Santa Clara Valley Transportation Authority

The Unified Certification Program – Disadvantaged Business Enterprise (DBE)  Mandated by U.S. Dept. of Transportation  Statewide Certification Accepted by Transportation Agencies  Applies to Federally Funded Contracts

Some Agencies Accepting UCP Certification CalTrans CalTrans VTA VTA BART BART SamTrans SamTrans MUNI MUNI City of L.A. City of L.A. Others Statewide Others Statewide

Who is Eligible? Asian Indian Americans Asian Indian Americans Asian Pacific Americans Asian Pacific Americans Black Americans Black Americans Hispanic Americans Hispanic Americans Native Americans Native Americans Women Women Socially & Economically Disadvantaged Persons Socially & Economically Disadvantaged Persons Citizens or Permanent Residents Citizens or Permanent Residents Non-profit organizations are not eligible Non-profit organizations are not eligible

Websites: VTA.org – go to Procurement VTA.org – go to Procurement Californiaucp.com – includes application & link to various agencies in the UCP Californiaucp.com – includes application & link to various agencies in the UCP

Economic Disadvantage Net Worth must be under $750,000 adjusted, for an individual Net Worth must be under $750,000 adjusted, for an individual Does not include primary residence Does not include primary residence Does not include business equity from applicant firm Does not include business equity from applicant firm Retirement accounts are discounted Retirement accounts are discounted Does not include spouse’s community property Does not include spouse’s community property Airport concessionaires might have higher limits Airport concessionaires might have higher limits

Personal Financial Statement It is like your balance sheet: It is like your balance sheet: Assets = Liability and Net Worth Include everything – we will adjust Include everything – we will adjust Real estate and other assets much be at current market value Real estate and other assets much be at current market value Include whether for an individual or for a married couple Include whether for an individual or for a married couple

Caucasian males can be eligible if The Caucasian or nonminority male is socially disadvantaged The Caucasian or nonminority male is socially disadvantaged To be socially disadvantaged, a nonminority male must prove that he has encountered chronic discrimination or prejudice due to a social condition, such as a disability To be socially disadvantaged, a nonminority male must prove that he has encountered chronic discrimination or prejudice due to a social condition, such as a disability

Small Business Requirement Two tests for small business Two tests for small business Must be small business under SBA regulations and Must be small business under SBA regulations and Must be under average of $20.41 million in sales over past three years Must be under average of $20.41 million in sales over past three years Airport concessionaires have much higher standards, usually around $ million Airport concessionaires have much higher standards, usually around $ million

51% Ownership Firm must be at least 51% owned by disadvantaged individuals (usually minorities or women) Firm must be at least 51% owned by disadvantaged individuals (usually minorities or women) Ownership must be real, substantial and continuing Ownership must be real, substantial and continuing Must prove contribution of capital or expertise to acquire majority ownership Must prove contribution of capital or expertise to acquire majority ownership

Daily Control of Operations Disadvantaged owners must control daily operations of firms Disadvantaged owners must control daily operations of firms Must work in firm full-time if firm is full-time business Must work in firm full-time if firm is full-time business Role of nonminority male cannot be disproportionate with ownership interest Role of nonminority male cannot be disproportionate with ownership interest Board of directors must be controlled by disadvantaged owners Board of directors must be controlled by disadvantaged owners Must be an independent business Must be an independent business

Other Information: Site visits are required by regulations Site visits are required by regulations Appeals of denial of certification go to U.S. Dept. of Transportation in D.C. Appeals of denial of certification go to U.S. Dept. of Transportation in D.C. Apply to one agency ONLY in UCP Apply to one agency ONLY in UCP Application process typically take 1-3 months Application process typically take 1-3 months Applications can be expedited for bidding of contracts Applications can be expedited for bidding of contracts

Where to Apply: In general, apply to the agency closest to you, unless you are applying for only airport concessions, then apply to Caltrans or SFO if you are bidding SFO concession In general, apply to the agency closest to you, unless you are applying for only airport concessions, then apply to Caltrans or SFO if you are bidding SFO concession VTA covers Santa Clara, Santa Cruz, Monterey Counties, part of San Benito County, Fremont, Livermore, Pleasanton, Sunol VTA covers Santa Clara, Santa Cruz, Monterey Counties, part of San Benito County, Fremont, Livermore, Pleasanton, Sunol

The Application Fill out completely Fill out completely Have notarized Have notarized List NAICS (workcodes) for only those areas you perform and have expertise in List NAICS (workcodes) for only those areas you perform and have expertise in If you are a certified SBA 8(a) or SDB firm, you may not have to do as much paperwork. We can request your file from SBA. If you are a certified SBA 8(a) or SDB firm, you may not have to do as much paperwork. We can request your file from SBA.

How Certification Helps DBE subcontracting goals are set on contracts DBE subcontracting goals are set on contracts At VTA, DBEs are eligible as SBEs for our SBE program At VTA, DBEs are eligible as SBEs for our SBE program If certified, your firm goes into the UCP Database, maintained by Caltrans If certified, your firm goes into the UCP Database, maintained by Caltrans