been no changes affecting the firms ability to meet size standards, disadvantaged status, ownership, or control requirements as per 49 CFR, Part 26.

In addition, the past year’s taxes for the firm

must also be submitted.Caltrans Improves Mobility Across California

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Annual UpdateAffidavit (AUA).

3 steps:

1. 60 day letter

2. 30 day letter

3. Proposal to remove

I AM CERTIFIED! WHAT NOW?

Be Proactive

Educate yourself

Market your firm

Network

Be prepared

Caltrans Office Engineer (OE) webpage: http://www.dot.ca.gov/hq/esc/oe/weekly_ads/all_advertised.php


LEARNING OBJECTIVES

DBE certification process

Annual Update Affidavit (AUA ) requirements.

how to find a certified firm on the California Unified Certification Program (CUCP) database.


OFFICE OF BUSINESS & ECONOMIC OPPORTUNITY

On the web: http://www.dot.ca.gov/hq/bep/

“Analyst of the Day”(916) 324-1700

caltrans improves mobility across california disadvantaged business enterprise (dbe) certification...

Documents

dbe program

dbe certified certification

cucp dbe presentation

participation of dbe

dbe application pr

caltrans office of business

cucp database

cucp certifying agencies