RULE NO: RULE TITLE
40E-7.669: Definitions
40E-7.670: Competitive Solicitation Preferences
40E-7.672: Compliance
40E-7.673: Certification Eligibility - Small Business Enterprise
40E-7.674: Certification Review Procedures
40E-7.675: Recertification Review Procedures
Definitions, Competitive Solicitation Preferences, Compliance, Certification Eligibility - Small Business Enterprise, Certification Review Procedures, Recertification Review Procedures
- NOTICE OF CHANGENotice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol.32,No.08, February 24, 2006 issue of the Florida Administrative Weekly.
The Notice of Change is in response to both the Joint Administrative Procedures Committee's Comments and Public Comment received at our April 12, 2006 Governing Board Meeting. In addition, to the Notice of Change are the forms that will be incorporated by reference. Form No. 0956, SBE Subcontractor Participation Schedule, which is used at the time of submittal of a bid or proposal. The bidder or proposer shall identify all SBE firms which will be utilized as subcontractors. Form No. 0957, Statement of Intent to Perform as a SBE Subcontractor, which is used in all bids or proposals with SBE participation. The SBE subcontractor and the bidder or proposer shall document their intent to establish a business relationship and confirm the SBE participation percentages. Also included are the Small Business Enterprise Application for Certification Form 1231 and the Small Business Enterprise Application for Recertification Form 1232 which will also be incorporated by reference.
40E-7.669 Definitions.
(1) through (3) No change.
(4) Employees means those individuals who received a W-2 from the Applicant. In determining number of employees a business has, the District shall count only those individuals who were supplied a W-2 by the Applicant. Whether employed on a full-time or part-time basis.(4)
(5)Gross Receipts means the total sales for the Applicant as specified in its Federal tax return or if a new company which has not filed a Federal tax returns, in its audited financial statement as referred to in paragraph 40E-7.673(2)(a), F.A.C., before deductions for returned items, allowances, and discounts.(5)
(6)Industry Categories means construction, commodities and services.(6) Prime Contractor means any individual or contracting entity with whom the District has entered into a legally binding agreement for performance or work at a mutually agreed upon price in accordance with agreed upon terms and conditions.
(7) through (8) No change.
(9) District Small Business Enterprise (SBE) means a business certified by the District,
that including affiliates, employs 100 or fewer part and/or full time employees.whose three (3) year average gross receipts including affiliates shall not exceed $13 million if the business provides construction, $5 million if the business provides commodities, and $6 million if the business provides services. Additionally, a District Small Business Enterprise is licensed to do business in the State ofFinally, a District Small Business Enterprise three (3) year average gross receipts shall not exceed $4 million if the business provides construction, $2.5 million if the business provides commodities, and $3 million if the business provides services.Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew_______.
40E-7.670 Competitive Solicitation Preferences.
(1) No change.
(2) Sheltered Market Program.
The District shall
mayprovide for sheltered markets for only SBEs to bid on designated solicitations. The District shall be guided in selecting sheltered market solicitations by selecting industries in which small businesses have usually not had an opportunity to compete for awards against larger businesses. Additionally in order to award a contract in a sheltered market the District must receive responses from at least 3 SBEs. If no bid or response is received for a contract that has been designated for the Sheltered Market, the contract shall be competed pursuant to the Districts Procurement Policy.(3) Subcontracting Requirements.
(a) Bids The District shall set subcontracting goals for all bids based on availability
in the amount of 30% of the total contract amount. Availability refers to registered vendors with the District, including certified Small BusinessTotal Number of District Certified SBEs =Subcontracting Goal Percentage
Total Number of District Registered Vendors
The maximum goal that will be applied to any solicitation will be 25%. Bidders may provide work to one or more District SBEs in order to meet the goal. Any bidder failing to meet the established
30% goal shall be deemed nonresponsive.(b) Proposals For contracts awarded based on an evaluation criteria,
up to 20 of the total evaluation points may be awarded to Prime contractors who subcontract 30% or more of the contract dollar amount to certified SBEs.tThe District shall award points as reflected in Table 7.6-2. The maximum points will be awarded to the proposer if 25% or more of the total project work is performed by SBE firms. Percentages reflect the amount of the total contract value proposed to be assigned to SBE firms.TABLE 7.6-2
EVALUATION POINT TABLE
10
20POINTS FOR SBE PARTICIPATION³25
30% =10
20points³23
7% =9
18points³21
4% =8
16points³19
21% =7
14points³17
18% =6
12points³15% =
5
10points³13
2% =4
8points³11
9% =3
6points³9
6% =2
4points³7
3% =1
2points(c) Failure to submit any of the documentation required herein shall lead to the business submitting a bid or proposal being deemed nonresponsive.(c)
(d)At the time of submittal of its bid or proposal the bidder or proposerprime contractor usingshall identify all SBE firms which will be utilized as subcontractors, by using Form No. 0956, SBE Subcontractor Participation Schedule effective ( ), which is hereby incorporated by reference and which can be obtained from the District upon requeston the contract. All bids or proposals with SBE participation shall include Form No. 0957, Statement of Intent to Perform as a SBE Subcontractor effective ( ), which is hereby incorporated by reference and can be obtained from the District upon request, signed by the SBE subcontractor and the bidder or proposer which confirms their intent to establish a business relationship and confirms the SBE participation percentages. The proof of certification for all SBEs must be submitted to the District at the time of bid or proposal. Failure to submit any of the information required herein shall lead to the bid or proposal being deemed nonresponsive.Additionally the prime contractor must specify what specify work elements each SBE will perform. All prime contractors must submit proof of District certification of the SBEs they plan on using in the bid or proposal by providing a copy of the District certification letter. All SBE proposed tasks must be defined within the scope of work being solicited by completing these two forms: the Schedule of Subcontractor Participation Form and Statement of Intent to Perform as a Subcontractor Form.Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew_______.
40E-7.672 Compliance.
(1) through (3) No change.
(4)
To ensure that all commitments by prime contractors under contracts awarded in which there are SBE subcontractors are met, the prime contractors efforts to meet its commitments throughout the performance of the contract shall be reviewed.The Prime Ccontractor shall advise the District of any situation in which regularly scheduled progress payments are not made to SBE subcontractors.(5) through (6) No change.
Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew_______.
40E-7.673 Certification Eligibility Small Business
District staff shall have the authority to accept, review, approve, certify, decertify and deny applications for SBE certification. An applicant business must be registered with the District as a vendor prior to submitting an application for certification.
(1) Applicant businesses shall submit applications for SBE certification using Form No. 1231, SBE Certification Application effective ( ), which is hereby incorporated by reference and which can be obtained from the District upon request. Mailing addresses must include the number, name of the street, suite number, if any, city and correct zip code. A post office box will not be acceptable absent a street address.
(2) To establish that it is a small business, the applicant shall:
(a) Provide documentation to demonstrate that the three (3) year average gross receipts of the business concern, together with its affiliates, does not exceed $13
4million for Construction, $52.5million for Commodities, and $63million for Services. In determining the gross receipts of the business and its affiliates, the District shall consider the three (3)most recentfederal tax returns,filed by the Applicant for the three (3) years immediately preceding their application.orIif the Applicantbusinesshas not filed three (3) federal income tax returns for the three (3) years immediately preceding their application,the most recent audited financial statements for the business shall be considered.then the Applicant must submit a financial statement, for any of the three (3) years immediately preceding the application in which the Applicant did not file a federal income tax return(s). The financial statement must be prepared by a Certified Public Accountant as defined by Section 473.301, F.S., not employed by the Applicant but retained for the purpose of preparing financial statements for the Applicant. Applicants in business less than one (1) year are to submit an opening balance sheet and income statement for the months in which they were in business.(b) Provide documentation to demonstrate that it employs one hundred (100) or fewer Employees. In determining whether the applicant meets the criteria for a small business, the District shall consider the following documentation:
1. Latest
2. Annual Federal Unemployment Report.
3. Most Current Payroll Ledgers.
(b)
ii. The applicant must demonstrate that it is licensed to do business in the State of(c) The Applicant may only have one (1) business certified with the South Florida Water Management District.
Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew ________.
40E-7.674 Certification Review Procedures.
(1) No change.
(2) Within thirty
sixty(360) days following receipt of the application, the District will request the applicant business to furnish omitted items or additional information, if any. If all requested information is not received by the District within thirty (30) days from the date of the request, the District will return the unprocessed application to the applicant business.(3) An on-site verification review may be conducted by the District upon receipt of the completed application. Failure to cooperate with the scheduling of the on-site review or during the on-site review shall result in the denial of the application.(3)
(4)Applicants determined eligible shall receive certification as an SBE from District staff.This document will state the length of time for which the business will be certified and the areas of business it is certified in.Once certified, an applicant shall remain certified for a period of three (3) years unless the applicant fails to follow this rule and is sanctioned pursuant to the Rule. The District retains the right to re-evaluate the certification of any business at any time.(4)
(5)Applicants determined ineligible shall receive a notification from District staff. Applicants receiving this notification of ineligibility shall not be eligible to submit new applications until 180 days after the date of the notice denying certification.Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew_______.
40E-7.675 Recertification Review Procedures.
(1) Applications for recertification shall be submitted using Form No., 1232 SBE Application for Recertification, effective ( ) which is hereby incorporated by reference and available from the District upon request.
(2) The District will notify SBEs no later than sixty (60) days before the end of the certification period that the SBEs certification is about to expire. If the SBE is unable to use the recertification document because of changes to the applicants business, the SBE shall notify the District in writing of the changes to its company. The District shall determine if the company still complies with the certification criteria set forth in Rule 40E-7.673, F.A.C. Recertification requests must be filed with the District no later than the last effective date of the current certification period.
(3) Upon receipt, all recertification requests shall be given an initial screening to ensure appropriate signature and completeness. Within thirty
sixty(360) days following initial receipt of the applicants recertification request, the District willmayrequest the applicant to furnish omitted or additional information. If the requested information or items are not received by the District within thirty (30) days from the date of the request, the District will deny the application for recertification.(4) An on-site verification review may be conducted by the District upon receipt and review of the recertification request. Failure to cooperate with the scheduling of the on-site review or during the on-site review shall result in the denial of recertification.(4)
(5)Re certification shall be granted when the applicant has complied with this rule and substantiates continued eligibility for SBE status.(5)
(6)Applicants deemed eligible shall receive a recertification letter stating the length of time for which the business has been re-certified and the specialty areas of the business. Once recertified, an applicant shall remain certified for a period of three (3) years unless the District determines that the applicant no longer meets the eligibility requirement of this Rule. The District retains the right to reevaluate the certification of any business at any time.(6)
(7)Applicants determined ineligible for recertification shall receive a letter citing the specific criteria of Rule 40E-7.673(2), F.A.C., that they failed to meet and advising that theyapplicable rules andshall not be eligible to submit new applicationsuntil 180 days after the date of the notice or the Districts final agency order denying recertification.(7)
Specific Authority 373.044, 373.113 FS. Law Implemented 373.1135 FS. HistoryNew__(8)If an application for recertification is timely submitted, an SBE shall remain certified until the District has made a determination concerning eligibility.
