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HomeMy WebLinkAbout2001-02-20; Council Policy No. 62 (RESCINDED) - Contracting Procedures Disadvantaged Business Enterprise DBE ProgramCITY OF CARLSBAD CITY COUNCIL POLICY STATEMENT General Subject: Specific Subject: CONTRACTING PROCEDURES Caltrans Disadvantaged Business Enterprise Program Policy No._�_.,;)"----- Date Issued sJ.-c2 Q -�DOIEffective Date )?-,;2/)-�CXJf Supersedes Council Polley Statement No. o9 Copies to: City Council, City Manager, City Attorney, Department and Division Heads, Employee Bulletin Boards, Press, File PURPOSE To replace Council Policy Statement No. 59 on the utilization of Disadvantaged Business Enterprise (DBE) firms in the City of Carlsbad with the adoption of the City Council Policy No. {o'J-. containing, in its entirety, the Caltrans Disadvantaged Business Enterprise Program as required on federally funded projects. BACKGROUND Until recently, the City of Carlsbad utilized its own DBE program, Council Policy Statement No. 59, which was based on the former San Diego Association of Governments (SANDAG) DBE Policy. However, as of September 1999 the Federal Government Department of Transportation delegated approval authority to Caltrans for DBE Programs for all contracts that are recipients of Federal-Aid Highway Funds. Caltrans in turn developed this new DBE program to be titled Council Policy Statement No. (p J.- INTRODUCTION The Caltrans DBE Program is hereby adopted as City Council Policy Statement No. ljJd-andthe DBE Program follows this title sheet in its entirety. Cancellation Date: 2/04/2003 Disadvantaged Business Enterprise Program CITY COUNCIL POLICY STATEMENT NO. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FOR THE CITY OF CARLSBAD CALIFORNIA This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26, and the Model DBE Program as provided in the Caltrans Local Assistance Procedures Manual Chapter 9. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM Page 1 of 26 City of Carlsbad, CA Disadvantaged Business Enterprise Program DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM I Definitions of Terms Objectives /Policy Statement Page Disadvantaged Business Enterprise Program Page 3 of 26 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.Gathers and reports statistical data and other information as required. 2.Reviews third party contracts and purchase requisitions for compliance with this program. 3.Works with all departments to set overall annual goals. 4.Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5.Identifies contracts and procurements so that DBE goals are included in solicitations (both race-neutral methods and contract specific goals) and monitors results. 6.Analyzes the City of Carlsbad's progress toward goal attainment and identifies ways to improve progress. 7.Participates in pre-bid meetings. 8.Advises the City Manager and City Council on DBE matters and achievement. 9.Chairs the DBE Advisory Committee. 10.Participates with the City Attorney's Office and project director to determine contractor compliance with good faith efforts. 11.Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 12.Plans and participates in DBE training seminars. 13.Provides outreach to DBEs and community organizations to advise them of opportunities. VII Federal Financial Assistance Agreement Assurance (§26.13) The City of Carlsbad will sign the following assurance, applicable to all FHWA-assisted contracts and their administration as part of the program supplement agreement for each project: Page4 of 26 City of Carlsbad, CA Disadvantaged Business Enterprise Program VIII DBE Financial Institutions IX Directory X Overconcentration XI Business Development Programs Page 5 of 26 City of Carlsbad, CA Disadvantaged Business Enterprise Program Page6 of 26 City of Carlsbad, CA Disadvantaged Business Enterprise Program Page 7 26 Disadvantaged Business Enterprise Program Page 8 of 26 City of Carlsbad, CA Disadvantaged Business Enterprise Program Record Keeping and Final Report Utilization of Disadvantaged Business Enterprises The contractor shall maintain records showing the name and address of each first-tier subcontractor. The records shall also show: 1.The name and business address, regardless of tier, of every DBE subcontractor, DBE vendor of materials and DBE trucking company. 2.The date of payment and the total dollar figure paid to each of the firms. 3.The DBE prime contractor shall also show the date of work performed by their own forcesalong with the corresponding dollar value of the work claimed toward DBE goals. When a contract has been completed the contractor will provide a summary of the records stated above. The DBE utilization information will be documented on Exhibit 17-F and will be submitted to the DLAE attached to the Report of Expenditures. The RE will compare the completed Exhibit 17-F to the contractor's completed Exhibit 15-G and, if applicable, to the completed Exhibit 16-B. The DBEs shown on the completed Exhibit 17-F should be the same as those originally listed unless an authorized substitution was allowed, or the contractor used more DBEs and they were added. The dollar amount should reflect any changes made in planned work done by the DBE. The contractor will be required to explain in writing why the names of the subcontractors, the work items or dollar figures are different from what was originally shown on the completed Exhibit 15-G when: •There have been no changes made by the RE. •The contractor has not provided a sufficient explanation in the comments section of thecompleted Exhibit 17-F. The explanation will be attached to the completed Exhibit 17-F for submittal. The RE will file this in the project records. The City of Carlsbad's Liaison Officer will keep track of the DBE certification status on the Internet at www.dot.ca.gov/hq/bep and keep the RE informed of changes that affect the contract. The RE will require the contractor to act in accordance with existing contractual commitments regardless of decertification. The DLAE will use the PS&E checklist to monitor the City of Carlsbad's commitment to require bidders list information to be submitted to the City of Carlsbad from the awarded prime and subcontractors as a means to develop a bidders list. This monitoring will only take place if the bidders list information is required to be submitted as stipulated in the special provisions. The City of Carlsbad will bring to the attention of the DOT through the DLAE any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in §26.109. The City of Carlsbad also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. Page 9 of 26 City of Carlsbad, CA XIV Overall Goals Disadvantaged Business Enterprise Program See Attachment A to Exhibit 9-B, Annual Overall Goal Information See Attachment B to Exhibit 9-B, Annual Overall Goal Information Page Disadvantaged Business Enterprise Program XV Contract Goals (§26.51) The City of Carlsbad will use contract goals to meet any portion of the overall goal the City of Carlsbad does not project being able to meet by the use of race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the overall goal that is not projected to be met through the use of race-neutral means. Contract goals will be established only on those DOT-assisted contracts that have subcontracting possibilities. Contract goals need not be established on every such contract, and the size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the particular type of work). The contract work items will be compared with eligible DBE contractors willing to work on the project. A determination will also be made to decide which items are likely to be performed by the prime contractor and which ones are likely to be performed by the subcontractor(s). The goal will then be incorporated into the contract documents. Contract goals will be expressed as a percentage of the total amount of a DOT-assisted contract. XVI Transit Vehicle Manufacturers (§26.49) If DOT-assisted contracts will include transit vehicle procurements, the City of Carlsbad will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on transit vehicle procurements, to certify that it has complied with the requirements of 49 CFR Part 26, Section 49. The City of Carlsbad will direct the transit vehicle manufacturer to the subject requirements located on the Internet at http://osdbuweb.dot.gov/programs/dbe/dbe.htm. XVII Good Faith Efforts (§26.53) Information to be Submitted The City of Carlsbad treats bidders'/offerors' compliance with good faith effort requirements as a matter of responsiveness. A responsive proposal is meeting all the requirements of the advertisement and solicitation. Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the following information to the Purchasing Officer, City of Carlsbad, 1635 Faraday Avenue, Carlsbad, CA 92008 no later than 4:00 p.m. on or before the fourth day, not including Saturdays, Sundays and legal holidays, following bid opening: 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: Page 11 of 26 City of Carlsbad, CA \b Disadvantaged Business Enterprise Program Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; 4.Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractor's commitment; and 5.If the contract goal is not met, evidence of good faith efforts. Demonstration of Good Faith Efforts The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. The following City Staff are responsible for determining whether a bidder/offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive: The City DBE Officer, 1635 Faraday Avenue, Carlsbad, California, 92008, email address vmcco@ci.carlsbad.ca.us, or the Senior Engineer, 1635 Faraday Avenue, Carlsbad, California, 92008, email address cloyaci.carlsbad.ca.us, or the City Purchasing Officer, 1635 Faraday Avenue, Carlsbad, California, 92008, email address rflet@ci.carlsbad.ca.us, The City of Carlsbad will ensure that all information is complete and accurate and adequately documents the bidder/offerer's good faith efforts before a commitment to the performance of the contract by the bidder/offeror 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/offerer may request administrative reconsideration. Bidder/offerors should make this request in writing to the following reconsideration official: the City Manager, 1200 Carlsbad Village Drive, Carlsbad, California, 92008,The reconsideration official will not have played any role in the original determination that the bidder/offeror did not make document sufficient good faith efforts. As part of this reconsideration, the bidder/offeror will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with the reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. The City of Carlsbad will send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to Caltrans, FHWA or the DOT. Page 12 of 26 City of Carlsbad, CA l7 Disadvantaged Business Enterprise Program 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. R"ay Patchett, City Manager Date: l-j2.ff(oe> Approved to Form Ronald R. Ball, City Attorney By �..:.i3l1-Date: /�-a•••• This Disadvantaged Business Enterprises Program is accepted by: � /J- � [�eofDLAE] Page 14 of 26 Date: I /z'"L/ o /� I City of Carlsbad, CA ,l;t.- Disadvantaged Business Enterprise Program APPENDIX A TO PART 26 --GUIDANCE CONCERNING GOOD FAITH EFFORTS I.When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order to be responsible and/or responsive, make good faith efforts to meet thegoal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal or other requirement of this part, which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. II.In any situation in which you have established a contract goal, part 26 requires you to use the good faith efforts mechanism of this part. As a recip'ient, it is up to you to make a fair and reasonable judgment whether a bidder that did not meet the goal madeadequate 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. Ill. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. IV.The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. A.Soliciting through all reasonable and available means (e.g. attendance at pre-bidmeetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation.The bidder must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. B.Selecting portions of the work to be performed by DBEs in order to increase thelikelihood 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 toperform these work items with its own forces. Page 15 of 26 City of Carlsbad, CA 20 Disadvantaged Business Enterprise Program C.Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assistthem in responding to a solicitation. D.(1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with theavailable 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 toperform 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 findingand 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 DB Es 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 itsindustry, 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 thecontractor's efforts to meet the project goal. F.Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G.Making efforts to assist interested DBEs in obtaining necessary equipment,supplies, materials, or related assistance or services. H.Effectively using the services of available minority/women communityorganizations; minority/women contractors' groups; local, state, and Federalminority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. Page 16 of 26 City of Carlsbad, CA Z.\ Disadvantaged Business Enterprise Program V.In determining whether a bidder has made good faith efforts, you may take into account theperformance 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. �-� r:iayPatchett.City Manager Date:�" This Disadvantaged Business Enterprise Program for design-build contracts is accepted by: [Signature of DLAE] Date: ----- Page 17 of 26 City of Carlsbad, CA � Page 18 of 26 Disadvantaged Business Enterprise Program APPENDIXC RESOLUTION OF THE ( Agency Name) REGARDING NECESSITY OR EMERGENCY FOR SUBSEQUENT SUBCONTRACTOR IDENTIFICATION (REQUIRED BY PUBLIC CONTRACT CODE SECTION 4109 ENTITLED "Public Emergency Grounds For Change") A.EXPLANATION OF PUBLIC NECESSITY OR EMERGENCY: B.FACTS CONSTITUTING THE PUBLIC NECESSITY OR EMERGENCY: C.FINDINGS: D.RESOLUTION FOR SUBSEQUENT IDENTIFICATION OF SUBCONTRACTORS: E.CERTIFICATE OF SECRETARY 1.MOTION MADE AND DATE 2.VOTING RESULTS 3.SIGNATURES: (a)(Secretary} (b)(Chairperson) City of Carlsbad, CA Disadvantaged Business Enterprise Program Page 19 of 26 City of Carlsbad, CA 9125100 SEE EXHIBIT 9-B OF COVER LETTER ANNUAL OVERALL GOAL INFORMATION 2 Disadvantaged Business Enterprise Program Page 21 of 26 Disadvantaged Business Enterprise Program GUIDELINES FOR CIVIL RIGHTS COMPLIANCE REVIEWS OF LOCATION PROCEDURES GENERAL Page 22 of 26 In accordance with Title VI and Title VIII of the Civil Rights Act of 1964 and 1968, local agencies are required to follow certain location procedures on Federal-aid highway projects. This guideline may be used to suggest areas for review. 1.As a result of the choice of highway locations or the procedures used in arriving at the choice, has the Agency, State, or Federal Highway Administration received any civil rights complaints? If so, what were the complaints and what has been done to resolve them? 2.a. To what extent does the agency employ minority staff personnel in the location program under review? Are these personnel involved in the following: 2.b. 3. 4. •Developing and comparing alternatives, •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? 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? 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? 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. City of Carlsbad, CA 2-7 Disadvantaged Business Enterprise Program LOCATION DETERMINATION Page 23 of 26 When reviewing the process leading to location determination on a specific project, the following questions are to be used: 1.a.To what extent has the agency or consultant compiled the following information for use in the location determination? 1.b.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.) 1.c.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. 1.d.The racial character of the people employed in the area affected-by each alternate. 2.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? 3.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 minoritycommunity? To what extent will it perpetuate patterns of segregation? 4.How will each of the alternates affect the use of various community facilities and services such as hospital, libraries, shopping areas, firestations, police installations, schools, churches, parks and recreationcenters by minority groups in the area? 5. To what extent will each of the locations produce an adverse effect of residential, commercial and industrial development existing or plannedwithin minority communities? 6.What attempt has the Agency made to satisfy minority communityplanning goals and needs? To what extent were the goals and needs determined utilizing input from the minority community? 7.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 nonminorityareas?: City of Carlsbad, CA Disadvantaged Business Enterprise Program 8.Is access to and from the various alternates provided without discrimination? 9.Would the alternates have an effect on traffic volumes on adjacent streets within minority communities? To what extent has the Agency studied the effect of increased or decreased traffic on residences and businesses? 10.To what extent have aesthetics, noise, and air quality been considered within minority communities? 11.Has all the above information been adequately tabulated and mapped for use in the location determination? COMMUNITY PARTICIPATION Page 24 of 26 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? City of Carlsbad, CA Disadvantaged Business Enterprise Program PUBLIC HEARINGS Page 25 of 26 When reviewing the conduct of public hearings, the following questions should be used: 1.Are hearing(s) held at a place and time convenient to minority community and groups? 2.Are advertisements of the hearing(s) (i.e., newspapers, posters, ra�io, etc.) adequate to provide notification to minorities? 3.Where non-English speaking minorities are involved, what prov1s1ons are made to overcome language barriers both in advertisements and at thehearing(s)? 4.Are minority leaders specifically invited to attend and present their views? Dothey attend? Do they make comments? 5.To what extent does the Agency respond to questions asked and consider comments made by minority persons at the hearing(s)? 6.To what extent are fair housing requirements and the availability of hardshipacquisition discussed at public hearings when minorities are to be relocated. City of Carlsbad, CA ��� Disadvantaged Business Enterprise Program Page 26 of 26 City of Carlsbad, CA m X :I: CJ:I --I > •Virginia McCoyCity of Carlsbad Public Wolks•Engineering 1635 Faraday Avenue Carlsbad, CA 92008 City of Carlsbad DBE Program Organizational· Chart FY 2000-2001 CITY COUNCIL ADMIN SERVICES DIRECTOR CITY MANAGER CITY ATTORNEY Jim Elliott Ray Patchett Ron Ball (760) 434-2821 (760) 434-2891 choll@cl.cartsbad.ca.us rharl@cl.cartsbad.ca.us I I PURCHASING OFFICER PUBLIC WORKS DIRECTOR Ruth Fletcher Lloyd Hubbs (760) 602-2468 (760) 602-2730 rftetCllcl.eartsbad.ca.us bguzmC11cl.cartsbad .ca. us I DEPUTY CITY ENGINEER -David Hauser(760) 602-2739 dhaus@cl.cartsbad.ca.us I SR. CIVIL ENGINEER -Carrie Loya (760) 602-2746 cloya@ci.carlsbad.ca.us I ·DBE LIAISON OFFICER Virginia McCoy (760) 602-2777 vmcco@cl.carlsbad.ca.us ASSOCIATE ENGINEER Steve Jantz (760) 602-2738 sjant@ci.carlsbad.ca.us MANAGEMENT ASSISTANT Mike Bock -(760) 602-2743 mbock@cl.cartsbad.ca.us ENGINEERING TECH II ENGINEERING TECH II ENGINEERING TECH II Scott Evans Llviu Rosu Alfred Romero (760) 602-2760 (760) 602-2784 (760) 602-2769 sevan@cl.cartsbad.ca.us lrosu@ci.carlsbad.ca.us arome@ci.cartsbad.ca.us z 0 i= 0 c:C .J 0 z :::::, 0 0 AB# MTG. DEPT. 2-20-01 ENG CITY OF CARLSBAD·-AGENDA BILL TITLE: ADOPTION OF A DISADVANTAGED BUSINESS ENTERPRISE (DBE} PROGRAM FOR JANUARY 2001 THROUGH SEPTEMBER 2001 RECOMMENDED ACTION: (JLJ) CITY ATTY. __ _ CITY MGR. Adopt Resolution No. --,-,----=----� repealing City Council Policy Statement No. 59 and adopting City Council Policy Statement No. ___ containing the Caltrans model DBE Program. ITEM EXPLANATION: The City of Carlsbad is required to have a Disadvantaged Business Enterprise (DBE) Program in place in order to apply for Federal funds for design and/or construction of applicable projects. Currently, the City utilizes its own DBE Program approved by the City Council in 1996 as City Council Policy Statement No. 59 which was identical to the one formally administered by SANDAG. In September of 1999, the Federal Government Department of Transportation delegated approval authority to Caltrans for DBE programs for sub-recipients of Federal-Aid Highway Funds. Based on the Federal Guidelines, Caltrans in turn developed the new DBE Program that the City Council is being asked to adopt. The purpose of having a DBE Program is to ensure that a good faith effort is made to recruit and retain DBE firms for work. on Federally funded (in whole or part) City projects. The intent of the new DBE Program is to set a "goal" for inclusion of the DBE firms on Federally funded City projects based on a ratio of available DBE firms to non-disadvantaged firms in the general area. The new draft Caltrans DBE Program, with certain City modifications, was reviewed by City staff and submitted to, and approved by, Caltrans in October, 2000. The program sets Carlsbad's approved goal for 15%. The goal will be re-calculated each year based on factors used in the present calculation combined with updated DBE participation data as warranted. The first City project to utilize the new Caltrans DBE Program will be the Rancho Santa Fe Road Improvement Project, of which one-third of the project costs will be Federally funded. Staff is requesting that the City Council approve Resolution No. _ ___,....,,..,...-=--repealing City Council Policy Statement No. 59 and approving City Council Policy Statement No. 59 which contains, in its entirety, the new Caltrans DBE Program for January 1, 2001 through September 30, 2001. FISCAL IMPACT: If a Caltrans approved program is not in place, the City would lose currently approved, and future apportions of, Federal funds for City projects. The approved Federal funding for three upcoming Capital Projects totals over eighteen million dollars. The projects are: Rancho Santa Fe Widening and Realignment, the Coastal Rail Trail and the Street Pavement Management Project. No additional staff will be needed to implement the new DBE Program since staff time is estimated to remain the same as time spent on past programs and, therefore, would be included in current personnel budgets. EXHIBITS: 1.Resolution No ..--=-c---repealing City Council Policy Statement No. 59 and adopting City Council Policy Statement No. ___ containing the Caltrans new DBE Program. 2.· City Council Policy Statement No. ___ /Caltrans DBE Program. CITY COUNCIL POLICY STATEMENT Policy No .. ____ _ Disadvantaged Business Enterprise Program DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FOR THE CITY OF CARLSBAD CALIFORNIA This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26, and the Model DBE Program as provided in the Caltrans Local Assistance Procedures Manual Chapter 9.