HomeMy WebLinkAboutRES NO 140-00RESOLUTION NO. _L.4,_O_' 0 0
RESOLUTION ADOPTING THE CITY OF BAKERSFIELD
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM FOR USE ON FEDERALLY FUNDED
HIGHWAY IMPROVEMENT PROJECTS IN THE CITY OF
BAKERSFIELD FOR FISCAL YEAR 2000-01.
WHEREAS, the Federal Highway Administration (FHWA) issued
regulations on April 27, 1981, regarding the use of minority and women owned
businesses on contracts funded with Federal monies; and
WHEREAS, these regulations require that all recipients of United States
Department of Transportation funds develop specific plans for the use of DBE's on
Federally funded projects; and
WHEREAS, the City of Bakersfield has recently completed the required
review and calculated a DBE overall goal based upon the goal methodology described
in the City of Bakersfleld's DBE Program; and
WHEREAS, the calculated goal is for 16% of the FHWA funds received by
the City to go to DBE firms as certified by the California Department of Transportation.
NOW, THEREFORE BE IT RESOLVED that the Council of the City of
Bakersfield hereby adopts the City of Bakersfield DBE Program for use on Federally
funded highway improvement projects administered by the City of Bakersfield during
the 2000-01 Fiscal Year.
BE IT FURTHER RESOLVED that the Public Works Director is hereby
authorized to sign and submit the Program to Caltrans.
.......... 000 ..........
Page 1 of 2 I~lflA~'
I HEREBY CERTIFY that the foregoing Resolution was passed and
adopted by the City Council of the City of Bakersfield at a regular meeting thereof held
on NOV 29 7.000 , by the following vote:
AYES:
NOES:
ABSTAIN:
ABSENT:
COUNCILMEMBER CARSON, DEMOND, MAGGARD, COUCH, GREEN, SULLIVAN, SALVAGGIO
COUNCILMEMBER
COUNClLMEMBER
COUNCILMEMBER
CITY CLERK and Ex Officio C~rk of the
Council of the City of Bakersfle[d
APPROVED
NOV 29
BOB PlaiCE
MAYOR of the City of Bakersfield
APPROVED as to form:
ClTY~,TTORNEY of the City of Bakersfield
Page 2 of 2~pages~-
ROADS DEPARTMENT
CRAIG M. POPE, RE., Director
2700 "M" STREET, SUITE 400
BAKERSFIELD, CA 93307-2370
Phone: 661-86'*2-8850
FAX: 661-862-8851
Toll Free: 800-552-5376 Option 5
TTY Relay: 800.735-2929
E-Maih roads@co.kem.ca.us
BA~ERSFIE
RESOURCE MANAGEMENTAGENCY
DAVID PRICE ~11, RMA DIRECTOR
Community Development Program Department
Engineering & Survey Services Department
Environmental Health Services Department
Planning Department
Roads Department
October 31. 2000
Ret'.' 5-2.12 DBE
Board of Supervisors
1115 Truxtun Avenue
Bakersfield. CA 93301
Dear Members of the Board of Supervisors:
RE:
Report on Disadvantaged Business Enterprise (DBE) Revisions and lnterkn DBE Text in
Roads Construction Contracts
Federal regulations regarding DBE program and construction contract procedures have been
revised. Combined DBE guidelines for all US Department of Transportation agencies (FHWA,
FAA and FTA). expanded tracking of work by DBE contractors, and substantially increased
local outreach/marketing requirements are some of the key revisions. Among other items, all
recipient agencies of federal funds are required to adopt a new DBE program and modified
construction contract procedures prior to JanuaD' 1, 2001.
Caltrans. as the monitoring agency or' federal funds, has been hurriedly developing model DBE
programs and text for construction contracts. We recently submitted the attached draft program
and text. which is based on the model, to meet Caltrans' processing deadlines. All federal aid
construction contracts advertised at, er October 1. 2000. are required to include the draft DBE
text. After January l, 2001, approved DBE program and text shall be used for all federal aid
projects.
Included in today's Board agenda are requested approval of plans and specifications of
construction projects that include the revised DBE text. The revised text is generally sLmil~ to
existing DBE requirements, except for cited code ret'erences, expanded DBE reporting
requirements by the Contractor, and the addition of allowable DBE work to be pertbrmed by the
Contractor. Previously. ~ork by the prh-ne contractor ~as not qualJi~.'ing DBE work. County
Connse! has review~Jd the interim changes.
At this time, this department is continuing to pursue the revie¥, antl approval process. Public
review. ~ hearing and approva! by your Board will be required prior to final subnfittat c,t' thc
entire approved program to Caltrans. We anticipal, e conducting workshops for contractors.
Printed on F~ec,/c,~ed Pa~er
Board o f Supervisors
Page 2
October 31, 2000
potentially' in combination with the City of Bakersfield or other local agencies.
information ~,il[ be provided at a future date.
IT IS RECOMMENDED that this report be recei,,ed and filed.
Vc~. truly yours.
Craig M. P6pe
Director
LLN:Ia
Enclosures
cc/eric: City of Bakersfield Public Works
Kern Minority Contractors Association
PO Box 2506 Bakersfield. CA. 93302
cc: Airports/Community Development'General Services/PJE
More
EXHIBIT NO, . A ,,,,r ·
CITY OF
BAKERSFIELD
DISADVANTAGED BUSINESS
ENTERPRISE (DBE)
PROGRAM
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26
ORIGINAL
G:IenglSHAREDtDSE PROGRAM~Cibf s Program for FY2OOO_Ol\Mcdel DBE Program-new.wpd rage
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
! Definitions of Terms
The terms used in this program have the meanings defined in 49 CFR {}26.5.
II Objectives/Policy Statement (§§26.1, 26.23)
The City of Baker.~/ield has established a Disadvantaged Business Enterprise (DBE) program in
accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The City
of Bakersfield has received Federal financial assistance from the DOT, and as a condition of receiving
this assistance, the ('ity q/'B~&er. Viehl will sign an assurance that it will comply with 49 CFR Part 26.
It is the policy of the (.'it)' oJ'Bt&er,sfield to ensure that DBEs, as defined in part 26, have an equal
opportunity to receive and participate in DOT-assisted contracts. It is als0 our policy:
To ensure nondiscrimination in the award and administration of DOT-assisted contracts;
To create a level playing field on which DBEs can compete fairly for DOT-assisted
contracts:
To ensure that the DBE Program is narrowly tailored in accordance with applicable law;
To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
To help remove barriers to the participation of DBEs in DOT-assisted contracts; and
To assist the development of DBE firms that can compete successfully in the market place
outside the DBE Program.
The Assistant to the Pt/hlic' ~t),'k.~ Director has been clesi,~,,nated as the DBE Liaison Officer. In that
capacity, the A.¥~si. Ytwtt 1o thc Public tIk,.k.~. Direclor 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 ('lO ~/Baker~/~eld in its financial assistance agreements with
the California Department of Transportation (Caltrans).
The City of Baker,¥/ield has disseminated this policy statement to the ( 'iO' ~?/'Baker.¥/ield ( 'i0 ¢ 'o~mc'il and
all the components of our organization. We have distributed this statement to DBE and non-DBE
business communities that perform work for us on DOT-assisted contracts by publishing this statement
in general circulation, minority-focused and trade association publications.
1II Nondiscrimination (§26.7)
The City of Bakersfield will not 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 oJ B~tkersjie/d 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 individual&t,~(,~-z~
ora particular race, color, sex, or national origin. (~ "/W-o
_ Page~,~21Gl~qlk
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
IV DBE Program Updates (§26.21)
The City of Bakerafield will continue to carry out this program until the City of Bakersfield has
established a new goal setting methodology or until significant changes to this DBE Program are adopted.
The City of Bakerafield will provide to Cahrans a proposed overall goal and goal setting methodology
and other program updates by June I of every year.
V Quotas (§26.43)
The City of Bakersfield will not use quotas or set asides in any way in the administration of this DBE
program.
VI DBE Liaison Officer (DBELO) (§26.45)
The City of Bakersfield has designated the following individual as the DBE Liaison Officer: Assistant
to the Public Works Director, 1501 Truxtun Ave, Bakersfield, California, 93301, (66l) 326-3724,
GLorenzi~ci. bakersfielc~ca, us. In that capacity. The Assistant to the Public Works Director is
responsible for implementing all aspects of the DBE program and ensuring that the City of Bakersfield
complies with all provisions of 49 CFR Part 26. This is available on the Intemet at
osdbuweb.dot.gov/main.cfm. The Assistant to the Public Works Director has direct, independent access
to the Public Works Director concerning DBE program matters. He/she will be assigned such staff as is
necessary to fully implement the provisions of 49 CFR Part 26. An organization chart displaying the
DBELO's position in the organization is found in Appendix B to this program.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination with 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 ~iO; of Bakersfield's progress toward goal attainment and identifies ways
to improve progress.
7. Participates in pre-bid meetings.
8. Advises the CEO/governing body on DBE matters and achievement.
9. Chairs the DBE Advisory Committee.
10. Participates with the legal counsel and project director to determine contractor compliance
with good faith efforts.
11. Provides DBEs ~ith 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 o foppo rt uniti.~ ~'KE~..o
G:Ieog~SHAREDIDBE PROGRAM1City*s Program for FY2000_011Model OBE Program-new.wpd Pageo~,lGlflAk
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRA~I
VII Federal Financial Assistance Agreement Assurance (§26.13)
The City of Bakersfieldwill sign the following assurance, applicable to all FHWA-assisted contra~ts and
their administration as part of the program supplement agreement for each project:
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. 1001 and/or the Program Fraud Civil R~medies Act of 1986 (31
U.S.C. 3801 et seq.).
VIII DBE Financial Institutions
It is the policy of the City of Bakersfield 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 DirectoO' (§26.31)
The City of Bakersfield will refer interested persons to the DBE directory,' available from the Caltrans
Disadvantaged Business Enterprise Program website at w~wv.dot.ca.,oov/hq/bep.
X Overconeentration ({}26.33)
The City of Bakerafield has not identified any types of work in DOT-assisted contracts that have an
overconcentration of DBE participation. If in the future the Cie), of Bakersfield identifies the need to
address overconcentration, measures for addressing overconcentration will be submitted to the DLAE
for approval.
XI Business Development Programs (§26.35)
The CiO' of Bakersfield does not have a business development or mentor-protdgd program. If the ~ 'it~
of BakersfieM 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.
OBIGtN,~L
Page 4
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
XI! Required Contract Clauses (§§26.13.26.29)
Contract Assurance
The City of Bakersfield ensures that the following clause is placed in eve~' DOT-assisted contract and
subcontract:
The contractor or subcontractor shall not discriminate on the basis of race, color, national origin,
or sex in the performance of this contract. The contractor shall carry out applicable requirements
of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the
contractor to carry out these requirements is a material breach of this contract, which may result
in the termination of this contract or such other remedy as recipient deems appropriate.
Prompt Payment
The City of Bakersfield ensures that the i-bllowing clauses or equivalent will be inclnded in each DOT-
assisted prime contract:
Satisfactory Performance
The prime contractor agrees to pay each subcontractor under this prime contract for satisfactoD-
performance of its contract no later than I 0 days from the receipt of each payment the prime
contractor receives from the CiO' q/'Bakersfield. 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 Bakersfiehl. This clause applies to both DBE and non-DBE subcontractors.
Release of Retainage
The prime contractor agrees further to release retainage payments to each subcontractor within
30 days after the subcontractor's work is satisfactorily completed, Any delay or postponement
of payment from the above referenced time frame may occur only for good cause following
written approval of the CiO' of &tker~/ic/d. This clause applies to both DBE and non-DBE
subcontractors.
XIII Monitoring and Enforcement Mechanisms (§26.37)
The City of Bakersfield 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/bllowing:
Page 5
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
After Contract Award
After the contract award the City of Bakersfield 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 RE/Contract 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 local agency will require the contractor to submit a
completed "Subcontracting Request," Exhibit 16-B of the Local Assistance Procedures Manual
(LAPM) or equivalent. When the RE receives the completed form it will be checked for
agreement of the first tier subcontractors and DBEs. The RE will not approve the request when
it identifies someone other than the DBE or first tier subcontractor listed in the previously
completed "Local Agency Bidder DBE Information." Exhibit 15-G. The "Subcontracting
Request" will not be approved until any discrepancies are resolved. If an issue cannot be resolved
at that time, or there is some other concern, the RE will require the contractor to eliminate the
subcontractor in question before signing the subcontracting request. A change in the DBE or first
tier subcontractor may be addressed during a substitution process at a later date.
Suppliers. vendors, or manufacturers I sted on the Local A=ency Bidder DBE Information" will
be compared to those listed in the completed Exhibit 16-B of the LAPM or equivalent.
Differences must be resolved by either making corrections or requesting a substitution.
Substitutions will be subject to the Subletting and Subcontracting Fair Practices Act (FPA).
Local agencies will require contractors to adhere to the provisions within Subletting and
Subcontracting Fair Practices Act (State Lax',-) 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 ma3' 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 ~ ill explain to them that the document will
be required at the end of the project, for ',~ hich payment can be withheld, in conformance with the
contract.
Constrnction Contract ~}Ionitoring
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 hrm other than the hsted DBE subcontractor is found perlormlng the work, the RE vo31 ~
Page~~Ct~q~L
G:~eng~SHARED~DBE PROG~MICi~'s Program for ~2000_01~Model DBE Pr~ew.wpd
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
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 DB E certification number of the owner of the truck for each truck used during
that month for which DBE participation will be claimed. The trucks will be listed by California
Highway Patrol CA number in the daily diary or on a separate piece of paper for documentation.
The numbers are checked by inspectors regularly to confirm compliance.
Providing evidence of DBE payment is the responsibility of the contractor.
Substitution
When a DBE substitution is requested, the RE/Contract Manager will request a letter from the contractor
explaining why substitution is needed. The RE/Contract Manager must review the letter to be sure names
and addresses are shown, dollar values are included, and reason for the request is explained. If the
RE/Contract Manager agrees to the substitution, the RE/Contract Y. lanager will notify, in writing, the
DBE subcontractor regarding the proposed substitution and procedure for written objection from the DBE
subcontractor in accordance uith the Subletting and Subcontracting Fair Practices Act. If the contractor
is not meeting the contract goal with this substitution, the contractor must provide the required good faith
effort to the RE/Contract Manager for local agency consideration.
If there is any doubt in the RE/Contract Manager's mind regarding the requested substitution, the
RE/Contract Manager may contact the DLAE lbr assistance and direction.
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':
The name and business address, regardless of tier. of every DBE subcontractor, DBE
vendor of materials and DBE trucking company.
The date of payment and the total dollar figure paid to each of the firms.
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.
G:~englSHAREDIDBE PROGR~MICity's Program for FY2000_011Model O~E Programmew.wpd .a~e.
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
When a contract has been completed the contractor will provide a summa~ 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 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 local agency's Liaison Officer will keep track of the DBE certification status on the Intemet at
w~v,-.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
&certification.
The DLAE will use the PS&E checklist to monitor the ('lO' e/' Baker.~'/?eht'.s commitment to require
bidders list information to be submitted to the ('iO' O/B~ker!'/ieht 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 CiO' t~/'Bakersfieht 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 (70
of Bakersfield also will consider similar action under our ox;n legal authorities, including responsibility
determinations in future contracts.
XIV Overall Goals (§26.45)
Amount of Goal
The Ci~ of Bakersfield's overall goal for the Federal fiscal 3'ear FY 2001 is the following: /4 % of the
Federal financial assistance in FHWA-assisted contracts. This overall goal is broken down into /4 %
race-conscious and 2 % race-neutral components.
G:Ie~glSHAR~D~DBE PROGRAMICity'$ Program for ~'~Y2000_011Model DI~E Prograrn-new.wpd
Page 8
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Methodologv
The City of Bakersfield has elected to use the "Utilizing the Bidders List" method to determine the
relative availability of DBE 's.
Step 1 -Computing the Base Figure:
1. FH~VA fimded projects were identified for the past 2 fiscal years.
All bidders for each project were listed, in addition to the first tier subcontractors
identified in their bid document. Availability of both DBE's and non-DBE's is
measured by the number offirms that have directly participated in, or attempted
to participate in, DOT funded projects in the past 2 fiscal years.
Each of the entities listed in step 2 were checkedJbr current DBE status on the
Cahrans website www. dot. ca. gov/hq/bep.
Project types were broken down into the following categories:
Resurfacing
Interconnect Projects/TOC
New Signals
Streetscape
Other
Weights were assigned to each project type category depending upon the percent
of each category's contract award amount to the total of DOT contract award
amounts on the worksheet used for the goal methodology.
Each entity on the DOTprojects bidders list was counted only' once to determine
the number of ready, willing and able DBE's and the number of ready, willing
and able firms, even if the entity appeared on the list more than once.
The base figure resuhingfrom the above computations totaled approximately 23%.
Step 2 - Adjusting the Base Figure:
The City of Bakersfield proposes to lower this base figure to 16%. This is because approximately 7%
of the 23% base figure was derived from the "Other" category' which identified only 2 ready; willing anti
able firms, one of which was identified as a DBE on the Cahrans website. The low population sample
for the "Other" category heavily' skews the base figure resuhs.
Page 9
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Possible future fitctors to be considered in adjusting the base figure computed in Step 1 include:
A. Preliminary Bidders List
Current capacity of DBE's (volume of work DBE's have performed in recent
year,O.
C. Relevant Disparity Study results.
D. Another recipient/local agency's approved DBE goal.
The City of Bakersfield anticipates exercising ltem D in the future. The County of Kern 's DBE goal will
be a factor in determining whether or not our base figure should be adjusted (Note: This fi~ctor will be
used after Caltrans ' approval of the DBE Program).
Breakout of Estimated Race-Neutral and Race-Conscious Participation
Or,he overall tttmmd 16% goal fi)r DBE p~,'tic'ipation, the City of Bakersfieldprojects meeting 2% (f
thg~' ,,4oM through race-neutral means. We will ~tttempt to pull out portions of large contracts lo mt&e
them more ttccessihle to small businesses, ifa stq~ticient market size exists for that item. Jbr example.
striping of road~va)ts'. We will also explore altermttives available to provide outreach services relatD~g
to the Cio' O/'Baker.sfield's DBE program.
Process
Starting with the Federal fiscal year 2002. the amount of overall goal. the method to calculate the goal.
and the breakout of estimated race-neutral and race-conscious participation will be required annually by
June 1 in advance of the Federal fiscal year beginning October 1 for FHWA-assisted contracts.
Submittals will be to the Caltrans' DLAE. An exception to this will be if FTA or FAA recipients are
required by FTA or FAA to submit the annual information to them or a designee by another date. FHWA
recipients will follow' this process:
Once the DLAE has responded with preliminary comments and the comments have been
incorporated into the draft overall goal information, the CiO' of Bakersfield 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 CiG' of Bakersfield s' principal office
for 30 days following the date of the notice, and informing the public that the (70
will accept comments on the goals for 45 days following the date of the notice. Advertisements
in newspapers, minority focus media, trade publications, and 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.
CITY OF BAKERSEIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
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 Bakersfield'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 BakersfieM may begin using the overall goal on October 1
of each year.
XV Contract Goals (§26.51)
The City of Bakersfield will use contract goals to meet any portion of the overall goal the City pf
Bakersfield 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 ',',-ill then be incorporated into the contract documents. Contract goals ,,``-ill
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 CiO' of Bakersfield 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 Bakersfieldwill direct the transit vehicle manufacturer to the subject requirements located on the
Interact at http://osdbuweb.dot.o, ov/pro~rams/dbe/dbe.htm.
XVII Good Faith Efforts (§26.53)
Information to be Submitted
The City of Bakersfield 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.
Page 11
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Each solicitation for which a contract goal has been established will require the bidders/offerors to submit
the following information to The City of BakersfieM at the Office of the Purchasing Officer, City Hall,
1501 Tr~rlun Ave, Bakersfield, California 93301 no later than 4:00 p.m. on or before the fourth day, not
including Saturdays, Sundays and legal holidays, following bid opening:
2.
3.
4.
The names and addresses of known DBE firms that will participate in the contract;
A description of the work that each DBE will perform:
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;
Written and signed confirmation from the DBE that it is participating in the contract as
provided in the prime contractor's commitment; and
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. Examples of
good faith efforts are found in Appendix A to Part 26 which is attached.
The following personnel 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:
A DBE oversight committee to be established by the Public Works Director.
The City of Bakersfield ,,,,'ill ensure that all information is complete and accurate and adequately
documents the bidder/offeror's good faith efforts before a commitment to the performance of the contract
by the bidder/offeror is made.
Administrative Reconsideration
Within 10 days of being informed by the City of Bakersfield that it is not responsive because it has not
documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration.
Bidder/offerors should make this recluest in writing to the following reconsideration official: The
Works Director, 1501 Truxtun Ave. Bakersfield, California 93301, (661) 326-$-2~'
RRojas~cLbakersfield. ca. us. The reconsideration official will not have played any role in the original
determination that the bidder/offeror did not make or 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 Baker~fieldwill send the bidder/offeror a written decision on reconsideration, explaining the basis tbr
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
G:~englSHAREO~OeE PROGRAMICi~y's Program ~or PY2OOO_OllModel DBE Program.new.wpd Page
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Good Faith Efforts when a DBE is Rephtced on a Contract
The City of Bakersfield 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 Baker~/iehl'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 (_'it3' of Baker,s;/ield
contracting office will issue an order stopping all or part of payment/work until satisfactory action has
been taken. If the contractor still fails to comply, the contracting officer may issue a termination for
default proceeding.
XVIII Counting DBE Participation (§26.55)
The ('iO' o/'Baker.~/iehtwill 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 (§,6.8o(a))
Th ¢'i0 ~/Bakerx/ie Id 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 ( 'ity q/'Bakers'/?eld will create and maintain a bidders list, consisting of information about all DBE
and non-DBE firms that bid or quote on its DOT-assisted contracts. The bidders list will include the
name, address, DBE/non-DBE status, age, and annual gross receipts of firms.
3[onitoring PalJments to DBEs
Prime contractors are required to maintain records and documents of payments to DBEs lbr three years
following the performance of the contract. These records ,,viii be made available for inspection upon
request by any authorized representative of the ('lO' ~?Bttkersfiehl, Caltrans or FHWA. This reporting
requirement also extends to any certified DBE subcontractor.
Payments to DBE subcontractors will be reviewed by the City of Bakersfield 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
G:IenglSHARED~OI~E PROGRAM~Ci~y's Program for FY2000_OllModel O{~E Program-new.wpd
CITY OF BAKERSFIELD'S DISADVANTAGED BUSLNESS ENTERPRISE (DBE) PROG1L-k_M
Reporting to Caltrans
The City of Bakersfield- Final utilization of DBE participation will be reported to the DLAE using Exhibit
17-F o£the Caltrans' LAPM.
ConfldentialitF
The Ci~ of Bakersfield will disclose any information required by California or Federal laws.
//
This Disadvantaged Business Enterprises Program is accepted by:
[Sigr~atur~c,~ DLAE]
z./ / 6.,I o /
Date
Date
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
APPENDIX A TO PART 26 -- GUIDANCE CONCERNING GOOD FAITH EFFORTS
I. When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order
to be responsible and/or responsive, make good faith efforts to meet the goal. The bidder can meet this
requirement in either of two ways. First, the bidder can meet the goal. documenting commitments for
participation by DB E 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 fillly successful.
11. 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 reasonablej udgment
whether a bidder that did not meet the goal made adequate good faith efforts. It is important for you to
consider the quali~, 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 .',our determination concerning the sufficiency of the firm's good faith
efforts is a judgment call: meeting quantitative formuIas 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 folIou, ing is a list of Dpes 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 ail reasonable and available means (e.g. attendance at pre-bid meetings,
advertising and/or written notices) the interest of all certified DBEs who have the capabiliW to
perform the work of the contract. The bidder must solicit this interest x~ithin sufficient time to
allow the DBEs to respond to the solicitation. The bidder must determine with certainty if the
DBEs are interested b,,, taking appropriate steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood
that the DBE goals ~ill be achieved. This includes, where appropriate, breaking out contract
work items into economically feasible units to facilitate DBE participation, even ~hen the prime
contractor might otherx~ ise prefer to perform these x~ork items with its o~n 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.
G:Ieng~SHAREO[OBE PROGRAMICity*$ Program for F~f 2000_011Model DElE Program-new.wpd
October [$ 2000. II $ AM
CITY OF BAKERSFIELD'S DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
(I) Negotiating in good faith with interested DBEs. It is the bidder's responsibilit): to
make a portion of the ~*ork 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 ~hy
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 capabil ities as welt 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
~vork 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 membership in specific groups, organizations.
or associations and political or social affiliations (for example union vs. non-union employee
status) are not legitimate causes for the rejection or non-solicitation of bids in the contractor's
efforts to meet the project goal.
F. ·Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance
as required by the recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies.
materials, or related assistance or services.
H. Effectively using the services of available minority/women communi~' organizations:
minority/women contractors' groups; local, state, and Federal minoriD'/women business
assistance offices; and other organizations as alloxved 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.
ANNUAL OVERALL GOAL INFORMATION
TO: CALTRANS DISTRICT 6
Distrct Local Assistange Engineer
The amount of overall goal. methodology, breakout of estimated race-neutral and race-conscious
participation, and any DBE program updates are presented herein in accordance with Title 49 of the
Code of Federal Regulations Part 26, and as described in the LocalAssistance Proce&tres ~[anual.
The City of Bakersfield submits our annual overall goal information (and any needed updates of our
DBE program) for your review and comment. We propose an annual overall DBE goal of 16 % for
the Federal Fiscal Year 2000/2001, beginning on October 1. 2000 and ending on September 30, 2001.
Methodology
Refer to Section XIV of the attached draft DBE Program.
Breakout of Estimated Race-Neutral and Race-Conscious Participation
Refer to Section XIV of the attached draft DBE Program.
DBE Program Updates
N/A
DBE Liaison Officer
Date
G:IenglSHAREDIDBE PROGRAM~City's Program for FY2000_01tModel DBE Program-new,wpd
City of Bakersfield
"DBE" Organizational Chart
Appendix B
City Council
I city Manager
Public Works Director
Assistant to the
Public Works Director
"DBE" Liaison Officer
Staff
City Attorney