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HomeMy WebLinkAbout2003-02-04; City Council; 17065; Disadvantaged Business Enterprise ProgramCITY OF CARLSBAD - AGENDA BILL I 4B# 17,065 - TITLE: ADOPTION OF A DISADVANTAGED BUSINESS ENTERPRISE (DBE) SEPTEMBER 2003 ATG. 2/04/03 IEPT. ENG PROGRAM FOR JANUARY 2003 THROUGH CITY ATTY.% CITY MGR- RECOMMENDED ACTION: Adopt Resolution No. 2003-037 repealing City Council Policy Statement No. 62, adopting Council Policy Statement No. 67 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 2001 as City Council Policy Statement No. 62. 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 and the utilization of DBE firms for federally funded City projects. The new draft Caltrans DBE Program, with modifications, was reviewed by City staff and submitted to, and preliminarily approved by, Caltrans in October 2002. Final approval by Caltrans will occur upon adoption of the new Council Policy. 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. City projects that will utilize federal funds include Rancho Santa Fe Road Widening and Realignment Phase 1 and Phase 2, the Coastal Rail Trail, and a portion of the Pavement Management Program. ENVIRONMENTAL IMPACT: The adoption of the DBE Program does not require environmental review. Each federally funded project will complete all environmental reviews per federal, state, and local requirements. FISCAL IMPACT: If a Caltrans approved program is not in place, the City could lose currently approved, and future appropriations of, federal funds for City projects. The federal funding for three upcoming capital projects totals over eighteen million dollars. Staff time to implement the new DBE Program is estimated to remain the same as past programs. . EXHIBITS: 2003-037 1. Resolution No. repealing City Council Policy Statement No. 62 and adopting city Council Policy Statement No. 67 containing the Caltrans new DBE Program. 2. City Council Policy Statement No. 67 /Caltrans DBE Program. I 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 uqp9-S I RESOLUTION NO. 2003-037 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA, REPEALING COUNCIL POLICY STATEMENT NO. 62 AND ADOPTING THE CALTRANS DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM AS CONTAINED WITHIN CITY COUNCIL POLICY STATEMENT NO. 67 WHEREAS, the Federal Department of Transportation, under the Code of Federal qegulations, Title 49; Part 23, requires each local government entity receiving .Federal rransportation 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. 62; and WHEREAS, Caltrans has now been entrusted with local agency oversight responsibility for )BE 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 Zaltrans' newly developed DBE Program; and WHEREAS, by approving this resolution, the City of Carlsbad desires to utilize the Zaltrans DBE Program format for use on any federal transportation funded contract; and WHEREAS, appcoval of the attached DBE Program will enable the City to receive federal unding for existing and future Capital Projects. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad, >alifornia, as follows: 1. That the above recitations are true and correct. Il If If If 3.. . 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2. That the City Council of the City of Carlsbad, California, does hereby repeal City Council Policy Statement No. 62 and adopt City Council Policy Statement No. 67 zontaining, in full, the new Caltrans DBE Program. PASSED, APPROVED AND ADOPTED at a regular meeting of the Carlsbad City Council 7eld on the 4th day of FEBRUARY ,2003 by the following vote, to wit: AYES: Council Members Lewis, Finnila, Kulchin, Hall, Packard 4TTEST: Page 2 of 2 of Resolution No. 2003-037 (SEAL) CITY OF CARLSBAO :;::::e* Effective Date CITY COUNCIL POLICY STATEMENT Supersedes Council Policv Statement No. 62 General Subject: CONTRACTING PROCEEDURES Specific Subject: City of Carlsbad Disadvantaged Business Enterprise Program Copes to: City Council, City Manager, City Attorney, Department and Division Heads, Employee Bulletin Boards, Press, File PURPOSE To replace Council Policy Statement No. 62 for the utilization of Disadvantage Business Enterprise (DBE) firms in the City of Carlsbad with the adoption of the City Council Policy No. 67 containing, in its entirety, the City’s updated DBE Program as required for federally funded projects. BACKGROUND The City of Carlsbad is required to have a DBE Program in place in order to apply for federal funds for design and/or construction of City projects. Caltrans requires the City to review and updated the program each year based on a ratio of available DBE firms to non- disadvantaged firms in the general area, and the actual utilization of DBE firms for federally funded City projects. POLICY The City of Carlsbad DBE Program is hereby adopted as City Council Policy Statement No. 67 and follows this title sheet. 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. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM Page 1 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program City of Carlsbad, California I Definitions of Terms The terms used in this program have the meanings defined in 49 CFR s26.5. II ObjectiveslPolicy Statement (ss26.1 , 26.23) The City of Carlsbad has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the US. 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: 0 To ensure nondiscrimination in the award and administration of DOT-assisted contracts; 0 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; 0 TO ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs; 0 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. Carrie Loya-Smalley, Senior Civil Engineer, has been delegated as the DBE Liaison Officer. In that capacity, Carrie Loya-Smalley 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 DEE 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 32 City of Carlsbad, CA f Disadvantaged Business Enterprise Program 111 Nondiscrimination (s26.7) 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 (526.43) 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) (s26.45) The City of Carlsbad has designated the following individual as the Disadvanaged Business Enterprise Liaison Officer (DBELO): Carrie Loya-Smalley, Senior Civil Engineer, City of Carlsbad, Public Works Department, Engineering Division, 1635 Faraday Avenue Carlsbad, California, 92008, Phone Number (760) 602-2746, Fax Number (760) 602-8562, e-mail address, clova@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, an associate engineer and three engineering technicians. It is the Planning and Programs Division’s 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 organization chart displaving applicable staff is shown as Exhibit “B” of this document. Page 3 of 32 City of Carlsbad, CA I, 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. 3. 4. 5. 6. 7. 8. 9. - 10. 11. 12. 13. 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. VI1 Federal Financial Assistance Agreement Assurance (526.13) 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 32 City of Carlsbad, CA Disadvantaged Business Enterprise 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 notification 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. I001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). Vlll 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 (926.31) 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/hq/bep. X Overconcentration ($26.33) 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. XI Business Development Programs (926.35) 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 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program XI1 Required Contract Clauses (5526.13, 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 Pavment The City of Carlsbad ensures that the following clauses or equivalent will be included in each DOT-assisted prime contract: Satisfactow 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 Retainacre 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. Xlll Monitoring and Enforcement Mechanisms (526.37) 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 32 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 REIContract 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 IAPM or equivalent. When the RE receives the completed form it wilt 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 DEE Information” will be compared to those listed in the completed Exhibit 164 of the IAPM 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 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program Construction Contract Monitoring 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- REIContract Manager will request a letter from the contractor explaining why substitution is needed. The REIContract 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 REContract Manager agrees to the substitution, the RWContract 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 REKontract Manager for local agency consideration. If there is any doubt in the RElContract Manager’s mind regarding the requested substitution, the RE/Contract Manager may contact the DLAE for assistance and direction. Page 8 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program Record Keepinn and Final Report Utilization of Disadvantaaed 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 16-6. 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: There have been no changes made by the RE. 0 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 Clty 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 526.109. The City of Carlsbad also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. Page 9 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program XIV Overall Goals (526.45) Amount of Goal The City of Carlsbad’s overall goal for the Federal fiscal year FY 2002-2003 is the following: 15% of the Federal financial assistance in FHWA-assisted contracts. This overall goal is broken down into 8% race-conscious and 7% race-neutral components. Methodolom See Exhibit 9-6, Annual Overall Goal Information for complete Methodology formulization, Breakout of Estimated Race-Neutral and Race-Conscious Participation See 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’ DUE. 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 32 City of Carlsbad, CA I .:< Disadvantaged Business Enterprise Program XV Contract Goals (526.51) 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 (526.49) 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. WII Good Faith Efforts (s26.53) Information to be Submitted The City of Carlsbad treats bidders’lofferors’ 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 bidderdofferors to submit the following information to the Purchasing Officer, City of Carlsbad, 1635 Faraday Avenue, Carlsbad, CA 92008 no later than 4:OO p.m. on or before the fourth day, not including Saturdays, Sundays and legal holidays, following bid opening: 1. 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: Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; Page 11 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program 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 biddedofferor is to make good faith efforts. The biddedofferor 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 bidderlofferor who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive: The City DBE Officer, Carrie Loya-Smalley, 1635 Faraday Avenue, Carlsbad, California, 92008, email address clova@ci.carlsbad.ca.us, or the City Purchasing Officer, Lisa Hildebrant, 1635 Faraday Avenue, Carlsbad, California, 92008, email address Ihild@-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 biddedofferor is made. Administrative Reconsideration Within 10 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. Biddedofferors 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 bidderfofferor 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 32 City of Carlsbad, CA Disadvantaged Business Enterprise Proaram 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 paymentlwork until satisfactory action has been taken. If the contractor still fails to comply, the contracting officer may issue a termination for default proceeding. XVlll Counting DBE Participation (S26.55) 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, DBEhon-DEE 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 32 City of Carlsbad, CA 1 /, 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. Date: EC 0 2 2002 Approved to Form. Ronald R. Ball, City Attorney rprises Program is accepted by: [Signature of DUE] Date: Page 14 of 32 City of Carlsbad, CA APPENDIX A TO PART 26 -- GUIDANCE CONCERNING GOOD FAITH EFFORTS I. II. 111. IV. 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, evensif 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. 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. The Department also strongly cautions you against requiring that a bidder meet a contract goal (Le,, 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. 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 fa,ctors or types of efforts may be relevant in appropriate cases. A. Soliciting through all reasonable and available means (e.9. 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. Page 15 of 32 City of Carlsbad, CA 17 Disadvantaged Business Enterprise Program 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. 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. (I) 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. ~ ~~ Page 16 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program 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 minorityhomen community organizations; minorityhomen contractors' groups; local, state, and Federal minorityhomen business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. 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. Page 17 of 32 City of Carlsbad, CA 9 I 1 Disadvantaged Business Enterprise Program A. B. C. D. E. APPENDIX C RESOLUTION OF THE CITY OF CARLSBAD 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 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program Page 19 of 32 City of Carlsbad, CA .p i . .* Disadvantaged Business Enterprise Program EXHIBIT 9-B ANNUAL OVERALL GOAL INFORMATION TO: CALTRANS DISTRICT I1 District Local Assistance Engineer The amount of the 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 of Carlsbad submits our annual overall goal information and an update to the District Local Assistance Engineer for your review and comment. We propose an annual overall DBE goal of 15% for the Federal Fiscal Year 2002/2003, beginning October 1 , 2002 and ending September 30, 2003. Methodolonv The overall goal methodology is a two-step process as described in 49 CFR Part 26, Section 26.41. This two-step process is intended to provide maximum flexibility, to ensure narrow program tailoring, and provide meaningful, demonstrable evidence of availability, based upon each agency's relevant market conditions. Step 1 of the process is determining a base figure for the relative availability of DBEs that are ready, willing and able to participate in the Federal-aid contracting program. For FY 2002/2003, we narrowed. our region to include San Diego County firms only when identifying certified DBE firms per industrial classification. Step 2 of the process requires that local 'agencies determine whether an up or down adjustment from the base figure is needed. This determination is based upon examination of the local agency Federal-aid contracting program, and knowledge of local contracting markets. Step I: Calculation of the Base Figure to Establish Relative Availabilitv of DBEs The process of determining the base figure of relative availability of DBEs in the San Diego region is intended to allow local jurisdictions and agencies to examine various sets of data relative to their contracting program and processes, with a particular focus on procurement needs. The base figure of relative availability is determined by using the City's local jurisdictions' or agencies' geographic base, the Caltrans List of Certified DBEs, the 1999 Census Bureau's County Business Patterns (CBP), and the North American Industrial Classification System (NAI CS) . The availability of DBEs (taken from the Caltrans List of Certified DBEs) and comparable CBP firms is shown in Table 2. Page 2 waraday Avenue - Carlsbad, CA 92008-7314 (760) 602-2720 :FAX (7z602-8562 @ ttv of c ad: CA Disadvantaged Business Enterprise Program .. DOT - CALTRANS Work Category ' Codes (WCC) CONSTRUCTION C06 C0600 C06 12 C0686 ~ c12 c1200 __ C15 - C1575 __ C1601 C16 c19 C5100 C5601 - C56 - I TABLE 2 AVAILABILITY OF DBE FIRMS AND NON-DBE FIRMS SAN DIEGO REGION, BASED ON FY 2001-2002 DATA $5,861,066.00 33699 1% 564 4 Electrical 8, Signals 23531 2 % 205 4 Safety 541 69 24% 25 6 Miscellaneous Suppliers 23531 Construction Sign Areas 4 ~ 564 9 Yo 116 10 Roadway Excavation 23593 1 1 % 94 10 Clearing 8 Grubbing 234 1 1 60% 5 3 Remove Bridge Item 23412 1 % $713,951.10 $142,417.88 $354,447.44 $4,304,463.2a ______ _____ " $236,108.96 r" ' 1 1 21: 1 1 1 $218,502.39 $21,170.23 Total Construction 1615 3.10% $11,872,127.27 234 11.- ~~ " Hi hway Plantin __~ 23571 Concrete Structure 23599 Si n Structure 352 - To arrive at the base figure of relative availability of DBEs in the San Diego region, the number of DBE firms was divided by the number of all comparable CBP firms available. Number of Ready, Willing, and Able DBEs (from the Caltrans List of Certified DBEs) Number of All Ready, Willing, and Able Firms (from the Census Bureau's County Business Patterns) = BASE FIGURE 100 = BrrseFigur-e $15,673,854 [(0.7574) (0.03096)]100 = BcrseFzgzlre Pass 21 of 32 City of Carlsbac?, CA Disadvantaged Business Enterprise Program Step 2: Adjusting the Base Fiqure by Usinq Local Market Evidence Upon establishing the base figure, the City of Carlsbad reviewed and assessed other known relevant evidence to determine what additional adjustments were needed to narrowly tailor the base figure to the City of Carlsbad's marketplace. Factor determining the City of Carlsbad's DBE participation that can be expected, absent discrimination include: I. Current Capacity of DBE firms measured by actual attainment of DBE participation The volume of work that DBEs performed in City of Carlsbad's DOT-assisted contracting program for Fiscal Year 2001-2002. Fiscal ,: I a, ' , . , ''Work ;":- ,' j *Dollars Paid..,.' s:'*~ollafs~Pafd:,' -.'''i.DB~E,-Gea!;'. ' Year, ' ' ' I . ':Category )+j . , .. '. ''>- Af&in&j to DBE'Firms i_ To ko&a&jr 2001 -2002 28.8% $148,291.19 "" ~"~_____ $513,904.25 Construction 2001 -2002 17.7% $149,300.00 $844,700.00 Professional Services I_"~~.~" . ~ "" ~ "" ____" * No federal funds were spent on these components of the project. " 2. Projected DBE Participation for FY 2002-2003 The breakout of potential DBE participation on Federal DOT-assisted contracts is based on the following projects: Rancho Santa Fe Road, Phase 2 Construction The Coastal Rail Trail, Construction 8% DBE Participation 8% DBE Participation See Exhibit A to view project-specific breakout of DBE participation. 3. Bidder's Data Base The City of Carlsbad has not collected sufficient data to date for consideration in adjusting the base figure, however, the City of Carlsbad will continue to capture information from all bidders at the time of bid and/or proposal submission and will utilize such information in future goal-setting analysis. 4. Disparity Study The City of Carlsbad is not aware of any current disparity studies within the City's jurisdiction for consideration in the goal-setting analysis andlor adjustment. 5. Result of Goal Adjustment The Based on the actual DBE goals attained in FY 200112002 the City of Carlsbad will retain their DBE Goal of 25% for FY 200212003. While the calculated Base Figure is !OYJ, the City exewted two contracts in FY 2001/2002 with firms that exceeded the DBE gozls for e,-.ch tcc.rl:rzc!, as w?il as tk,e u\:erall yo21 of 15%. Hoii!;e\Jer! D6E goals for Pqe 22 cf 32 City ~i Carlsbad, CA Disadvantaged Business Enterprise Program projects expected to be awarded in FY 2002/2003 are calculated to be less than 15%. The City will consider adjusting the overall goal next year if the contracts anticipated to be executed in FY 2002/2003 continue to exceed the ‘calculated project and overall goals. 6. Public Participation in Setting Annual Goal , In conformance with Public Participation Regulatory Requirements of 49 CFR Part 26.45 and Chapter 9 of the Caltrans Local Assistance Procedures Manual (WPM), this goal analysis will be reviewed with minority, women, local business chambers, community organizations, and other US DOT recipients. These entities are knowledgeable about the availability of disadvantaged and non-disadvantaged businesses and the effects of discrimination on contracting opportunities for DBE’s within the City’s marketplace. Additionally, the City will publish a Public Notice in general circulation media; women/minority focused media, announcing the City’s proposed annual goal for FY 2002/2003 contract assisted by US DOT. The notice will inform the public that the proposed goal and rationale are available for inspection at the City of Carlsbad during normal business hours for 30 days following the date of the Public Notice. The City of Carlsbad and Caltrans District 11 Local Assistance will accept comments on the goals for 45 days from the date of the Public Notice. The required public participation provisions will be fully satisfied prior to submitting the City’s DBE Program and annual DBE Goal for final review and approval. Breakout of Estimated Race-Neutral and Race-Conscious Participation The City estimates that for the overall goal of 15%, 8% of it will be obtained through race-conscious participation and 7% will be obtained through race-neutral participation. The Caltrans DBE database indicates that the City should expect approximately 4% DBE participation for the Rancho Santa Fe Road Phase 2 project and approximately 11% DBE participation for the Coastal Rail Trail. The average participation of these two projects combined is approximately 7%, which can be obtained by race-neutral participation. The remaining 8% of the goal will be met through race-conscious participation that includes the following efforts by City staff: 0 Requirements that facilitate participation by DBE’s will be included in all bidding and contract documents. 0 The DBE Liaison Officer will attend all pre-bid and pre-construction meetings to Clarify DBE goals. 0 A letter identifying the project DBE goal and clarifying achievement methods and procedures will be included with notices announcing future city contracts sent to “plan rooms”. An in-depth work schedule for large contracts will be provided to make the contracts more assessable to small businesses. Page 23 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program 0 The largest of the City's projects, the Rancho Santa Fe Road Project has been unbundled into three smaller projects and will be bid separately which makes it more accessible to smaller businesses. A letter will be attached to each bid package that has sub-contracting possibilities mandating the inclusion of DBE's in the bid proposal to meet or exceed the overall goal requirement. ' DBE Proqram Updates Updates to the program include a change in the staff member serving as the DBE Liaison Officer. The new DBE Liaison Officer is Carrie Loya-Smalley who can be reached at Date Page 24 of 32 City of Carlsbad, CA L . Disadvantaged Business Enterprise Program Page 27 of 32 City of Carlsbad, CA . i, Disadvantaged Business Enterprise Program GUIDELINES FOR CIVIL RIGHTS COMPLIANCE REVIEWS OF LOCATION PROCEDURES GENERAL In accordance with Title VI and Title Vlll 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: 0 Developing and comparing alternatives, 0 Assessing impacts, and 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 28 of 32 City of Carlsbad, CA 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 29 of 32 City of Carlsbad, CA -7 i 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 30 of 32 City of Carlsbad, CA Disadvantaged Business Enterprise Program PUBLtC HEARINGS When reviewing the conduct of public hearings, the following questions should be used: 1. 2. 3. 4. 5. 6. Are hearing(s) held at a place and time convenient to minority community and groups? Are advertisements of the hearing(s) (i.e., newspapers, posters, radio, etc.) adequate to provide notification to minorities? Where non-English speaking minorities are involved, what provisions are made to overcome language barriers both in advertisements and at the hearing(s) ? Are minority leaders specifically invited to attend and present their views? Do they attend? Do they make comments? To what extent does the Agency respond to questions asked and consider comments made by minority persons at the hearing(s)? To what extent are fair housing requirements and the availability of hardship acquisition discussed at public hearings when minorities are to be relocated. Page 31 of 32 City of Carlsbad, CA 1 Disadvantaged Business Enterprise Proaram Page 32 of 32 City of Carlsbad, CA L Local Assistance Procedures Lma1 EXHIBIT 15-A Local Agency Construction Contract Administration Checklid LOCAL AGENCY BIDDER-DBE-INFORMATION This information may be submitted with your bid proposal. If it is not, and you are the apparent low bidder or the second or third low bidder, it must be submitted and received as specified in the Special Provisions. Failure to submit the required DBE information will be grounds for finding the proposal nonresponsive. - CO.-RTE.-K.P.: ctwh..L bd.liid. fihv~ &/dm) CONTRACT NO.: 4455 FEDERAL-AID PROJECT NO.: CMi . .- 5Wfi (005 1 FA " I / 9 SSE;%b BID AMOUNT: $ ai449700 BID OPENING DATE: yI4,/#L BIDDER'S NAME: Dokken Engineering DBE GOAL Fl ITEM NO. ROM CONTRACT: ITRMOFWQRKAND DESCRIPTION OR SERVICES TO BE SUBCONTRACTeD OR MATERXALS TO BE PROVIDED ' Mapping and Surveying Geotechnical Investigators Utilities Research and Relocation Coordination DBE CERT. NO. Cl"36729 a-020160 f3-024876 I IMPORTANT: Identifj all DBE 6rms being claimed for credit, regardless of tier. Copies of the DBE quotes are required. Names of the First Tier DBE Subcontractors and their respective itemfs) of work listed above shall be consistent with the names and items of work in the "List of Subcontractors" submitted with your bid pursuant to the Subcontractors Citing Law and the Special Provisions. I. DEE prim ccahacIo~~ sball enter their DBE ctrtifiatioa number. DBE prime coavactors shall indicncc all work to be performed by DBEs including work performed by ih ow0 forces. 2. If I 00% of item is not to be pdmd or furnished by DBE. dcscribe exact portion of item lo be pcrfmed or furnished by DBE. 3. See Section "Disadvantaged Business Enterprises." of the Special Provisions to determine the credit allowed for DBE firms. Aguirre & Associates 8265 Commercial St Suite 1 (P.O. BOX 4312) La Mesa, Ca. 919424312 (619)464-6978 Diaz Yourman & Associates 17421 Irvine Blvd. Tustin, Ca. 92780-3012 (714)438-8565 Zrofessional Consulting Group 19 1 1 N. Cordoba Ave, Suite K Spring Valley, Ca. 91977 (619)-660-1355 Total Claimed Participation K t " $ - AMOT DOLLAR DBE $65,500 $61,900 $21,900 -149,300- -17.7% Kirk Bradbury - Person to Cwtact (Please Type or Print) CT Bidflu - DBE Inlmrvlion (Rcv02-07-01 Page 15-17 LPP 01-04 Ews!Yd g March IS, 2001 .*. CITY OF CARLSBAD BIDDER - DBE - INFORMATION - This information may be submitted with your bid proposal. If it is not, and you are the apparent low bidder or the second or third low bidder, it must be submitted and received as specified in Section 2-1.028 of the CaRrans Standard Special Provisions. Failure to submit the required DBE infomation will be grounds for finding the proposal nonresponsive. DBE PRIME CONTRACT. ITEM NO. A"< ITEM OF WORK AND D€SCRIPTIOPI OR SERVICES TC BE SUBCONTRACTED OR' MATERIALS TO BE PROVIDED DEE CERT. NO. T- 00077 I CO.-RTE.K.P.: PA A/G CONTRACT NO.: -11 9 0 BID AMOUNT: $ -</.3 '70 99 BID OPENING DATE: fl* 20 - 0 / BIDDER'S NAME: EhRedA-5 'z-M~. DBE GOAL FROM CONTRACT: 8 % CONTRACTOR CERTIFICATION.': R//A t " - MPORTANT: ldenilfy ail DEE firms being claimed for credk rgardless of tier. Copies of the DEE quotes are required. Names of he First Tier DBE Subcontractors and their respective item(,) of work isted above shall be consistent, where applicable, with the names md items of work in the "List of Subcontractors" submitted with your ,id pursuant to the Subcontractors Listing Law and Section 2-1.01. 'General," of the Special Provisions. 1. DBE prime cantractors shall enter their DBE artifidion number. DBE ,rime contracton shall indicate all work to be performed by DBEs including wlorkperformed by its own forces. !. If 100% of item is not to be performed or furnished by DBE. describe txact portion of item to be performed or furnished by DBE. 1. See Section 2-1.02, "Disadvantaged Business Enterprise," to determine he credit allowed fot DBE firms. NAME OF DEE8 hone numbe include DBE address and AMOUNT (Must be certitied on the DOLLAR data bids are opened - DBE IcyPpRrnS~P IW)2~\.19 L(C0-B ~um-c gDd.PLDo,c#t .qwq p2 Total Claimed Participation No. -4 x /L"z,p, L Person to Contact (Please Type or Print) CT Bidder - DBE Information (Rev 09-28-99