HomeMy WebLinkAbout12 - Disadvantaged Business EnterpriseFebruary 13, 2001
CITY COUNCIL AGENDA
ITEM NO. 12
TO: Mayor and Members of the City Council
FROM: Public Works Department
SUBJECT: ADOPTION OF DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM FOR FEDERAL FY 2001 -02
RECOMMENDATIONS:
1. Approve the DBE Program for the City of Newport Beach for Federal fiscal year
beginning October 1, 2000, and ending September 3, 2001.
2. Authorize the Public Works Director to sign the policy.
DISCUSSION:
During the next three years the City will receive approximately $1.5 million of Federal
funding for capital improvement projects. In order to qualify for these funds, the City
must adopt a revised Disadvantaged Business Enterprise (DBE) program for projects
utilizing these Federal funds.
The City has historically complied will all DBE goals and requirements. The program
has been in place since 1984 when it was then entitled the Minority Business Enterprise
Program. Recent U. S. Department of Transportation regulations require local agencies
to submit a revised DBE Program and update the goals of the program annually.
As a component of the program, contractors retained by the City to construct
improvements funded in full or in part with Federal funds, must indicate to the City what
portion of the contract will be performed by DBE's (firms owned by disadvantaged
groups such as minorities, women, etc.). This policy will not apply to City financed
projects.
Staff has prepared an Overall DBE Goal and Methodology document, attached for your
approval. A public notice stating the City's Overall DBE Goal and Methodology was
published one time on December 13, 2000, and there were no comments received from
the public during the 45 -day review period. A copy of the notice is included as
Attachment A.
SUBJECT: ADOPTION OF DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FOR FEDERAL FY 2001 -02
February 13, 2001
Page 2
The City's overall DBE goal established for Federally funded projects is 11.57 percent
for projects awarded between October 1, 2000, through September 30, 2001. This
overall goal will be updated for each fiscal year when Federal funds are requested. In a
typical contract this means 11.57 percent of the total contract amount will be
subcontracted to certified DBE firms. The goal of 11.57 percent is based on guidelines
established by Caltrans. The DBE goal methodology is included as Attachment B and
the City's DBE Program Policy as Attachment C. Both documents have been reviewed
and approved by Caltrans staff.
Council could choose to not approve the revised DBE program, however, under current
regulations the City will lose its eligibility to receive Federal and State funds.
Respectfully submitted ,
PUBLIC WORKS DEPARTMENT
Don Webb, Director
By: /,4, 4rry�
Lois Thompson
Administrative Coordinator
Attachment: Public Notice dated December 13, 2000
Goal and Methodology Document
DBE Program
AUthofRe(I to Publish Advenisements of all kinds including public notices by
Decree of the Superior Court or Orange County, Calirornla. Number A•6214,
September 29. 1961, and A- 24831 June 11, 1963.
PROOF OF PUBLICATION
t
STATE OF CALIFORNIA)
) SS.
County of Orange )
I am a Citizen of the.United States and a
resident of the County aforesaid; I am over
the age of- eighteen yearsr and not a party to
or interested in the below entitled matter. I
am a principal clerk of the NEWPORT
BEACH -COSTA MESA DAILY PILOT, a
newspaper of general circulation, printed and
published in the City. of Costa Mesa, County
of' Orange, State of California, and that
attached Notice is a true and complete copy
as was printed and published on the
following dates:
December 13, 2000
I declare, under penalty of perjury, that the
foregoing is true and correct.
Executed on December 13 2000
r
at Costa Mesa, California.
Signature
Attachment A
PUBLIC NOTICE
CITY OF
NEWPORT BEACH
NOTICE IS HEREBY
GIVEN. that the City of
Newport Beech has es-
tablished an Overall An.
nual Disadvantaged
Business Enterprise
Goal applicable to con-
tracting opportunities
scheduled to be
port Beach's proposed
Overall Annual Goal and
its rationale were de•
veloped in response to
the U.S. Oeoadment of
and
[owing the date of this
Notice. from 8:00 am. to
5:00 p.m., Pacfic Stan-
dard Time, Monday
through Friday at our
principal place of busy
now located at:
Chu of NewooR Beach
3300 Ne
Newport
Comments will be ac
cepted on the Goal for
forty-five (45) days' from
the date of this Notice.
Comments can be for•
warded to the City of
Newport Beach at the
Of Tra
of 12.
Dis-
Dated at Newport
Beach, California, this
11th day of December
2000.
Published Newport
Beach-Costa Mesa
Daily Pilot December 13.
2000 _ __
CITY OF NEWPORT BEACH
PUBLIC WORKS DEPARTMENT
3300 NEWPORT BLVD.
P.O. BOX 1768, NEWPORT BEACH, CA 92658 -8915
(949) 644 -3311
September 28, 2000
Attachment B
TO: Mr. Alan Williams
District Local Assistance Engineer
Caltrans District 12
3347 Michelson Drive
Irvine, CA 92612 -0661
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 Caltrans Local Assistance
Procedures Manual.
The City of Newport Beach (City) submits our annual overall goal information for your review and
comment. The City proposes an annual overall DBE goal of 11.57% for the Federal Fiscal Year
2000/01, beginning on October 151 and ending on September 301n
Methodology
The City chose to use the Caltrans DBE directories and Census Bureau Data to determine its
overall goal. Staff used the Census Bureau's County Business Pattern database to determine the
number of businesses available by NAICS code. The Caltrans DBE directories were used to
determine the number of all ready, willing, and able businesses in Orange County using Caltrans
WIC codes. The relative availability of DBE's in our market was determined by dividing the
number of available DBE's by the number of all businesses (by NACIS code). This method was
outlined in the workshop presented by Padilla Associates and Caltrans District 12 on September
21, 2000.
Using this data, the City has established an overall DBE goal of 11.57 %. The spreadsheets used
to establish the overall goal are attached for your review.
Breakout of Estimated Race - Neutral and Race - Conscious Participation
The City has three construction projects for fiscal year 00/01 that will utilize Federal participation
funds totaling $890,120. One of the projects has less than $100,000 of Federal participation
funds and will be used as our Race - Neutral project.
The City has established a Race - Neutral goal of 3 %.
DBE Program Updates
The City is adopting Caltrans model program as its own with no changes.
Lois Thompson
DBE Liaison Officer
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Attachment C
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
FOR LOCAL AGENCIES
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City of Newport Beach
Public Works Department
3300 Newport Boulevard
Newport Beach, CA 92663
(949) 644 -3311
(949) 644 -3318 Fax
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26
PRE - APPROVED DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
City of Newport Beach
I Definitions of Terms
The terms used in this program have the meanings defined in 49 CFR §26.5
Objectives /Policy Statement (§ §26.1, 26.23)
The City of Newport Beach (City) 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 has received Federal financial
assistance from the Federal Highway Administration (FHWA), and as a condition of
receiving this assistance, the City will sign an assurance as part of the program
supplement agreement that it will comply with 49 CFR Part 26 for each project.
It is the policy of the City to ensure that DBEs, as defined in part 26, have an equal
opportunity to receive and participate in FHWA- assisted contracts. It is also the City's
policy:
1. To ensure nondiscrimination in the award and administration of FHWA assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for FHWA
assisted contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance with
applicable law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
5. To help remove barriers to the participation of DBEs in FHWA assisted contracts;
and
6. To assist the development of firms that can compete successfully in the market
place outside the DBE Program.
The position of Public Works Administrative Coordinator has been delegated as the
DBE Liaison Officer. In that capacity, the Public Works Administrative Coordinator 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 in its financial assistance agreements with the
California Department of Transportation (Caltrans).
The City has disseminated this policy statement to its Council and all the
components of its organization. The City has distributed this statement to DBE and
non -DBE business communities that perform work for us on FHWA- assisted
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contracts by publishing this statement in general circulation, minority- focused, and
trade association publications.
III Nondiscrimination. ( §26.7)
The City 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 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 ( §26.21)
The City will continue to carry out this program until we have established a new goal
setting methodology or until significant changes to this Pre - approved DBE Program
are adopted. The City will provide to Caltrans a proposed new goal setting
methodology and other program updates by October 1, 2001.
V Quotas ( §26.43)
The City does not use quotas in any way in the administration of this DBE program.
VI DBE Liaison Officer ( DBELO) ( §26.45)
The City has designated the following individual as our DBE Liaison Officer
(DBELO):Lois Thompson, Public Works Administrative Coordinator, City of Newport
Beach P.O. Box 1768, Newport Beach, CA 92658 -8915, 949 - 644 -3335,
Ithompson @city. newpo rt-beach.ca. In that capacity, Lois Thompson is responsible
for implementing all aspects of the DBE program and ensuring that the City of
Newport Beach complies with all provisions of 49 CFR Part 26. This is available on
the Internet at osdbuweb.dot.gov /main.cfm. Lois Thompson has direct, independent
access to the City Manager, Homer Bludau concerning DBE program matters. The
DBELO has a staff of three support personnel who can devote a portion of their time
to the program and direct access to the Project Manager assigned to each project.
An organization chart displaying the DBELO's position in the organization is found in
Attachment A to this 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.
3
2. Reviews third party contracts and purchase requisitions for compliance with this
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's progress toward goal attainment and identifies ways to improve
progress.
7. Participates in pre -bid meetings.
8. Advises the City Manager /Council on DBE matters and achievement.
9. Chairs the DBE Advisory Committee
10. Participates with the legal counsel and project manager 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 will sign the following assurance, applicable to all FHWA- assisted
contracts and their administration as part of the program supplement agreement for
each project:
The City of Newport Beach shall not discriminate on the basis of
race, color, national origin, or sex in the award and performance of
any FHWA assisted contract or in the administration of its DBE
Program or the requirements of 49 CFR part 26. The City shall take
all necessary and reasonable steps under 49 CFR part 26 to ensure
nondiscrimination in the award and administration of FHWA assisted
contracts. The recipient's DBE Program, as required by 49 CFR part
26 and as approved by FHWA, 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 City of Newport Beach 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 Remedies Act of 1986 (31
U.S.C. 3801 et seq.).
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Vlll DBE Financial Institutions
It is the policy of the City 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 FHWA- assisted contracts
to make use of these institutions.
Information on the availability of such institutions can be obtained from the DBE
Liaison Officer. Caltrans' Business Enterprise Program may offer assistance to the
DBE Liaison Officer.
IX Directory ( §26.31)
The City will refer interested persons to the DBE directory available from Caltrans'
Business Enterprise Program website at www.dot.ca.gov /hq /bep.
X Required Contract Clauses (§ §26.13, 26.29)
Contract Assurance
The City will ensure that the following clause is placed in every FHWA- 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 FHWA 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 the City of
Newport Beach deems appropriate."
Prompt Payment
The City will include the following clause or equivalent in each FHWA- assisted prime
contract:
"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 Newport Beach. The prime contractor agrees further to return
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
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occur only for good cause following written approval of the City of Newport
Beach. This clause applies to both DBE and non -DBE subcontractors.
XI Monitoring and Enforcement Mechanisms ( §26.37)
The City will assign a Project Manager to monitor and track actual DBE participation
through contractor and subcontractor reports of payments in accordance with the
following:
A. After Contract Award
After the contract award the City will review the award documents for the portion of
items each DBE and first tier subcontractors will be doing and the dollar value of that
work. With these documents the Project Manager will be able to determine the work
to be performed by the DBEs or subcontractors listed.
B. Pre - construction Conference
1. A preconstruction conference will be scheduled between the Project Manager
and the contractor or their representative, to discuss the work each DBE
subcontractor will perform.
2. Before work can be started on a subcontract, the City will require the contractor
to submit a completed "Subcontracting Request," Exhibit 16 -B of the LAPM.
When the Project Manager receives the completed form it will be checked for
agreement of the first tier subcontractor and DBEs. The Project Manager 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 Project Manager 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.
3. Suppliers, vendors, or manufacturers listed on the "Local Agency Bidder DBE
Information" will be compared to those listed in the completed Exhibit 16 -1 of the
LAPM. 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, which ever
is greater. The statute is designed to prevent bid shopping by contractors. The
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FPA explains that a contractor may not substitute a subcontractor listed in the
original bid except with the approval of the awarding authority.
4. The Project Manager will give the contractor a blank Exhibit 17 -F, "Final Report
Utilization of Disadvantaged Business Enterprises," 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.
C. Construction Contract Monitoring
1. The Project Manager will ensure that the Project Manager's staff (inspectors)
know what items of work each DBE is responsible for. Inspectors will notify the
Project Manager immediately of apparent violations.
2. When someone other than the listed DBE subcontractor is found performing the
work (i.e., employees noted earlier as contractor's or non -DBE subcontractor's),
the Project Manager notifies the contractor of the apparent violation and potential
loss of payment. Based on the contractor's response, the Project Manager will
take appropriate action: 1) If the contractor's response is that the employees will
be on the listed DBE subcontractor payroll, payrolls will be checked when
received, and if the employees in question are not on the listed DBE
subcontractor payroll, payment for the work will be withheld. If the employee is
on the payroll, the City's 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 Caltrans' Business Enterprise Program. 2) If the contractor's
response to the Project Manager is anything other than in action 1) above,
payment for the work will be withheld and a letter will be sent to the contractor
referencing the applicable specification violation and the required withhold of
payment.
3. If the contract requires the submittal of a monthly truck document, the contractor
will be required to submit documentation to the Project Manager 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.
The burden of proof of DBE payment is the responsibility of the contractor.
D. Substitution
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1. When a DBE substitution is requested, the Project Manager will request a letter
from the contractor explaining why substitution is needed. The Project Manager
will obtain a written concurrence from the DBE regarding this change. If the
contractor is not meeting the contract goal with this substitution, the contractor
must provide the required good faith effort to the Project Manager for local
agency consideration.
2. If there is any doubt in the Project Manager's mind regarding the requested
substitution, the Project Manager may contact the DLAE for assistance and
direction.
E. Record Keeping and Final Report Utilization of Disadvantaged Business
Enterprises
1. The contractor shall maintain records showing the name and address of each
first -tier subcontractor. The records shall also show:
a) The name and business address, regardless of tier, of every DBE
subcontractor, DBE vendor of materials and DBE trucking company.
b) The date of payment and the total dollar figure paid to each of the firms.
c) 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.
2. When a construction 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.
a) The Project Manager will compare the completed Exhibit 17 -F to the
contractor's completed Exhibit 15 -G and if applicable to the completed Exhibit
16 -B.
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.
c) The dollar amount should reflect any changes made in planned work done by
the DBE.
d) 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:
(1) There have been no changes made by the Project Manager.
(2) The contractor has not provided a sufficient explanation in the
comments section of the completed Exhibit 17 -F.
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The explanation will be attached to the completed Exhibit 17 -F for submittal. The
Project Manager will file this in the project records.
The local agency's Liaison Officer will keep track of the DBE certification status on
the Internet at www.dot.ca.gov /hq/bep and keep the Project Manager informed of
changes that affect the contract. The Project Manager will require the contractor to
act in accordance with existing contractual commitments regardless of de-
certification.
The City will bring to the attention of the FHWA any false, fraudulent, or dishonest
conduct in connection with the program, so that FHWA can take the steps (e.g., referral
to the Department of Justice for criminal prosecution, referral to the FHWA Inspector
General, action under suspension and debarment or Program Fraud and Civil Penalties
rules) provided in §26.109. We also will consider similar action under our own legal
authorities, including responsibility determinations in future contracts.
XII Overall and Contract Goals ( §26.45 and 26.51)
Amount of ooal
The City's overall goal for the Federal fiscal year FY 2000/01 is the following:
11.57% of the Federal financial assistance in FHWA- assisted contracts. For the
2000/01 fiscal year, the City of Newport Beach will submit their DBE Program and
DBE Overall Goal to Caltrans by January 1, 2001.
The City will use the results of a Caltrans' survey of contractors to assist in the
development of a bidders list. This bidders list will be used to determine the overall
goal for the 2001/02 fiscal year.
The City will establish contract goals only on those FHWA- assisted contracts that
have subcontracting possibilities. The City need not establish a contract goal 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 City will compare the contract
work items 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.
The City will express our contract goals as a percentage of the total amount of a
FHWA- assisted contract.
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XIII Good Faith Efforts ( §26.53)
Information to be submitted
The City treats bidder /offerors' compliance with good faith effort requirements as a
matter of responsiveness. A responsive bid is meeting all the requirements of the
advertisement and proposal.
Each solicitation for which a construction contract goal has been established will
require the bidders /offerors to submit the following information to City of Newport
Beach, P.O. Box 1768, Newport Beach, CA 92658 -8915 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 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
4. Written and signed documentation of commitment to use a DBE subcontractor
whose participation it submits to meet a contract goal;
5. Written and signed confirmation from the DBE that it is participating in the
contract as provided in the prime contractor's commitment; and
6. If the contract goal is not met, evidence of good faith efforts.
Demonstration of 000d 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: Project Manager.
The City will ensure that all information is complete and accurate and adequately
documents the bidder /offeror's good faith efforts before the City commits to the
performance of the contract by the bidder /offeror.
Administrative reconsideration
Within 10 days of being informed by City of Newport Beach 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 request in
writing to the following reconsideration official: Public Works Administrative
Coordinator, City of Newport Beach, P.O. Box 1768, Newport Beach, CA 92658-
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8915. 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 our reconsideration official to discuss the issue of
whether it met the goal or made adequate good faith efforts to do. The City 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 or the FHWA.
Good Faith Efforts when a DBE is replaced on a contract
The City 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 City will require
the prime contractor to notify the Project Manager immediately of the DBE's inability
or unwillingness to perform and provide reasonable documentation.
In this situation, we will require the prime contractor to obtain our 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, our 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.
XIV Counting DBE Participation ( §26.55)
The City 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.
XV Certification ( §26.83(a))
The City ensures that only DBE firms currently certified on Caltrans' directory will
participate as DBEs in our program.
XVI Information Collection and Reporting
Bidders List
The City will create a bidders list, consisting of information about all DBE and non -
DBE firms that bid or quote on FHWA- assisted contracts. The bidders list will
11
include the name, address, DBE/non -DBE status, age, and annual gross receipts of
firms. Initially, the results from a Caltrans' contractor survey will be used to start a
bidders list.
Monitoring Payments to DBEs
The City will require prime contractors 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 Newport Beach, Caltrans or FHWA. This reporting
requirement also extends to any certified DBE subcontractor.
The City will review payments to DBE subcontractors to ensure that the actual
amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in
the schedule of DBE participation.
Reporting to Caltrans
The City will report final utilization of DBE participation to the DLAE using Exhibit 17-
F of the Caltrans' LAPM.
Confidentiality
The City 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
Don Webb
Director of Public Works
This Pre - approved Disadvantaged Business Enterprise Program is accepted by:
[Signature of Caltrans' District Local Assistance Engineer] Date:
12
BUILOINGCODE
L BOARCOFAPPEALS J
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—L PLANNING COMMISSION J
rr CIVIL SERVICE BOARD ,
III
ASSISTANTCITY
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III ELECTORATE II
=CLERK ! CITY ATTORNEY
I I HUMAN RESOURCES
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Labor Relations
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L_ Current Plans d Projects
Mvance Planning
Cade Enforcement
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CITY MANAGER
ADMINISTRATIVE SERVICES
Attachment A -1
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ARTS COMMISSION —7
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LIBRARY BOARD
DEPUTY CITY MANAGER
Wa190ualky
Tkelamz AEnin6traton
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Parka and Trees
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Refuse CoAectbn
Equipment Maintenance
Recycling
PUBLIC WORKS
Enggneenng Water
CIP Management Wastewater
Construction Management Electrical
Revenue 9 f:
FIRE
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(Operations) H .Idc
ainino and F&,.finn Junior Ude
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ELECTED OFFFICIALS COUNCIL APPOINTED BOARDS S COMMISSIONS COUNCIL APPOINTED POSITIONS CITY DEPARTMENTS
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Fiscal Year 2000 -2001 N-- 4m9 Augusl29, 2000 "11001, 10,0111
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