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HomeMy WebLinkAbout1996-10-08; Council Policy No. 59 (RESCINDED) - Contracting Procedures -Disadvantaged Business Enterprise DBE Program• CITY OF CARLSBAD COUNCIL POLICY STATEMENT General Subject: Specific Subject: CONTRACTING PROCEDURES Disadvantaged Business Enterprise Program • Page 1 of 6 Policy No._5_9 ____ _ Date Issued 10 / 8 / 96 Effective Date 10 / 8 / 96 Cancellation Dale. __ _ SupersedesNo. 59 dated 2/6/96 Copies to: City Council, City Manager, City Attorney, Department and Division Heads, Employee Bulletin Boards, F'ress, File PURPOSE To establish a policy on the utilization of Disadvantaged Business Enterprises (DBEs) in the City of Carlsbad as required on federally funded projects. BACKGROUND Until recently, the San Diego Association of Governments (SAN DAG) maintained this· program for all of the cities in San Diego County. However, effective October 1, 1995, cities are required to adopt their own individual programs. POLICY --Disadvantaged Business Enterprise Program I. Policy Statement It is the policy of the City of Carlsbad (City) to utilize Disadvantaged Business Enterprise(DBEs) and firms as defined in 49 CFR Part 23 in all aspects of contracting to themaximum extent feasible. This policy which is fully described herein constitutes policyand commitment to substantially increase DBE Utilization in all program activities fundedwholly or in part by any U.S. Department of Transportation modal element. The City, its contractors and subcontractors, which are the recipients of Federal-aidfunds, agree to ensure DBE firms have the maximum opportunity to participate in theperformance of contracts and subcontracts. In this regard, the City and all of itscontractors and subcontractors will take all reasonable steps in accordance with 49 CFR Part 23 to ensure that DB!; firms have the maximum opportunity lo compete for andperform contracts. II.Disadvantaged Business Enterprise (DBE) Liaison Officer The City Engineer is the DBE Liaison Officer for the City. He/she will be assigned suchstaff as is necessary to fully implement the provision of 49 CFR Part 23 and such otherDBE programs as may be required. G:,LJBR/JlY'lfNO\WORD\1AC08S\Council Poliq-OBE.dDc: 2/20/01 Ill. Duties of the DBE Liaison Officer Page2 of6 The DBE Liaison Officer shall develop, manage, and implement the DBE Program on a day-to-day basis. Typical duties include, but are not limited to, the following activities: Develop and carry out technical assistance programs for DBEs. Arrange solicitations, time for the presentation of bid, quantities, specifications, and delivery schedules, so as to facilitate the participation of DBEs. Where such changes are found necessary to increase DBE utilization, they will be made in consultation and cooperation with the functional unit involved. Provide guidance to DBEs ih overcoming barriers, such as inability to obtain bonding or financing. Carry out information and communication programs on contracting opportunities in Investigate the services offered by banks owned and controlled by Disadvantaged Business Enterprises. DBEs certified by Caltrans will be utilized. Said listing is to be made available to all project bidders. Said listing will include the following information: Name, address, telephone numbers, ethnic and/or sexual ownership, and type of work performed by firm. Prior to approval of the substitution of any DBE sub-contractor, the prime · contractors will be required to prove performance of good faith efforts to replace the DBE with another eligible DBE. Establish a DBE overall annual goal. The goals shall be evaluated annually and adjusted as necessary. Establish an appropriate individual project DBE goal for each Federal-aid project Perform good faith analysis when the project goal is not achieved. Maintain such documentation as is necessary to verify performance of all activities included in this program. H;\WORD\JAC'OB.r\Oluncil Policy-08.E.doc • Page 3 of6 IV.Public Notification 1.At the time of submittal of this program to the State Department of Transportation, anotice in both minority and majority local media will be published. Said publicationshall include: The annual overall DBE goal. Notification that a description of how the goal was set is available for public inspection for a period of thirty (30) days. Notification that both U.S. DOT and the City will accept comments on the goal for 45 days from the date of the notice. The notice shall ad\Jise interested parties that comments are for information purposes only. 2.This program will be reaffirmed by public notice annually at the time of publication of the overall goal. If substantial changes are made to this document, the entiredocument shall be subject to the notification noted in 1 above. 3.In addition to the foregoing, interested disadvantaged and majority contractororganizations will receive direct mailings of this complete program. V.Establishment of Goal 1.The DBE goal will be established both annually (overall) and on a per contractbasis. The overall goal will be based on planned contract activity for the comingyear. The overall goal established will be subject to methodology and proceduresestablished in 49 CFR Part 23, Subparts (C) and (D) and take effect on October 1stof each year. 2.The overall DBE goal established with this annual program is 15%. 3.Individual project goals will be established based on the following criteria: Attainment of established overall goals. Size of project. Opportunities for DBEs as subcontractors, vendors, and suppliers. Minority population of geographic area in which work is to be performed. DBE goals being utilized in the geographic area by other State, Federal, or local jurisdictions. Availability of certified DBEs. Past experience on projects similar to the project being evaluated. Such other factors as may affect the utilization of DBEs. Complete evaluation documentation will be retained for each project. • • Page 4 of 6 4.Projects which do not contain a specific goal will contain the following provisions: A."Policy. It is the policy of the Department of Transportation that disadvantagedbusiness enterprises as defined in 49 CFR Part 23 shall have the maximumopportunity to participate in the performance of contracts financed in whole orin part with Federal funds under this agreement. Consequently, the DBErequirements of 49 CFR Part 23 apply to this agreement." B."DBE Obligation. The recipient or its contractor agrees to ensure thatdisadvantaged business enterprises as defined in 49 CFR Part 23 have themaximum opportunity to participate in the performance of contracts andsubcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all recipients or contractors shall take allnecessary and reasonable steps in accordance with 49 CFR Part 23 to ensurethat disadvantaged business enterprises have the maximum opportunity tocompete for and perform contracts. Recipients and their contractors shall notdiscriminate on the basis of race, color, national origin, or sex in the award andperformance of DOT-assisted contracts." VI.Contract Procedure This program shall be implemented through the utilization of a contract special provision which will be provided/updated as necessary by Caltrans' Office of Local Programs. These procedures require bidders to submit the names of DBE subcontractors and suppliers, a description of the work each is to perform or material to be furnished, and the dollar value of each DBE subactivity. VII. DBE Notification Projects will be advertised in local newspapers and minority focus newspapers when possible. These ads will include reference to DBE requirements and will indicate the DBE project goal. DBE supportive service assistance centers will receive notification of projects scheduled to be advertised. Such centers will be afforded the opportunity to receive complimentary plans and specifications for projects within their geographical area of responsibility. H:\WORD\IACOBS\Council Poli<}'-DBE.doc • • Page 5 of 6 VIII. Selection Criteria for Projects with DBE Goal Every project containing a DBE goal shall be evaluated by the DBE Liaison Officer orhis/her designee to ascertain bidding contractors' efforts to attain the DBE goal. Theaward of any project must be concurred with by the DBE Liaison Officer or his/herdesignee before said contract may be awarded. Should there be disagreement betweenfunctional units concerning contractors' efforts to attain contract goals for DBEparticipation. the matter shall be referred to the City Manager or his/her designee, for finaldetermination. Competitors that fail to meet the DBE goal and fail to demonstrate sufficient reasonablegood faith effort shall be declared non-responsive and ineligible for award of the contract. All contracts that contain a DBE goal, pursuant to this policy, will be monitored on anongoing basis by project personnel during the course of construction. The DBE LiaisonOfficer is to be immediately advised of any circumstance wherein contractor compliancewith the DBE provision is questionable. The contractor shall submit a final report foreach project which includes total payments to the prime contractor as well as anypayments the prime contractor has made to DBE subcontractors, vendors, and suppliers.If the report indicates the prime contractor has not achieved the project goal, projectpersonnel shall attach an evaluation, in narrative form, of the reasons for failure to attainthe goal and any corrective action that was taken. Prime contractors will be required to notify the City of any situation in which regularly scheduled progress payments are not made to DBE subcontractors, vendors, or suppliers. IX. Counting DBE Participants The City, its contractors, and subcontractors shall count DBE participation in accordancewith the provisions of Section 23.47, Title 49, of the Code of Federal Regulations. X.Records and Reports 1.The DBE Liaison Officer shall maintain such records, and provide such reports, asare necessary to ensure full compliance with this policy. Such records and reportsshall include, as a minimum, the following information: Awards to DBEs Awards to majority contractors Final project reports concerning DBE utilization Sl!ch other data as is needed to fully evaluate compliance with this program 2.The DBE Liaison Officer shall submit reports to Caltrans and/or to the appropriateU.S. DOT modal element as required. H:\WORD\JACOBS\Ccuncil Policy-DBE.doc " • • Page 6 of6 XI.Complaints Any complaints received by the City concerning this program will be investigated by theCity Manaaer or his/her designee. I-le/she will endeavor to resolve said complaints withinninety (90) days of receipt by the DBE Liaison Officer. The appropriate DOT modalelement and Caltrans will be furnished a copy of the complaint and may be invited toparticipate in the investigation/resolution. The DOT modal element and Caltrans willreceive a complete investigative report on the complaint and may be requested to concurin the proposed disposition of said complaint. Contractors will be directed to notify the City of any complaints they may receiveconcerning this program. G.\UBRAAYIB/GIWORD\1ACOBS\Coun.;il Policy-DBE.doc