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.
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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.
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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:
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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.
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
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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
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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
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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
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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
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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