Equal Opportunity Department

1. Equal Opportunity Department Present The Small and Disadvantaged Business Enterprise (SBE/DBE) Certification Workshop

2. WELCOME Staff helping you today…

3. Workshop Objectives In this workshop, we will: • Explain the City’s local SBE and federal DBE Programs • Define the groups eligible to participate in each program • Walk through the certification application • Review the most common mistakes made by applicants • Explain the certification review process • Identify other resources available to small businesses • Answer any questions you might have

4. What is the SBE/DBE Program? The City of Phoenix Small Business Enterprise Program (SBE) is a local program that offers small businesses another avenue of maximizing their potential opportunities of doing business with the City of Phoenix. It isapplicable to procurement and contracting that occurs using City funds and it is only available to firms with a primary or principal location in Maricopa County. The Disadvantaged Business Enterprise Program (DBE) is a federal program applicable to contracts administered by the City but paid for, in part or wholly, by federal funds from the U.S. Department of Transportation. This program is available to firms located throughout the United States that have completed the Arizona Unified Certification Program (AZUCP) process through a statewide one stop process with the City of Phoenix, ADOT, or City of Tucson.

5. What is Certification? • Certification is the process used to determine an applicant’s eligibility to participate in the SBE and/or DBE program • The criteria followed in making the determination is set forth in City and federal regulations • Certification applies to the owner of the business and it is not transferable if the business is sold

6. What are some examples of certified firms? Firms include but not limited to: • Construction Subcontractors- Asphalt, concrete, electrical, HVAC, masonry, roofing • Professional services Architects, lawyers, consultants, engineers • Goods and Services Caterers, office supplies, promotional materials, glass, janitorial supplies

7. What are the benefits of Certification? • Participate in the City’s subcontracting goals program • SBEs are eligible to bid on procurement or general services contracts that reserve competition only among certified SBE firms • Exposure for work opportunities through listing in certification directory • Construction firms are eligible to meet project goals set on contracts funded and/or administered by the City • Private sector firms as well as other government agencies offer opportunities to certified firms

8. What happens once I become certified? • Certified SBE firms appear in the City’s online directory • A certificate is issued to the owner of the certified firm as proof of SBE and/or DBE certification • Certified ACDBE and DBE firms appear in the statewide AZUCP online directory

9. Who can apply for the SBE/DBE Program?

10. What are the requirements for SBE certification?

11. What are the requirements for DBE certification?

12. DBE Program Definitions • Social Disadvantage • Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities. • Economic Disadvantage • Economically disadvantaged individuals are those socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business area who are not socially disadvantaged.

13. How are applications processed? 1. Intake and Review 2. Verification of Documents/Internal review 3. Onsite Interview/Job Site Visit 4. Final Recommendation 5.CERTIFICATION GRANTED or DENIED 6. Certificates Issued or Appeal Rights

14. How can I avoid delays in my application process? • Submit all of the required supporting documents • Include all schedules and attachments with each tax return submitted • Include all additional businesses owned in the PNW statement • Include business valuation(s) for each additional business owned • Include description of additional property owned

15. When does my certification expire? • SBE and DBE certifications expire every five (5) years • Owners must file updated information on an annual basis to maintain certification status • Owners must file applications to renew their certification every five (5) years • Failure to file either the annual update or 5-year renewal will result in removal of certification

16. Where can I go if I need help with the application? • Call the Equal Opportunity Department at (602) 262-6790 to get questions answered or to make an appointment • Spanish-speaking staff is available • Attend monthly certification workshops Citywide

17. Is my information kept safe? • Applicant’s personal and financial information is protected (locked and restricted access only) • We do not disclose information to third parties or other government agencies – unless compelled by law or at applicant’s request • Applicant will be notified

18. Notice to Applicants • The City of Phoenix does not endorse any particular consultant or organization that offers assistance with the City of Phoenix certification applications • The City of Phoenix does not guarantee that certification will be granted based upon assistance provided by a third party • The City of Phoenix offers free technical assistance to individuals applying for certification • Reorganizing an existing business for the purpose of the certification program is a violation of federal and local regulations

19. What is included in the application for certification? Certification Packet contents • Welcome Letter • Schedule of workshops • SBE/DBE Application instructions • SBE/DBE Application • Affidavit of Certification • Personal Financial statement • Personal Financial statement affidavit • Affirmative Action requirements

20. What other documents must I submit with my application? • Supporting documentation includes but is not limited to: • Resumes documenting expertise and education • Business and Individual tax returns for most current 3 year period • License, registrations, certifications • Personal financial statement(s) • Business Structure documents

21. What information must I include in my Personal Financial Statement? • Used to calculate personal net worth (PNW) • PNW means the net value of the assets held by an Individual • If the applicant is married, information regarding all assets held by both parties must be provided • PNW does not include: • • Individual ownership interest in the applicant firm • •Equity in her/his primary home

22. What are the Affirmative Action (AA) Eligibility Requirements ? • Different process than SBE or DBE certification • Must be on file in order to be eligible to transact business with the City • Must renew every 1 to 2 years, depending on the number of employees

23. Questions?Next steps?

24. Resources Loan, Technical and Business Assistance Programs Community Economic Development Department Fatimah Halim: 602-495-0375 Construction Subcontracting Goals Programs Public Works Department (Engineering and Architectural Services) Mark Escobedo: 602-534-2917 phoenix.gov/SBE

25. Resources Business Certification and Construction Monitoring Equal Opportunity Department SBE/DBE Certification: 602-262-6790 Contract Compliance: 602-495-0887 Goods and General Services/Procurement Opportunities Finance Department 602-262-7795 phoenix.gov/SBE

26. Resources Small Business Resource Line 602.534.CITY (2489) phoenix.gov/SBE/