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1 MUNICIPALITY OF ANCHORAGE OFFICE OF EQUAL OPPORTUNITY DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM SPECIFICATIONS FOR MUNICIPAL CONTRACTS For Projects Funded Wholly or in Part by Federal DOT Federal Transit Administration (FTA) Federal Aviation Administration (FAA) Part I: Applications This project is funded wholly or in part with financial assistance from the U.S. Department of Transportation (DOT) through FTA or FAA. It is subject to Anchorage Municipal Code Chapter 7.60 and 49 C.F.R. 26 regarding participation by disadvantaged business enterprises in Department of Transportation programs, and to any other applicable federal and state regulations. The requirements of this program are mandatory. Bidders/Proposers shall be fully informed regarding the requirements of the above regulations. Particular attention is directed to the following matters: A. A bidder/proposer who is not in compliance with the requirements of the applicable regulations or these specifications shall not be awarded this contract. Noncompliance after award of contract constitutes a breach of the contract and may result in termination of the contract or other appropriate remedy for such breach. Part II: Disadvantaged Business Enterprise Goal for This Project The participation goal for this project has been established as a percentage of the dollar amount awarded to the successful bidder/proposer for the project in the amount of % to Small Businesses and DBE companies. Part III: Solicitation of Small Businesses and DBEs The MOA encourages bidders/proposers to actively solicit bids for the subcontracting of services and supplies from qualified certified small businesses and DBEs in order to assist the MOA in meeting its MOA goal stated in these specifications. B. Selecting portions of the work to be performed by small businesses and DBEs in order to increase the likelihood that the MOA goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate small businesses DBE Program Specifications for MOA goals (Rev 01/2015) 1

2 and DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. C. A list of approved certified Small Businesses and DBE contractors may be downloaded from the Alaska Small Business Administration (SBA) website at: sba.gov/advocacy or AUCP DBE Directory and DOT Civil Rights Office: a resource for locating small businesses or DBE firms by work category or by firm name. D. Providing interested small businesses and 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. E. (1) The MOA encourages bidders/proposer s responsibility to make a portion of the work available to small businesses and DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available small business, DBE subcontractors and suppliers so as to facilitate small business and DBE participations. Evidence of such negotiation includes the names, addresses, and telephone numbers of small businesses and DBE s that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence of why additional agreements could not be reached for small businesses or DBEs to perform the work. (2) A bidder/proposer using good business judgment would consider a number of factors in negotiating with subcontractors, including small businesses and 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 small businesses and DBEs is not in itself sufficient reason for a bidder/proposer 's failure to meet the MOA goal, as long as such costs are reasonable (10% or less recommended). 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/proposer of the responsibility of meeting the MOA goal. Prime contractors are not, however, required to accept higher quotes from small businesses or DBEs if the price difference is excessive or unreasonable. ( Reasonable should be considered as a quote that is 10% or less higher than a small business or non-dbe quote). E. Not rejecting small businesses or 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 v 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. F. the MOA encourages Contractors to assist interested small businesses or DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested small businesses or DBEs in obtaining the necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available 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 of small businesses or DBEs. DBE Program Specifications for MOA goals (Rev 01/2015) 2

3 Part IV: Certified Disadvantaged Business Enterprises Eligible to Be Used for DBE Credit on This Project A DBE or a joint venture with a DBE must be currently certified by the Alaska Unified Certification Program (AUCP) or listed on the SBA website prior to opening of bids before credit may be allowed toward the MOA goal. A directory of DBEs certified by the AUCP may be obtained at the Alaska Department of Transportation and Public Facilities, Civil Rights Office, 2200 E. 42 nd Avenue, Anchorage, AK; via mail to that agency at P.O. Box , Anchorage, AK 99519; telephone (907) ; or via the internet at Part V: Credit for DBE Participation Toward Goal for the Project When a small business or DBE participates in a contract, count only the value of the work actually performed by the small business or DBE toward DBE goals. 1. Count the entire amount of the portion of a construction contract that is performed by the small business or DBE s own forces. 2. Count the entire amount of fees or commissions charged by a small business or 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 that the fee is reasonable and not excessive as compared with fees customarily allowed for similar services. 3. When a small business or DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward MOA goals only if the small business or DBE's subcontractor is itself a certified small business or DBE. Work that a small business or DBE subcontracts to a non- small business or DBE firm does not count toward MOA goals. 4. When a small business or DBE performs as a participant in a joint venture, count only the portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the small business or DBE performs with its own forces toward the MOA goals. 5. Count expenditures to a small business or DBE contractor toward MOA goals only if the small business or DBE is performing a commercially useful function on the contract. A small business or 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. 6. Count materials or supplies obtained from a small business or DBE manufacturer at 100% of the cost toward DBE goals. 7. Count materials or supplies obtained from a small business or DBE regular dealer at 60% of the cost toward MOA goals. DBE Program Specifications for MOA goals (Rev 01/2015) 3

4 8. With respect to materials or supplies purchased from a small business or 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 MOA goals, provided the fees are 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 the MOA goals. 9. a. For trucking, the small business or DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract. b. The small business or DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract c. The small business or DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates. The small business or DBE must perform work on the project in the category(s) of work for which certification is issued. While the small business or DBE may perform work in other categories for which certification is not issued, only that work performed in the certified categories will count toward the MOA goal on the project. Part VI: Submission of Disadvantaged Business Enterprise Information to the Purchasing Officer A. The bidder/proposer shall submit a completed Disadvantaged Business Enterprise Statement, Form as part of the bid. BIDS WITHOUT A COMPLETED SIGNED FORM ATTACHED SHALL BE CONSIDERED NON-RESPONSIVE. Bidders: this form is due to the purchasing Office at bid opening. Purchasing will forward this form to the DBE Officer the next business day. Proposers: this form is due in the Purchasing office at submittal of proposal. Purchasing will forward this form to the DBE Officer the next business day. B. All filings of the apparent successful bidder/proposer are public information and may be obtained at a reasonable cost from the Municipality of Anchorage. Other bidders may submit information refuting the apparent successful bidder s claim. Part VII: Disadvantaged Business Enterprise Utilization A. If a successful bidder/proposer for a contract which contains a MOA participation goal at any time after award of contract proposes to remove or make substitutions for small business or DBE subcontractors or joint venture partners under the contract, written notice of such removal or substitution shall be submitted to the DBE Officer prior to commencement of performance of the affected work, with the names, addresses and phone numbers of the subcontractors or joint venture partners to be removed or substituted for and an explanation of the reasons for the removal or substitution. Where such removal or replacement would cause the MOA percentage to fall below the goal set for the project, the MOA shall encourage the successful bidder/proposer to utilize another small business or DBE subcontractors as the replacement. These efforts shall be documented and the circumstances fully explained in writing, and DBE Program Specifications for MOA goals (Rev 01/2015) 4

5 approval obtained from the DBE Officer prior to such replacement. The DBE Officer shall, within seven days of receipt of such notice, approve said notice for removal and substitution where it is shown that the requested action is for good cause and not for discriminatory purposes. B. Form , the 30 day progress report is due by the 15 th of the month following the reporting month. Each contractor shall file a completed Disadvantaged Business Enterprise 30 Day Progress Payment Report Form every 30 days, or with each request for progress payment, whichever is sooner, and with the final request for payment. It is required that each contractor provides proof of payment to all small businesses or DBE s within 7 business days of payment from the Municipality. This form shall be filled out completely and shall be submitted directly to the DBE Officer at the Office of Equal Opportunity. Form form should be completed each month even if there are no payments made that month to DBE s. C. The Office of Equal Opportunity (OEO) DBE Officer shall monitor the contractor's small business or DBE utilization to verify that the work committed to small businesses or DBEs on the Form at time of bid award is actually performed by small businesses and DBE s. Verification of contractor's payments to small businesses or DBE s shall also be monitored by the OEO DBE Officer. No MOA credit will be made toward the contract goal until the payments are actually made to the small business or DBE firms. D. The Municipality encourages the successful bidder/proposer not to require performance and/or payment bonds of their small business or DBE subcontractors.. E. The DBE Officer or designee may visit the job site during regular working hours and interview subcontractors and employees for verification of compliance with these specifications and/or the regulations. Part VIII: DBE Policy and Obligations The following statement is included in the agreement between the Municipality and its contractor on this project and must also be included in each subcontract the prime contractor signs with a subcontractor or supplier on this project. "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." Failure of the contractor or its subcontractors to carry out the requirements set forth above shall constitute a breach of contract and after the notification from the Municipality, may result in termination of the contract by the Municipality or such remedy as the Municipality deems appropriate. Part IX: Prompt Payment Requirement DBE Program Specifications for MOA goals (Rev 01/2015) 5

6 This contract is funded wholly or in part with US DOT money. In accordance with the requirement at 49 C.F.R , the Contractor is required to pay all subcontractors within 30 days after the Contractor receives a payment from the Municipality. Additionally, if retainage is withheld from any subcontractor payments, the Contractor shall return the retainage within 30 days after the subcontractor's work has been satisfactorily completed. Failure of the Contractor to make payments within the time frame specified above may cause future requests for payment by the Contractor to be accompanied by signed statements from all subcontractors stating that they have been paid for satisfactory work previously performed prior to processing the payment request. Part X: Proposer s Registration Information Because this project is funded with US DOT monies, the Municipality is required by DOT federal regulation (49 C.F.R ) to obtain certain information from you as a respondent, whether or not you are the successful bidder/proposer and of those subcontractors who bid to you on this project, whether or not you use them on the project. The required information is shown on Form which is included in this specification. As a bidder/proposer, you are requested to file the completed Form on the same day you submit your bid to the Purchasing Department. Failure to provide this information may result in penalties or a finding of non-responsive. Please file this information directly with the Office of Equal Opportunity. For additional information, contact the DBE Officer, Office of Equal Opportunity, P.O. Box , Anchorage, AK or at the City Hall Building, 632 W. 6th Avenue, Suite 170, Anchorage, AK. The DBE Officer s telephone number is (907) The DBE Officer s fax number is (907) or by at OEO@muni.org. DBE Program Specifications for MOA goals (Rev 01/2015) 6