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CITY OF SANTA ROSA’S
FISCAL YEAR 2011 AND FISCAL YEAR 2012 OVERALL ANNUAL DISADVANTAGED
BUSINESS ENTERPRISE (DBE) GOAL

 Executive Summary

An overall annual Disadvantaged Business Enterprise (DBE) goal was developed for DBE participation in the City’s Fiscal Year 2011 and Fiscal Year 2012 Federally-assisted contracts in compliance with revised Federal regulations set forth at 49 C.F.R. Part 26, Participation by Disadvantaged Business Enterprises in U.S. Department of Transportation (DOT) Programs.  The overall annual DBE goal for contracts assisted by the Federal Transit Administration (FTA) is 9.0%.  This goal identifies the relative availability of DBEs based on evidence of ready, willing, and able DBEs in relationship to all comparable businesses which are known to be available to compete in the City’s FTA-assisted contracts.  The overall annual goal reflects staff’s determination of the level of DBE participation which would be expected absent the effects of discrimination.  The goal was published in the media to ensure public participation in the goal-setting process.  Following the public review and comment period, the goal was brought to the City Council for adoption prior to being submitted to FTA for approval.  A discussion of the methodology for developing the goal can be found in the next section.

 FTA Overall Annual DBE Goal

Total contracting for Fiscal Year 2011 and Fiscal Year 2012 is expected to consist of approximately $2,000,000 for one contract assisted by the Federal Transit Administration for the construction of improvements at the Santa Rosa Downtown Transit Mall.  Additional projects may be undertaken if additional funding becomes available via any unanticipated revenues or if the federal transportation legislation is reauthorized with a favorable result for the City of Santa Rosa.  Included in projects which may be funded with Federal Transit Administration dollars are bus stop improvements, Automatic Vehicle Locator System procurement and installation, and various rolling stock projects (not part of this DBE goal).  Any potential contracts would generally fall into the two categories of construction (NAICS #23) and professional services (NAICS #54).

A three-step process was used to establish the goal.  In Step 1, base figures were calculated to determine the relative availability of construction and professional, scientific and technical services firms using the 2006 U.S. Census data for Sonoma County.  This search revealed 2,094 Construction firms (North American Industry Classification System Code 23), and 1,515 Professional, Scientific and Technical Services firms (North American Industry Classification System Code 54) in Sonoma County.   In Step 2, a search of the State of California Department of Transportation’s Office of Civil Rights Disadvantaged Business Enterprise Certification Program (Unified Certification Program) was made (June 2010) to determine overall number of DBE firms certified by Caltrans for work in Sonoma County (Caltrans District 4).  This search revealed 341 construction-related DBE businesses and 841 professional and technical services-related DBE businesses registered with the State for work in Sonoma County.  The information in Step 1 and 2 was found to be insufficient for developing a DBE goal.  Step 3 involved examining the 2002 Survey of Business Owners (formerly “Economic Census Minority- and Women-Owned Businesses”) for the Santa Rosa-Petaluma Primary Metropolitan Statistical Area.  The information found in Step 3 enabled the development of a DBE Goal for Fiscal Year 2011 and Fiscal Year 2012 (see Table 1).   

The 2002 SBO for the Santa Rosa-Petaluma PMSA, released in September 2006, found a total of 5,591 construction firms (NAICS #23) across all categories.  The 2002 SBO was not able to list any construction firms in any of the DBE categories due to either the data not meeting publication standards or the data being withheld at the PMSA level of analysis to avoid disclosing sensitive information about individual companies.  In other words, the number of DBE firms within NAICS #23 and #54 were so small as to render them identifiable on an individual basis. 

The 2002 SBO for the Santa Rosa-Petaluma PMSA found a total of 8,955 firms in the Professional, Scientific and Technical Services category (NAICS #54).  Within that category, in the Santa Rosa-Petaluma PMSA, 2,992 firms are female owned (33%) and 362 firms are Hispanic owned (4%).  In the 2002 SBO for the Santa Rosa-Petaluma PMSA, across all categories of businesses, 34.1% are female-owned and 10.9% are minority-owned.

In addition the above steps, an assessment of known relevant evidence available to the City was analyzed to determine what adjustments, if any, were needed to narrowly tailor the figure in Table 1 to the City’s marketplace.  Actual DBE participation in FTA-assisted City contracts in recent years and in contracts in-progress were considered in adjusting the Table 1 figure.

The search of the 2002 SBO for the Santa Rosa-Petaluma PMSA revealed that approximately 10.9% of all firms in the Santa Rosa PMSA are composed of minority-owned businesses.  Despite what appears to be a lack of specifically owned minority construction firms in the Santa Rosa – Petaluma PMSA, noted above, the City of Santa Rosa Transit Department will use the 9 percent factor as a gauge for letting contracts related to any anticipated Federal Transit Administrated assisted projects in Fiscal Year 2011 and Fiscal Year 2012.

Use of Race-Neutral Methods and DBE Contract Goals

The U.S. DOT regulations require that race-neutral methods be used to the maximum extent feasible to achieve the DBE overall annual goal.  Race-neutral methods include making efforts to assure that bidding and contract requirements facilitate participation by DBE’s and other small businesses; unbundling large contracts to make them more accessible to small businesses; encouraging prime contractors to subcontract portions of the work that they might otherwise perform themselves; and providing technical assistance, communications programs, and other support services to facilitate consideration of DBE’s and other small businesses.  Because of the emphasis placed on race-neutral methods, the City does not propose to set contract-specific DBE goals on contracts to be awarded in Fiscal Year 2011 and in Fiscal Year 2012.  Instead, the City will focus on developing race-neutral methods for facilitating DBE participation.  The City will advise prospective contractors of areas for possible subcontracting, and of the availability of ready, willing, and able subcontractors, including DBE firms, to perform such work.  The City will carefully monitor its progress during the course of the year and may establish contract-specific goals if race-neutral methods do not appear sufficient to achieve the overall annual DBE participation goals for Fiscal Year 2011 and Fiscal Year 2012.  It is anticipated that the DBE goal for FTA-assisted contracts will be achieved through race-neutral methods.

Public Participation in Setting Overall Annual DBE Goals

This report was sent to minority, women’s, and general professional and trade organizations, community organizations, and other officials and organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBE’s, and the City’s efforts to establish a level playing field for the participation of DBE’s.

 Federal regulations require that the City publish a notice in general circulation media, local minority-focused media, and various trade association publications announcing the City’s proposed overall annual goal for Fiscal Year 2011 and Fiscal Year 2012 FTA-assisted contracts.  Such notice must inform the public that the proposed DBE goal and its rationale are available for inspection during normal business hours for a period of thirty (30) days following the date of the notice.  The City and FTA, as the City’s lead agency on behalf of the Department of Transportation, will accept comments on the proposed goal for thirty (30) days from the date of notice. 

 

The City Council is scheduled to formally adopt the overall DBE goal on August 17, 2010.

 

 TABLE 1

City of Santa Rosa - Transit Department

 

RELATIVE AVAILABILITY OF CONSTRUCTION FIRMS

AND PROFESSIONAL, TECHNICAL AND SCIENTIFIC FIRMS

IN THE SANT ROSA-PETALUMA MSA

BASED ON 2002 U.S. CENSUS DATA BY ECONOMIC SECTOR 

Santa Rosa-Petaluma, CA Metropolitan Statistical Area
Table 1. Selected Statistics by Economic Sector: 2002 (Data Released 9/2006)

[NOTE. Data based on the 2002 Economic Census. For information on confidentiality protection, sampling error, nonsampling error, and definitions, see Survey Methodology. Data in this table represent those available when this report was created; data may not be available for all NAICS industries or geographies. Data in this table may subject to employment- and/or sales-size minimums that vary by industry.]

NAICS code

Industry description

Number of
establishments

Sales, shipments, receipts, or revenue
($1,000)

Annual payroll
($1,000)

Number of
employees

All

All – All Firms

48,290

29,948,788

5,700,916

163,538

All

All – Female-owned

(r)15,151

(r)1,507,817

(r)244,771

(r)11,469

All

All – Hispanic or Latino

(r)2,765

(r)462,934

(r)73,403

(r)2,717

All

All – Black or African American

440

62,050

S

S

All

All – American Indian or Alaska Native

567

16,055

D

c

All

All - Asian

1,477

289,213

         S

S

23

Construction – All Firms

5,591

2,697,433

550,744

13,781

23

Construction – Female-owned

S

S

S

S

23

Construction – Hispanic or Latino

S

S

S

S

23

Construction – Black or African American

S

D

D

a

23

Construction – American Indian or Alaska Native

S

S

S

S

23

Construction - Asian

S

D

D

c

54

Professional, scientific & technical services – All Firms

8,955

1,323,162

458,450

8,714

54

Professional, scientific & technical services – Female-owned

2,992

183,643

33,025

952

54

Professional, scientific & technical services – Hispanic or Latino

362

26,259

S

S

54

Professional, scientific & technical services – Black or African American

S

S

S

S

54

Professional, scientific & technical services – American Indian or Alaska Native

S

S

D

a

54

Professional, scientific & technical services - Asian

S

S

D

c

 

Source: U.S. Bureau of the Census, 2002 Economic Census, Published September 2006.
D: Withheld to avoid disclosing data for individual companies; data are included in higher level totals.                 a: 0-19 employees.                            S: Withheld because estimate did not meet publication standards.                                                                                c: 100-249 employees.
r: Revised.


 

PUBLIC NOTICE 

DISADVANTAGED BUSINESS ENTERPRISE (DBE) GOAL

FOR FISCAL YEARS 2011 and 2012 

The City of Santa Rosa in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26, hereby announces its Fiscal Year 2011 and Fiscal Year 2012 goal of 9% for DBE participation on Federal Transit Administration (FTA) assisted contracts. 

The proposed goal and its rationale are available for public review for the next 30 days during normal business hours from 8:30 a.m. to 4:30 p.m., Monday through Friday, at the Transit Operations Building offices at 45 Stony Point Road, Santa Rosa, California, at the Transit Department offices in Santa Rosa City Hall at 100 Santa Rosa Avenue, Room 6, and on our web page at www.srcity.org/citybus.  Written comments will be accepted for 45 days following publication of this notice, with formal adoption of the goal at the August 17, 2010, Santa Rosa City Council meeting.  The City’s Fiscal Year 2011 and Fiscal Year 2012 goal may be adjusted by any comments received. 

Interested parties are encouraged to submit comments to: 

Jim Wright, DBE Liaison Officer
City of Santa Rosa
635 1st  St., 2nd Floor
Santa Rosa, California   95404