HomeMy WebLinkAbout2001-02-20; City Council; 16070; Adopt DBECITY OF CARLSBAD - AGENDA BILL
AB# 1 b&)0 TITLE: ADOPTION OF A DEPT. HD.
DISADVANTAGED BUSINESS ENTERPRISE (DBE) MTG. 2-20-01 PROGRAM FOR JANUARY 2001 THROUGH CITY Al-W &F
SEPTEMBER 2001 DEPT. ENG CITY MGR.
RECOMMENDED ACTION:
Adopt Resolution No. mJ--55 repealing City Council Policy Statement No. 59 and
adopting City Council Policy Statement No. [~a containing the Caltrans model DBE Program.
ITEM EXPLANATION:
The City of Carlsbad is required to have a Disadvantaged Business Enterprise (DBE) Program in place in order to apply for Federal funds for design and/or construction of applicable projects.
Currently, the City utilizes its own DBE Program approved by the City Council in 1996 as City Council Policy Statement No. 59 which was identical to the one formally administered by SANDAG.
In September of 1999, the Federal Government Department of Transportation delegated approval
authority to Caltrans for DBE programs for sub-recipients of Federal-Aid Highway Funds. Based on
the Federal Guidelines, Caltrans in turn developed the new DBE Program that the City Council is
being asked to adopt.
The purpose of having a DBE Program is to ensure that a good faith effort is made to recruit and
retain DBE firms for work on Federally funded (in whole or part) City projects. The intent of the new
DBE Program is to set a “goal” for inclusion of the DBE firms on Federally funded City projects
based on a ratio of available DBE firms to non-disadvantaged firms in the general area.
The new draft Caltrans DBE Program, with certain City modifications, was reviewed by City staff
and submitted to, and approved by, Caltrans in October, 2000. The program sets Carlsbad’s
approved goal for 15%. The goal will be recalculated each year based on factors used in the
present calculation combined with updated DBE participation data as warranted.
The first City project to utilize the new Caltrans DBE Program will be the Ranch0 Santa Fe Road
Improvement Project, of which one-third of the project costs will be Federally funded.
Staff is requesting that the City Council approve Resolution No./?m/ ‘-5.5-repealing City Council
Policy Statement No. 59 and approving City Council Policy Statement No. &which contains, in its
entirety, the new Caltrans DBE Program for January 1, 2001 through September 30, 2001.
ENVIRONMENTAL IMPACT:
The adoption of the DBE Program will not be applicable to environmental review. Each individual
project with affiliation to the DBE Program will complete all environmental reviews within their
individual scope.
FISCAL IMPACT:
If a Caltrans approved program is not in place, the City would lose currently approved, and future apportions of, Federal funds for City projects.
Page 2 of Agenda Bill No. / &, 0 7O
The approved Federal funding for three upcoming Capital Projects totals over eighteen million dollars. The projects are: Ranch0 Santa Fe Widening and Realignment, the Coastal Rail Trail and
the Street Pavement Management Project.
No additional staff will be needed to implement the new DBE Program since staff time is estimated
to remain the same as time spent on past programs and, therefore, would be included in current
personnel budgets.
EXHIBITS:
1. Resolution No. m/--5?6-epealing City Council Policy Statement No. 59 and adopting
City Council Policy Statement No. containing the Caltrans new DBE Program. Ibg
2. City Council Policy Statement No. 6 2 Kaltrans DBE Program.
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II RESOLUTION NO. 2001-55
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
CARLSBAD, CALIFORNIA, REPEALING COUNCIL POLICY
STATEMENT NO. 59 AND ADOPTING THE CALTRANS
DISADVANTAGED BUSINESS ENTERPRISE WE) PROGRAM AS CONTAINED WITHIN CITY COUNCIL POLICY
STATEMENT NO. 62- .
WHEREAS, the Federal Department of Transportation, under the Code of Federal
Regulations, Title 49; Part 23, requires each local government entity receiving Federal
Transportation Funds to implement a Disadvantaged Business Enterprise Program (“DBE
Program”); and
WHEREAS, the DBE Program must be included in any local government contracts which
are wholly or partially funded with Federal Transportation Funds; and
WHEREAS, the City of Carlsbad has, to date, implemented DBE inclusions by procedures
as adopted in Council Policy Statement No. 59; and
WHEREAS, Caltrans has now been entrusted with local agency oversight responsibility
for DBE implementation for all Federal Transportation funded programs, wholly or in part; and
WHEREAS, Caltrans has provided the City of Carlsbad with the authority to utilize
Caltrans’ newly developed DBE Program; and
WHEREAS, by approving this resolution, the City of Carlsbad desires to utilize the
Caltrans DBE Program format for use on any Federal Transportation funded contract; and
WHEREAS, approval of the attached DBE Program will enable the City to receive Federal
funding for existing and future Capital Projects.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad,
California, as follows:
1. That the above recitations are true and correct.
1 2. That the City Council of the City of Carlsbad, California, does hereby repeal City
2 Council Policy Statement No. 59 and adopt City Council Policy Statement No. &3. containing,
3 in full, the new Caltrans DBE Program.
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5 PASSED, APPROVED AND ADOPTED at a regular meeting of the Carlsbad City Council
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held on the
wit:
20th day of February , 2001 by the following vote, to
AYES: Council Members Lewis, Kulchin, Finnila, Nygaard and Hall.
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Al-TEST:
~~~.[UL& 557 m
LORF!AlNE/M. WOOD, City Clerk (SEAL)
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CITY OF CARLSBAD
CITY COUNCIL POLICY STATEMENT
General Subject: CONTRACTING
PROCEDURES
Specific Subject: Caltrans Disadvantaged
Business Enterprise Program
Policy No. L’3
Date Issued 2 - 2 0 -a 00 f
Effective Date d-,, --a@/
Supersedes Council Policv Statement No. 59
Copies to: City Council, City Manager, City Attorney, Department and Division Heads,
Employee Bulletin Boards, Press, File
PURPOSE
To replace Council Policy Statement No. 59 on the utilization of Disadvantaged Business
Enterprise (DBE) firms in the City of Carlsbad with the adoption of the City Council Policy No. 103 containing, in its entirety, the Caltrans Disadvantaged Business Enterprise Program
as required on federally funded projects.
BACKGROUND
Until recently, the City of Carlsbad utilized its own DBE program, Council Policy Statement
No. 59, which was based on the former San Diego Association of Governments (SANDAG)
DBE Policy. However, as of September 1999 the Federal Government Department of
Transportation delegated approval authority to Caltrans for DBE Programs for all contracts that
are recipients of Federal-Aid Highway Funds. Caltrans in turn developed this new DBE program to be titled Council Policy Statement No. la,?.. .
INTRODUCTION
The Caltrans DBE Program is hereby adopted as City Council Policy Statement No. @ and
the DBE Program follows this title sheet in its entirety.
isw/B~~ 2-
Disadvantaged Business Enterprise Program
CITY COUNCIL POLICY STATEMENT NO. 67 d-
DISADVANTAGED
BUSINESS ENTERPRISE
(DBE) PROGRAM
FOR THE
CITY OF CARLSBAD
CALIFORNIA
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26,
and the Model DBE Program as provided in the Caltrans Local Assistance Procedures
Manual Chapter 9.
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Page 1 of 26 City of Carlsbad, CA 6
Disadvantaged Business Enterprise Program
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
City of Carlsbad, California
I Definitions of Terms
The terms used in this program have the meanings defined in 49 CFR 926.5.
II Objectives /Policy Statement (§§26.1,26.23)
The City of Carlsbad has established a Disadvantaged Business Enterprise (DBE) program in
accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26.
The City of Carlsbad has received Federal financial assistance from the DOT, and as a
condition of receiving this assistance, the City of Carlsbad will sign an assurance that it will
comply with 49 CFR Part 26.
It is the policy of the City of Carlsbad to ensure that DBEs, as defined in part 26, have an
equal opportunity to receive and participate in DOT-assisted contracts. It is also our policy:
To ensure nondiscrimination in the award and administration of DOT-assisted contracts;
To create a level playing field on -which DBEs can compete fairly for DOT-assisted
contracts;
To ensure that the DBE Program is narrowly tailored in accordance with applicable law;
To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
To help remove barriers to the participation of DBEs in DOT-assisted contracts; and
To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
Virginia McCoy, Administrative Coordinator - Special Projects, has been delegated as the DBE
Liaison Officer. In that capacity, Ms McCoy is responsible for implementing all aspects of the
DBE program. Implementation of the DBE program is accorded the same priority as
compliance with all other legal obligations incurred by the City of Carlsbad in its financial
assistance agreements with the California Department of Transportation (Caltrans).
The City of Carlsbad has disseminated this policy statement to the City Council of the City of
Carlsbad and all the components of our organization. We have distributed this statement to
DBE and non-DBE business communities that perform work for us on DOT-assisted contracts
by publishing this statement in general circulation, minority-focused and trade association
publications.
Page 2 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
Ill Nondiscrimination (926.7)
The City of Carlsbad will never exclude any person from participation in, deny any person the
benefits of, or otherwise discriminate against anyone in connection with the award and
performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or
national origin.
In administering its DBE program, the City of Carlsbad will not, directly or through contractual
or other arrangements, use criteria or methods of administration that have the effect of
defeating or substantially impairing accomplishment of the objectives of the DBE program with
respect to individuals of a particular race, color, sex, or national origin.
IV DBE Program Updates (s26.21)
The City of Carlsbad will continue to carry out this program until the City of Carlsbad has
established a new goal setting methodology or until significant changes to this DBE Program
are adopted. The City of Carlsbad will provide to Caltrans a proposed overall goal and goal
setting methodology and other program updates by June 1 of every year.
V Quotas ($26.43)
The City of Carlsbad will not use quotas or set-asides in any way in the administration of this
DBE program.
VI DBE Liaison Officer (DBELO) ($26.45)
The City of Carlsbad has designated the following individual as the Disadvanaged Business
Enterprise Liaison Officer (DBELO): Virginia McCoy, City of Carlsbad, Public Works
Department, Engineering Division, 1635 Faraday Avenue Carlsbad, California, 92008, Phone
Number (760) 602-2777, e-mail address, vmcco@ci.carlsbad.ca.us. The DBELO is
responsible for implementing all aspects of the DBE program and ensuring that the City of
Carlsbad complies with all provisions of 49 CFR Part 26. This is available on the Internet at
osdbuweb.dot.gov/main.cfm. The DBELO has direct, independent access to the City Manager
for the City of Carlsbad concerning DBE matters. The DBELO will be supported by the
Planning and Programs Division of the Public Works, Engineering Department, which consists
of a Deputy City Engineer, a Senior Civil Engineer, and five additional staff members which
include an associate engineer, a management assistant and three engineering technicians. It
is the Planning and Programs Division’ primary function to implement important programs such
as the DBE Program. In addition to the Planning and Programs staff, the support of the Public
Works, Engineering Department administrative staff is also available as needed. The
organizational chart displaying applicable staff is shown as Exhibit “A” of this document.
Page 3 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination other appropriate officials. Duties and responsibilities include the following:
1.
2.
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Gathers and reports statistical data and other information as required.
Reviews third party contracts and purchase requisitions for compliance with this
program.
Works with all departments to set overall annual goals.
Ensures that bid notices and requests for proposals are available to DBEs in a timely
manner.
Identifies contracts and procurements so that DBE goals are included in solicitations
(both race-neutral methods and contract specific goals) and monitors results.
Analyzes the City of Carlsbad’s progress toward goal attainment and identifies ways to
improve progress.
Participates in pre-bid meetings.
Advises the City Manager and City Council on DBE matters and achievement.
Chairs the DBE Advisory Committee.
Participates with the City Attorney’s Office and project director to determine contractor
compliance with good faith efforts.
Provides DBEs with information and assistance in preparing bids, obtaining bonding
and insurance.
Plans and participates in DBE training seminars.
Provides outreach to DBEs and community organizations to advise them of
opportunities.
VII Federal Financial Assistance Agreement Assurance ($26.13)
The City of Carlsbad will sign the following assurance, applicable to all FHWA-assisted
contracts and their administration as part of the program supplement agreement for each
project:
Page 4 of 26 City of Carlsbad, CA
Disadvantaged Business Enterwise Program
The recipient shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any DOT-assisted contract or in the administration of its DBE
Program or the requirements of 49 CFR part 26. The recipient shall take all necessary and
reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and
administration of DOT-assisted contracts. The recipient’s DBE Program, as required by 49
CFR part 26 and as approved by DOT, is incorporated by reference in this agreement.
Implementation of this program is a legal obligation and failure to carry out its terms shall be
treated as a violation of this agreement. Upon notjfication to the recipient of its failure to carry
out its approved program, the Department may impose sanctions as provided for under part
26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001
and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).
VIII DBE Financial Institutions
It is the policy of the City of Carlsbad to investigate the full extent of services offered by
financial institutions owned and controlled by socially and economically disadvantaged
individuals in the community, to make reasonable efforts to use these institutions, and to
encourage prime contractors on DOT-assisted contracts to make use of these institutions.
Information on the availability of such institutions can be obtained from the DBE Liaison
Officer. The Caltrans Disadvantaged Business Enterprise Program may offer assistance to
the DBE Liaison Officer.
IX Directory (s26.31)
The City of Carlsbad will refer interested persons to the DBE directory available from the
Caltrans Disadvantaged Business Enterprise Program website at www.dot.ca.gov/hqlbep.
X Overconcentration (526.33)
The City of Carlsbad has not identified any types of work in DOT-assisted contracts that have
an overconcentration of DBE participation. If in the future the City of Carlsbad identifies the
need to address overconcentration, measures for addressing overconcentration will be
submitted to the DLAE for approval.
Xl Business Development Programs ($26.35)
The City of Carlsbad does not have a business development or mentor-protege program. If
the City of Carlsbad identifies the need for such a program in the future, the rationale for
adopting such a program and a comprehensive description of it will be submitted to the DLAE
for approval.
Page 5 of 26 City of Carlsbad, CA
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Disadvantaged Business Enterprise Program
XII Required Contract Clauses (§§26.13,26.29)
Contract Assurance
The City of Carlsbad ensures that the following clause is placed in every DOT-assisted
contract and subcontract:
The contractor 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 recipient deems
appropriate.
Prompt Payment
The City of Carlsbad ensures that the following clauses or equivalent will be included in each
DOT-assisted prime contract:
Satisfactory Performance
The prime contractor agrees to pay each subcontractor under this prime contract for
satisfactory performance of its contract no later than 10 days from the receipt of each payment
the prime contractor receives from the City of Carlsbad. Any delay or postponement of
payment from the above referenced time frame may occur only for good cause following
written approval of the City of Carlsbad. This clause applies to both DBE and non-DBE
subcontractors
Release of Retainage
The prime contractor agrees further to release retainage payments to each subcontractor
within 30 days after the subcontractor’s work is satisfactorily completed. Any delay or
postponement of payment from the above referenced time frame may occur only for good
cause following written approval of the City of Carlsbad. This clause applies to both DBE and
non-DBE subcontractors.
XIII Monitoring and Enforcement Mechanisms ($26.37)
The City of Carlsbad will assign a Resident Engineer (RE) or Contract Manager to monitor and
track actual DBE participation through contractor and subcontractor reports of payments in
accordance with the following:
Page 6 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
After Contract Award
After the contract award the City of Carlsbad will review the award documents for the portion
of items each DBE and first tier subcontractor will be performing and the dollar value of that
work. With these documents the RElContract Manager will be able to determine the work to
be performed by the DBEs or subcontractors listed.
Preconstruction Conference
A preconstruction conference will be scheduled between the RE and the contractor or their
representative to discuss the work each DBE subcontractor will perform.
Before work can begin on a subcontract, the City of Carlsbad will require the contractor to
submit a completed “Subcontracting Request,” Exhibit 16-B of the LAPM or equivalent. When
the RE receives the completed form it will be checked for agreement of the first tier
subcontractors and DBEs. The RE will not approve the request when it identifies someone
other than the DBE or first tier subcontractor listed in the previously completed “Local Agency
Bidder DBE Information,” Exhibit 15-G. The “Subcontracting Request” will not be approved
until any discrepancies are resolved. If an issue cannot be resolved at that time, or there is
some other concern, the RE will require the contractor to eliminate the subcontractor in
question before signing the subcontracting request. A change in the DBE or first tier
subcontractor may be addressed during a substitution process at a later date.
Suppliers, vendors, or manufacturers listed on the “Local Agency Bidder DBE Information” will
be compared to those listed in the completed Exhibit 16-l of the LAPM or equivalent.
Differences must be resolved by either making corrections or requesting a substitution.
Substitutions will be subject to the Subletting and Subcontracting Fair Practices Act (FPA).
Local agencies will require contractors to adhere to the provisions within Subletting and
Subcontracting Fair Practices Act (State Law) Sections 4100-4144. FPA requires the
contractor to list all subcontractors in excess of one half of one percent (0.5%) of the
contractor’s total bid or $10,000, whichever is greater. The statute is designed to prevent bid
shopping by contractors. The FPA explains that a contractor may not substitute a
subcontractor listed in the original bid except with the approval of the awarding authority.
The RE will give the contractor a blank Exhibit 17-F, “Final Report Utilization of Disadvantaged
Business Enterprises, First Tier Subcontractors” and will explain to them that the document will
be required at the end of the project, for which payment can be withheld, in conformance with
the contract.
Page 7 of 26 City of Carlsbad, CA
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Disadvantaged Business Enterprise Program
Construction Contract Monitorinq
The RE will ensure that the RE’s staff (inspectors) know what items of work each DBE is
responsible for performing. Inspectors will notify the RE immediately of apparent violations.
When a firm other than the listed DBE subcontractor is found performing the work, the RE will
notify the contractor of the apparent discrepancy and potential loss of payment. Based on the
contractor’s response, the RE will take appropriate action: The DBE Liaison Officer will
perform a preliminary investigation to identify any potential issues related to the DBE
subcontractor performing a commercially useful function. Any substantive issues will be
forwarded to the Caltrans Disadvantaged Business Enterprise Program. If the contractor fails
to adequately explain why there is a discrepancy, payment for the work will be withheld and a
letter will be sent to the contractor referencing the applicable specification violation and the
required withholding of payment.
If the contract requires the submittal of a monthly truck document, the contractor will be
required to submit documentation to the RE showing the owner’s name; California Highway
Patrol CA number; and the DBE certification number of the owner of the truck for each truck
used during that month for which DBE participation will be claimed. The trucks will be listed by
California Highway Patrol CA number in the daily diary or on a separate piece of paper for
documentation. The numbers are checked by inspectors regularly to confirm compliance.
Providing evidence of DBE payment is the responsibility of the contractor.
Substitution
When a DBE substitution is requested, the RE/Contract Manager will request a letter from the
contractor explaining why substitution is needed. The RE/Contract Manager must review the
letter to be sure names and addresses are shown, dollar values are included, and reason for
the request is explained. If the RE/Contract Manager agrees to the substitution, the
RE/Contract Manager will notify, in writing, the DBE subcontractor regarding the proposed
substitution and procedure for written objection from the DBE subcontractor in accordance
with the Subletting and Subcontracting Fair Practices Act. If the contractor is not meeting the
contract goal with this substitution, the contractor must provide the required good faith effort to
the RE/Contract Manager for local agency consideration.
If there is any doubt in the RE/Contract Manager’s mind regarding the requested substitution,
the RE/Contract Manager may contact the DLAE for assistance and direction.
Page 8 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
Record Keeping and Final Report Utilization of Disadvantaged Business Enterprises
The contractor shall maintain records showing the name and address of each first-tier
subcontractor. The records shall also show:
1. The name and business address, regardless of tier, of every DBE subcontractor, DBE
vendor of materials and DBE trucking company.
2. The date of payment and the total dollar figure paid to each of the firms.
3. The DBE prime contractor shall also show the date of work performed by their own forces
along with the corresponding dollar value of the work claimed toward DBE goals.
When a contract has been completed the contractor will provide a summary of the records
stated above. The DBE utilization information will be documented on Exhibit 17-F and will be
submitted to the DLAE attached to the Report of Expenditures. The RE will compare the
completed Exhibit 17-F to the contractor’s completed Exhibit 15-G and, if applicable, to the
completed Exhibit 16-B. The DBEs shown on the completed Exhibit 17-F should be the same
as those originally listed unless an authorized substitution was allowed, or the contractor used
more DBEs and they were added. The dollar amount should reflect any changes made in
planned work done by the DBE. The contractor will be required to explain in writing why the
names of the subcontractors, the work items or dollar figures are different from what was
originally shown on the completed Exhibit 15-G when:
l There have been no changes made by the RE.
l The contractor has not provided a sufficient explanation in the comments section of the
completed Exhibit 17-F.
The explanation will be attached to the completed Exhibit 17-F for submittal. The RE will file
this in the project records.
The City of Carlsbad’s Liaison Officer will keep track of the DBE certification status on the
Internet at www.dot.ca.gov/hq/bep and keep the RE informed of changes that affect the
contract. The RE will require the contractor to act in accordance with existing contractual
commitments regardless of decertification.
The DLAE will use the PS&E checklist to monitor the City of Carlsbad’s commitment to require
bidders list information to be submitted to the City of Carlsbad from the awarded prime and
subcontractors as a means to develop a bidders list. This monitoring will only take place if the
bidders list information is required to be submitted as stipulated in the special provisions.
The City of Carlsbad will bring to the attention of the DOT through the DLAE any false,
fraudulent, or dishonest conduct in connection with the program, so that DOT can take the
steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT
Inspector General, action under suspension and debarment or Program Fraud and Civil
Penalties rules) provided in $26.109. The City of Carlsbad also will consider similar action
under our own legal authorities, including responsibility determinations in future contracts.
Page 9 of 26 City of Carlsbad, CA
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Disadvantaged Business Enterprise Program
XIV Overall Goals ($26.45)
Amount of Goal
The City of Carlsbad’s overall goal for the Federal fiscal year FY 2000-2001 is the following:
15% of the Federal financial assistance in FHWA-assisted contracts. This overall goal is
broken down into 10% race-conscious and 5% race-neutral components.
Methodoloav
See Attachment A to Exhibit 9-B, Annual Overall Goal Information for complete
Methodology formulization.
Breakout of Estimated Race-Neutral and Race-Conscious Participation
See Attachment B to Exhibit 9-B, Annual Overall Goal Information for listing of
procedures, which will be in effect for all contracts or proposals financed in part or in whole
with Federal funding.
Process
Starting with the Federal fiscal year 2002, the amount of overall goal, the method to calculate
the goal, and the breakout of estimated race-neutral and race-conscious participation will be
required annually by June 1 in advance of the Federal fiscal year beginning October 1 for
FHWA-assisted contracts. Submittals will be to the Caltrans’ DLAE. An exception to this will
be if FTA or FAA recipients are required by FTA or FAA to submit the annual information to
them or a designee by another date. FHWA recipients will follow this process:
Once the DLAE has responded with preliminary comments and the comments have been
incorporated into the draft overall goal information, the City of Carlsbad will publish a notice of
the proposed overall goal, informing the public that the proposed goal and its rationale are
available for inspection during normal business hours at the City of Carlsbad’s principal office
for 30 days following the date of the notice, and informing the public that the City of Carlsbad’s
comments will be accepted on the goals for 45 days following the date of the notice.
Advertisements in newspapers, minority focus media, trade publications, or websites will be
the normal media to accomplish this effort. The notice will include addresses to which
comments may be sent and addresses (including offices and websites) where the proposal
may be reviewed.
The overall goal resubmission to the Caltrans DLAE, will include a summary of information and
comments received during this public participation process and the City of Carlsbad’s
responses. This will be due by September 1 to the Caltrans DLAE. The DLAE will have a
month to make a final review so the City of Carlsbad may begin using the overall goal on
October 1 of each year.
Page 10 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
XV Contract Goals ($26.51)
The City of Carlsbad will use contract goals to meet any portion of the overall goal the City of
Carlsbad does not project being able to meet by the use of race-neutral means. Contract goals
are established so that, over the period to which the overall goal applies, they will cumulatively
result in meeting any portion of the overall goal that is not projected to be met through the use
of race-neutral means.
Contract goals will be established only on those DOT-assisted contracts that have
subcontracting possibilities. Contract goals need not be established on every such contract,
and the size of contract goals will be adapted to the circumstances of each such contract (e.g.,
type and location of work, availability of DBEs to perform the particular type of work). The
contract work items will be compared with eligible DBE contractors willing to work on the
project. A determination will also be made to decide which items are likely to be performed by
the prime contractor and which ones are likely to be performed by the subcontractor(s). The
goal will then be incorporated into the contract documents. Contract goals will be expressed
as a percentage of the total amount of a DOT-assisted contract.
XVI Transit Vehicle Manufacturers (326.49)
If DOT-assisted contracts will include transit vehicle procurements, the City of Carlsbad
will require each transit vehicle manufacturer, as a condition of being authorized to bid
or propose on transit vehicle procurements, to certify that it has complied with the
requirements of 49 CFR Part 26, Section 49. The City of Carlsbad will direct the transit
vehicle manufacturer to the subject requirements located on the Internet at
http://osdbuweb.dot.gov/programs/dbe/dbe.htm.
XVII Good Faith Efforts ($26.53)
Information to be Submitted
The City of Carlsbad treats bidders’/offerors’ compliance with good faith effort requirements as
a matter of responsiveness. A responsive proposal is meeting all the requirements of the
advertisement and solicitation.
Each solicitation for which a contract goal has been established will require the
bidders/offerors to submit the following information to the Purchasing Officer, City of Carlsbad,
1635 Faraday Avenue, Carlsbad, CA 92008 no later than 4:00 p.m. on or before the fourth
day, not including Saturdays, Sundays and legal holidays, following bid opening:
I. The names and addresses of known DBE firms that will participate in the contract;
2. A description of the work that each DBE will perform:
3. The dollar amount of the participation of each DBE firm participation:
Page 11 of 26 City of Carlsbad, CA
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Disadvantaged Business Enterprise Program
Written and signed documentation of commitment to use a DBE subcontractor whose
participation it submits to meet a contract goal;
4. Written and signed confirmation from the DBE that it is participating in the contract as
provided in the prime contractor’s commitment; and
5. If the contract goal is not met, evidence of good faith efforts.
Demonstration of Good Faith Efforts
The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can
demonstrate that it has done so either by meeting the contract goal or documenting good faith
efforts.
The following City Staff are responsible for determining whether a bidder/offeror who has not
met the contract goal has documented sufficient good faith efforts to be regarded as
responsive: The City DBE Officer, 1635 Faraday Avenue, Carlsbad, California, 92008, email
address vmcco@ci.carlsbad.ca.us, or the Senior Engineer, 1635 Faraday Avenue, Carlsbad,
California, 92008, email address cloyaci.carlsbad.ca.us, or the City Purchasing Officer, 1635
Faraday Avenue, Carlsbad, California, 92008, email address rflet@@ci.carlsbad.ca.us,
The City of Carlsbad will ensure that all information is complete and accurate and adequately
documents the bidder/offeror’s good faith efforts before a commitment to the performance of
the contract by the bidder/offeror is made.
Administrative Reconsideration
Within IO days of being informed by the City of Carlsbad that it is not responsive because it
has not documented sufficient good faith efforts, a bidder/offeror may request administrative
reconsideration. Bidder/offerors should make this request in writing to the following
reconsideration official: the City Manager, 1200 Carlsbad Village Drive, Carlsbad, California,
92008,The reconsideration official will not have played any role in the original determination
that the bidder/offeror did not make document sufficient good faith efforts.
As part of this reconsideration, the bidder/offeror will have the opportunity to provide written
documentation or argument concerning the issue of whether it met the goal or made adequate
good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with
the reconsideration official to discuss the issue of whether it met the goal or made adequate
good faith efforts to do. The City of Carlsbad will send the bidder/offeror a written decision on
reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or
make adequate good faith efforts to do so. The result of the reconsideration process is not
administratively appealable to Caltrans, FHWA or the DOT.
Page 12 of 26 City of Carlsbad, CA i-7
Disadvantaged Business Enterprise Program
Good Faith Efforts when a DBE is Replaced on a Contract
The City of Carlsbad will require a contractor to make good faith efforts to replace a DBE that
is terminated or has otherwise failed to complete its work on a contract with another certified
DBE, to the extent needed to meet the contract goal. The prime contractor is required to notify
the RE immediately of the DBE’s inability or unwillingness to perform and provide reasonable
documentation.
In this situation, the prime contractor will be required to obtain the City of Carlsbad’s prior
approval of the substitute DBE and to provide copies of new or amended subcontracts, or
documentation of good faith efforts. If the contractor fails or refuses to comply in the time
specified, the City of Carlsbad’s contracting office will issue an order stopping all or part of
payment/work until satisfactory action has been taken. If the contractor still fails to comply, the
contracting officer may issue a termination for default proceeding.
XVIII Counting DBE Participation ($26.55)
The City of Carlsbad will count DBE participation toward overall and contract goals as
provided in the contract specifications for the prime contractor, subcontractor, joint venture
partner with prime or subcontractor, or vendor of material or supplies.
XIX Certification ($26.83(a))
The City of Carlsbad ensures that only DBE firms currently certified on the Caltrans’ directory
will participate as DBEs in our program.
XX Information Collection and Reporting
Bidders List
The City of Carlsbad will create and maintain a bidders list, consisting of information about all
DBE and non-DBE firms that bid or quote on its DOT-assisted contracts. The bidders list will
include the name, address, DBE/non-DBE status, age, and annual gross receipts of firms.
Monitoring Payments to DBEs
Prime contractors are required to maintain records and documents of payments to DBEs for
three years following the performance of the contract. These records will be made available
for inspection upon request by any authorized representative of the City of Carlsbad, Caltrans
or FHWA. This reporting requirement also extends to any certified DBE subcontractor.
Payments to DBE subcontractors will be reviewed by the City of Carlsbad to ensure that the
actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the
schedule of DBE participation.
Page 13 of 26 City of Carlsbad, CA
E3
Disadvantaged Business Enterprise Program
Reporting to Caltrans
The City of Carlsbad’s - Final utilization of DBE participation will be reported to the DLAE using
Exhibit 17-F of the Caltrans’ LAPM.
Confidentiality
The City of Carlsbad will safeguard from disclosure to third parties information that may
reasonably be regarded as confidential business information, consistent with Federal, state,
and local laws.
..------ -4 /$i&/&Q -‘&&..L&&-
Ray Patchett, City Manager
Approved to Form
Ronald R. Ball, City Attorney
Date: /{+c3
Date: /amaao8 d
This Disadvantaged Business Enterprises Program is accepted by:
44$&T
[sgna$re of DLAE] Date: / /2t/o( I I
Page 14 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
APPENDIX A TO PART 26 -- GUIDANCE CONCERNING GOOD FAITH EFFORTS
I. When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder
must, in order to be responsible and/or responsive, make good faith efforts to meet the
goal. The bidder can meet this requirement in either of two ways. First, the bidder can
meet the goal, documenting commitments for participation by DBE firms sufficient for
this purpose. Second, even if it doesn’t meet the goal, the bidder can document
adequate good faith efforts. This means that the bidder must show that it took all
necessary and reasonable steps to achieve a DBE goal or other requirement of this
part, which, by their scope, intensity, and appropriateness to the objective, could
reasonably be expected to obtain sufficient DBE participation, even if they were not fully
successful.
II. In any situation in which you have established a contract goal, part 26 requires you to
use the good faith efforts mechanism of this part. As a recipient, it is up to you to make
a fair and reasonable judgment whether a bidder that did not meet the goal made
adequate good faith efforts. It is important for you to consider the quality, quantity, and
intensity of the different kinds of efforts that the bidder has made. The efforts employed
by the bidder should be those that one could reasonably expect a bidder to take if the
bidder were actively and aggressively trying to obtain DBE participation sufficient to
meet the DBE contract goal. Mere pro forma efforts are not good faith efforts to meet
the DBE contract requirements. We emphasize, however, that your determination
concerning the sufficiency of the firm’s good faith efforts is a judgment call: meeting
quantitative formulas is not required.
III. The Department also strongly cautions you against requiring that a bidder meet a
contract goal (i.e., obtain a specified amount of DBE participation) in order to be
awarded a contract, even though the bidder makes an adequate good faith efforts
showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. --
IV. The following is a list of types of actions which you should consider as part of the
bidder’s good faith efforts to obtain DBE participation. It is not intended to be a
mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or
types of efforts may be relevant in appropriate cases.
A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid
meetings, advertising and/or written notices) the interest of all certified DBEs who
have the capability to perform the work of the contract. The bidder must solicit
this interest within sufficient time to allow the DBEs to respond to the solicitation.
The bidder must determine with certainty if the DBEs are interested by taking
appropriate steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the
likelihood that the DBE goals will be achieved. This includes, where appropriate,
breaking out contract work items into economically feasible units to facilitate
DBE participation, even when the prime contractor might otherwise prefer to
perform these work items with its own forces.
Page 15 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
C. Providing interested 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.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder’s responsibility
to make a portion of the work available to DBE subcontractors and suppliers and
to select those portions of the work or material needs consistent with the
available DBE subcontractors and suppliers, so as to facilitate DBE participation.
Evidence of such negotiation includes the names, addresses, and telephone
numbers of DBEs that were considered; a description of the information provided
regarding the plans and specifications for the work selected for subcontracting;
and evidence as to why additional agreements could not be reached for DBEs to
perform the work.
(2) A bidder using good business judgment would consider a number of factors
in negotiating with subcontractors, including 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 DBEs is not in itself sufficient reason for a bidder’s failure to meet the
contract DBE goal, as long as such costs are reasonable. 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 of the responsibility to make good faith
efforts. Prime contractors are not, however, required to accept higher quotes
from DBEs if the price difference is excessive or unreasonable.
E. Not rejecting 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 vs. 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. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or
insurance as required by the recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment,
supplies, materials, or related assistance or services.
H. Effectively using the services of available minority/women community
organizations; 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 and placement
of DBEs.
Page 16 of 26 City of Carlsbad, CA
Disadvantaged Business Enterwise Program
V. In determining whether a bidder has made good faith efforts, you may take into account the
performance of other bidders in meeting the contract. For example, when the apparent
successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise
the question of whether, with additional reasonable efforts, the apparent successful bidder
could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or
exceeds the average DBE participation obtained by other bidders, you may view this, in
conjunction with other factors, as evidence of the apparent successful bidder having made good
faith efforts.
day Patchett, City Manager Date: &h@
This Disadvantaged Business Enterprise Program for design-build contracts is accepted by:
[Signature of DLAE] Date:
Page 17 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
A.
B.
C.
D.
E.
APPENDIX C
RESOLUTION OF THE (Agency Name) REGARDING
NECESSITY OR EMERGENCY FOR SUBSEQUENT
SUBCONTRACTOR IDENTIFICATION
(REQUIRED BY PUBLIC CONTRACT CODE SECTION 4109
ENTITLED “Public Emergency Grounds For Change”)
EXPLANATION OF PUBLIC NECESSITY OR EMERGENCY:
FACTS CONSTITUTING THE PUBLIC NECESSITY OR EMERGENCY:
FINDINGS:
RESOLUTION FOR SUBSEQUENT IDENTIFICATION OF
SUBCONTRACTORS:
CERTIFICATE OF SECRETARY
1. MOTION MADE AND DATE
2. VOTING RESULTS
3. SIGNATURES:
(a) (Secretary)
(b) (Chairperson)
Page 18 of 26 City of Carlsbad, CA
23
Disadvantaged Business Enterprise Program
Page 19 of 26 City of Carlsbad, CA
zpp
SEE EXHIBIT 9-B OF COVER LETTER
(Agency Letterhead)
ANNUAL OVERALL GOAL INFORMATION
TO: CALTRANS DISTRICT
District Local Assistance Engineer
The amount of overall goal, methodology, breakout of estimated race-neutral and race-conscious
participation, and any DBE program updates are presented herein in accordance with Title 49 of the
Code of Federal Regulations Part 26, and as described in the Local Assistance Procedures Manual.
The City/County/Region of
submits our annual overall goal information (and any needed updates of our DBE program) for your
review and comment. We [propose]’ [have establishedI an annual overall DBE goal of %
for the Federal Fiscal Year I , beginning on and ending on
Methodoloov
[Before working on this section, refer to the two step process and choice of methods discussed in
Chapter 9 of the Local Assistance Procedures Manual.]
Breakout of Estimated Race-Neutral and Race-Conscious Participation
[Before working on this section, refer to the race-neutral and race-conscious discussion in Chapter 9
of the Local Assistance Procedures Manual.]
DBE Program Updates
[Include in this section any changes to the approved DBE program]
DBE Liaison Officer Date
’ To be used for submittal due June 1 of every year.
2 To be used for submittal due September 1 of every year.
Page 20 of 26 City of Carlsbad, CA 2-5”
Disadvantaged Business Enterprise Program
Page 21 of 26 City of Cartsbad, CA
Disadvantaged Business Enterprise Program
GUIDELINES FOR CIVIL RIGHTS COMPLIANCE REVIEWS OF LOCATION
PROCEDURES
GENERAL
In accordance with Title VI and Title VIII of the Civil Rights Act of 1964 and 1968,
local agencies are required to follow certain location procedures on Federal-aid
highway projects. This guideline may be used to suggest areas for review.
1. As a result of the choice of highway locations or the procedures used in
arriving at the choice, has the Agency, State, or Federal Highway
Administration received any civil rights complaints? If so, what were the
complaints and what has been done to resolve them?
2.a. To what extent does the agency employ minority staff personnel in the
location program under review? Are these personnel involved in the
following:
l Developing and comparing alternatives,
l Assessing impacts, and
l When used, operating through consultant contracts?
Are they involved in any other related areas? If not, what is being done to
recruit and hire minority personnel?
2.b. What training or education sessions are conducted to increase the skills of
minorities as well as non-minorities? Are promotional opportunities
available for minorities? Does the Agency fill professional as well as
nonprofessional positions with minorities? If not, what is being done to
rectify these situations?
3. Does the Agency choose consultant firms without discrimination on the
basis of race, sex, color, or national origin? Is there evidence that minority
consultant and consultants with minority staffs offered equal employment
opportunity? How many of these firms have contracts and what type are
they?
4. Does the process for preparation of Environmental Impact Statements, or
do the Environmental Impact Statements themselves, reflect any indication
of a violation of any of the provisions of Title VI or Title VIII? If so,
elaborate.
Page 22 of 26 City of Carlsbad, CA
2-7
Disadvantaged Business Enterprise Program
LOCATION DETERMINATION
When reviewing the process leading to location determination on a specific
project, the following questions are to be used:
1 .a.
1 .b.
1 .c.
1 .d.
2.
3.
4.
5.
6.
7.
To what extent has the agency or consultant compiled the following
information for use in the location determination?
The racial character of the portion of the area through which the alternate
locations pass, including the approximate number by race of persons and
families affected by each alternate (affected means all persons directly
displaced or located in areas directly adjoining the road.)
The social and economic character of the area through which alternates
pass, including levels of income, whether the area is commercial or
residential, and the approximate number of minority and non-minority
owners of businesses and residences in the area.
The racial character of the people employed in the area affected- by each
alternate.
How was the racial and ethnic data used to identify possible problem
areas and adverse impacts, such as relocation difficulties or possible
changes in minority income capabilities, mobility, or community cohesion?
What efforts have been made to rectify these problem areas and minimize
the adverse impacts?
Will a minority area be bypassed or separated from contiguous areas by
an of the alternatives, and if so, what effect will this have on the minority
community? To what extent will it perpetuate patterns of segregation?
How will each of the alternates affect the use of various community
facilities and services such as hospital, libraries, shopping areas, fire
stations, police installations, schools, churches, parks and recreation
centers by minority groups in the area?
To what extent will each of the locations produce an adverse effect of
residential, commercial and industrial development existing or planned
within minority communities?
What attempt has the Agency made to satisfy minority community
planning goals and needs? To what extent were the goals and needs
determined utilizing input from the minority community?
Have the gradeline, safety considerations, cross-street treatment,
pedestrian overpasses, and other design features been established for
alternatives to the same degree in minority areas as in nonminority
areas?:
Page 23 of 26 City of Carlsbad, CA
Disadvantaged Business Enterprise Program
8. Is access to and from the various alternates provided without
discrimination?
9. Would the alternates have an effect on traffic volumes on adjacent streets
within minority communities? To what extent has the Agency studied the
effect of increased or decreased traffic on residences and businesses?
10. To what extent have aesthetics, noise, and air quality been considered
within minority communities?
11. Has all the above information been adequately tabulated and mapped for
use in the location determination?
COMMUNITY PARTICIPATION
In any review of projects, a determination should be made that the minority
groups have had an opportunity to provide meaningful input into the decision-
making process regarding their goals and needs as they pertain to the location
determination. The following questions should be used:
1. To what extent do the Agency’s procedures provide for consultation with and
dissemination of information to minority community and groups?
2. Where non-English speaking minorities are involved, what provisions are
made to overcome language barriers?
3. How are the minority leaders identified and encouraged to provide
suggestions and ask questions about locations?
4. To what extent are informal hearings and meetings held with the affected
minority communities and groups?
5. To what extent does the Agency respond to questions asked and consider
comments made by minorities?
6. To what extent are minority community and groups represented on the various
councils, boards, and committees, etc., that provide input to the location
determination? How were these representatives selected and have they been
given an equal voice?
Page 24 of 26 City of Carlsbad, CA
z3
Disadvantaged Business EnterDrise Program
PUBLIC HEARINGS
When reviewing the conduct of public hearings, the following questions should be
used:
1. Are hearing(s) held at a place and time convenient to minority community and
groups?
2. Are advertisements of the hearing(s) (i.e., newspapers, posters, radio, etc.)
adequate to provide notification to minorities?
3. Where non-English speaking minorities are involved, what provisions are
made to overcome language barriers both in advertisements and at the
hearing(s) ?
4. Are minority leaders specifically invited to attend and present their views? Do
they attend? Do they make comments?
5. To what extent does the Agency respond to questions asked and consider
comments made by minority persons at the hearing(s)?
6. To what extent are fair housing requirements and the availability of hardship
acquisition discussed at public hearings when minorities are to be relocated.
Page 25 of 26 City of Carlsbad, CA
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Disadvantaged Business Enterprise Program
Page 26 of 26 City of Carlsbad, CA
rl f E ce L
EXHIBIT A
CITY OF CARLSBAD -AGENDA BILL
AB# TITLE- ADOPTION OF A
--DISADVANTAGED BUSINESS ENTERPRISE (DBE) MTG. 2-20-O 1 PROGRAM FOR JANUARY 2001 THROUGH CITY All-Y. I DEPT. FNG I SEPTEMBER 2001 I CITY MGR
RECOMMENDED ACTION:
Adopt Resolution No. repealing City Council Policy Statement No. 59 and adopting City Council Policy Statement No. containing the Caltrans model DBE Program.
ITEM EXPLANATION:
The City of Carlsbad is required to have a Disadvantaged Business Enterprise (DBE) Program in place in order to apply for Federal funds for design and/or construction of applicable projects. Currently, the City utilizes its own DBE Program approved by the City Council in 1996 as City Council Policy Statement No. 59 which was identical to the one formally administered by SANDAG.
In September of 1999, the Federal Government Department of Transportation delegated approval authority to Caltrans for DBE programs for sub-recipients of Federal-Aid Highway Funds. Based on the Federal Guidelines, Caltrans in turn developed the new DBE Program that the City Council is being asked to adopt.
The purpose of having a DBE Program is to ensure that a good faith effort is made to recruit and retain DBE firms for work on Federally funded (in whole or part) City projects. The intent of the new DBE Program is to set a “goal” for inclusion of the DBE firms on Federally funded City projects based on a ratio of available DBE firms to non-disadvantaged firms in the general area.
The new draft Caltrans DBE Program, with certain City modifications, was reviewed by City staff and submitted to, and approved by, Caltrans in October, 2000. The program sets Carlsbad’s approved goal for 15%. The goal will be re-calculated each year based on factors used in the present calculation combined with updated DBE participation data as warranted.
The first City project to utilize the new Caltrans DBE Program will be the Ranch0 Santa Fe Road Improvement Project, of which one-third of the project costs will be Federally funded.
Staff is requesting that the City Council approve Resolution No. repealing City Council Policy Statement No. 59 and approving City Council Policy Statement No. 59 which contains, in its entirety, the new Caltrans DBE Program for January 1, 2001 through September 30, 2001.
FISCAL IMPACT:
If a Caltrans approved program is not in place, the City would lose currently approved, and future apportions of, Federal funds for City projects.
The approved Federal funding for three upcoming Capital Projects totals over eighteen million dollars. The projects are: Ranch0 Santa Fe Widening and Realignment, the Coastal Rail Trail and the Street Pavement Management Project.
No additional staff will be needed to implement the new DBE Program since staff time is estimated to remain the same as time spent on past programs and, therefore, would be included in current personnel budgets.
EXHIBITS:
1.
2.
Resolution No. repealing City Council Policy Statement No. 59 and adopting City Council Policy Statement No. containing the Caltrans new DBE Program.
City Council Policy Statement No. Kaltrans DBE Program.
CITY OF CARLSBAD
CITY COUNCIL POLICY STATEMENT Supersedes Council Policy Statement No. 59
General Subject: CONTRACTING
PROCEDURES
Specific Subject: Caltrans Disadvantaged
Business Enterprise Program
Policy No.
Date Issued
Effective Date
Copies to: City Council, City Manager, City Attorney, Department and Division Heads, Employee Bulletin Boards, Press, File
PURPOSE
To replace Council Policy Statement No. 59 on the utilization of Disadvantaged Business
Enterprise (DBE) firms in the City of Carlsbad with the adoption of the City Council Policy
No. containing, in its entirety, the Caltrans Disadvantaged Business Enterprise Program
as required on federally funded projects.
BACKGROUND
Until recently, the City of Carlsbad utilized its own DBE program, Council Policy Statement
No. 59, which was based on the former San Diego Association of Governments (SANDAG)
DBE Policy. However, as of September 1999 the Federal Government Department of
Transportation delegated approval authority to Caltrans for DBE Programs for all contracts that
are recipients of Federal-Aid Highway Funds. Caltrans in turn developed this new DBE program
to be titled Council Policy Statement No. .
Disadvantaged Business Enterprise Program
DISADVANTAGED
BUSINESS ENTERPRISE
(DBE) PROGRAM
FOR THE
CITY OF CARLSBAD
CALIFORNIA
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26,
and the Model DBE Program as provided in the Caltrans Local Assistance Procedures
Manual Chapter 9.
Page 1 of 26 City of Carlsbad, CA