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HomeMy WebLinkAboutStaff Report 06 2/20/2001 CITY OF PETALUMA;'CALIFORNIA 1 6. AGENDA BILL Agenda Title: Meeting Date: February 20, 2001 ah I. Resolution adopting- the Disadvantaged. Business . Enterprise Program (DBE) for year 2001 for Federally funded projects. Federally funded projects require that all recipients of these funds have a DBE Program. The City's goal for DBE participation:is 7%. This ,goal requires a good faith effort by contractors to contract.?%=of their work to DBE minority contractors. Department: Director's Contact Person: Phone Number: • Public Facilities and Richard Mike Evert 778-4303 'Services Skladzien '22 24 Cost of Proposal: 0.00 Amount Budgeted: 0.00 .Account Number: N/A Attachments to Agenda Packet Item: Exhibit A—Program Description.for Disadvantaged Business Enterprise (DBE) Program Exhibit B—List of required DBE information Exhibit C —Examples of completed City projects and associated DBE,participation I Resolution Adopting-the Disadvantaged Business Enterprise.Program for 2001 Summary Statement: The U.S. Department of Transportation (DOT) and the Federal Aviation Administration (FAA) require that all recipients of Federal funds have a DBE Program The purpose of the program is to provide Disadvantaged Business Enterprise firms (women and minority firms) with the opportunity to participate in the performance of contracts and subcontracts. The attached DBE program has been revised to reflect new DOT guidelines. The City's goal for DBE participation is 7%. This goal requires a•good faith effort by contractors to contract 7% of their°work-to DBE minority contractors. Council Priority: THIS'_AGENDA ITEII:IS-CONSIDERED"T.O.BE"PART OF, OR.NECESSARY To, ONE OR MORE OF THE 1999-2-000 PRIORITIEs ESTABLISHED BY TIIE'CiTY"COUNCIL ON JANUARY 30, 1999. Priority(s): Regional and Local'Transportation Plan; and the Bicycle-Plan. Recommended City Council Action: 'Adopt resolution adopting the Disadvantaged Business Enterprise (DBE) Program for Year 2001 for I Federal 'funded'projects. 1Reviewed:bv Finance Director: Reviewe L a,_ A'ttorney: A i roved by/City Manager: /j� �lDate: 1` 1 ie ' Date: 1. ,1.J (4�0 1. a ,o ( - . c$1 Ar oday's te: ( Revision #,a Y -1 evised: /File. Code: DBE 2/20/01 'I/23/01 # agenda/s/pf&s/me • CITY OF PETALUMA, CALIFORNIA FEBRUARY 20, 2001 • AGENDA REPORT FOR • Disadvantaged:Business Enterprise (DBE) Program For Federally Funded Projects 1. EXECUTIVE,SUMMARY: 1 h US: Department of Transportation'(DOT) and the Federal Aviation Administration (FAA) require that all recipients of Federal funds have a DBE Program. The purpose of the'program is to provide Disadvantaged Business Enterprise" firms (women and minority firms) with the opportunity to participate in-the ,performance of;contracts and subcontracts. The attached DBE program has been revised to.reflect new DOT guidelines. The City's.goal for DBE participation is 7%. This goal requires a good faith effort by contractors to contract 7% of their work to DBE minority contractors. 2. BACKGROUND: • The City's overall goal when utilizing Federal'sfunds for highway and aviation projects is 7%. •, This goal is typical for cities in this,area, andl s-based on the'followingcriteria: • Size of project. • Opportunities for DBE's as subcontractors, vendors, and suppliers. • Minority population ofgeographic area in which work as to be performed. • Availability of certified DBE's.. • Past experience on projects similar to the project,being.,evaluated. • 11 bids received for Federally funded projects will be evaluated to ascertain whether the.prime contractor is meeting the DBE goal. ht Petaluma's case 'the:goal4is:for 7% of the contract work w be done'by DBE minority contractors. If the goal is not in'the bid, the contractor:must demonstrate that he has made a good faithieffort in attainingcthe,goal, or his bid will be considered,non-responsive.and, therefore, ineligible--for award of the contract. The prim e contractor is not required to use DBE contractors ifjtheirtidsrare.higher than non-DBE contractors. • To demonstrate-their good faith effort, contractors:are,required,tosubmit a DBE information packet with theiinforrnation listed on Exhibit B. This listof required information is provided.by Caltrans and becomes part of the-plans and specifications that the contractors°bid on Exhibit C lists exampl'es.of completed,City projects'and associated'DBE participation. The State's approval of Prop 209 eliminated the State's DBE Program; however, Prop 209 does not effect the DBE program requirement when using Federal (ISTEA)fiords. • I I 3. ALTERNATIVES:: \' a. Adopt resolution adopting the DBE':prograin for 2001. b. Modify the DBE•program for,2001: c. no norapprove'a.DBE•program. This would eliniiriate.the.use of Federal fund's. 4. FINANCIAL IMPACTS: Insignificant. • 5. CONCLUSION; The continuation of the,City's DBE program for year 2001 will enable the Cityto7use.Federal funds for the.City's:prOjectS1 6. OUTCOMES'OR PERFORMANCE'MEASUREMENTS THATMILL IDENCIFY SUCCESSOR COMPLETION? Achieve a.7%:DBE goal-in the City's,contructs. • 7. RECOMMENDdTION: - • Adopt resolution:adopting the Disadvantaged Business Enterprise (DBE) Program for Year 2001 for Federal funded projects. • • • I ' I j 1 EXHIBIT "A" Program Description for Local.Agencies, DISADVANTAGED BUSINESS ENTERPRISES:(DBE) PROGRAM • •I I , DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM -City of.Petaluma • California I Definitions of Terms The terms usedin this program have;the.meanings defined in'49 CFR §26.5. II Ob'jectives:'iPolicy Statement (§§26.1, 26:23) • The City of Petalu I ci has established a Disadvantffged Business Enterprise (DBE) program in . accordance with regulations of the US. Department=of Transportation (DOT), 49 CFR Part 26. The City of Petaluma has receiyed Federal financial assistance from,the DOT;'and as a condition of receiving this assistance, the Cit9 of Petaluma will sign an assurance that it will comply"with 49 CPR Part 26. It is the policy of the :City- of Petaluma to ensure that DBEs, as defined in part '26, have an equal. opportunity to receivd and participate•inDOT-assisted contracts. It is also,our policy: To ensure nondiscrimination in the award and administration of contracts; To create;a level playing field on which DBEs can compete fairly forDOT-assisted;contracts; To ensure that the'DBE Program is narrowly tailored in accordance with applicable,law;. that contracts;standards permitted to participate as D IP To hel P ret barriers-to theP artier ation of-DBEs n DOT lassbst d nd To assist the development of firms-that can compete successfully-in the market place outside the DBE.Proerainm. The Director of Public• Facilities.and Services has been:delegated.as the DBE 'Liaison Officer, In that capacity, Richard Skladzien is responsible for implementing all aspects of the DBE- program. Implementation of the DBE program is :accorded the same priority as compliance.with all other legal obligations incurred by the City of Petaluma in its financial assistance agreements with the California Department of Transportation (Caltrans). City ofPetahuna has 'disseminated this policy statement to the,CityofPetaluma.City Council 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. III Nondiscrimination (§26.7) City of Petaluma wills 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 by49 CFR Part X26 on the basis of race, color, sex or national origin. In administering its.DBE program, the City of Petaluma will not, directly or through contractual or other use-criterialor 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,'uses. or national origin. IV .DBE Program Updates (§26.21) ety of Petaluma will continue to carry.out this program:until the3City of Petaluma has established a new goal setting methodology or until significant changes to thisiDBE Program are adopted. City of Petaluma will provide to Caltrans a proposed, overall goal and goal setting; methodology and other program updates-by June 1 of every year. V Quotas (§26.43) City of Petaluma will not use quotas or set;asides in any way in the'adininistration of this DBE program. VI DBE Liaison Officer (DBELO) 026.45) City of Petaluma has designated the following individual .as the DBE Liaison Officer., Richard Skladzien,- City of Petaluma; Department of Public Facilities and'Services,, 22-Bassett Sheet; Petaluma, California, 94952, Phone: (707) 778-4303; Email. iskladzten @cirpetalurrta;ca.us. In that capacity, Richard Skladzien is responsible for implementingall aspects of the DBE program and ensuring that the City of Petaluma complies with-all provisions of 49 CFR Part 26. This is available on the Internet at osdbuweb.dot.gov/main.cfm. Richard Skladzien has direct, independent :access to the City -Manager concerning DBE program matters The DBE Liaison Officer and one additional staff engineer Fare available' to devote a pornon of their time to the program An organization chart displaying the DBELO"s position in the organization is found'in Attachment A to this program. • te.DBELO is responsible for developing; implementing and monitoring the DBE program, in 'ordination 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 City of Petaluma's progress: toward goal attainment; and identifies ways to improve progress. 7. Participatesiin pre-bid meetings.. 8-. .Advises the:CEOigoverning'body'on DBE mattersand achievement. 9:1 Chairs the DBE Ad isoi,y°Committee. 10 .Participates with the legal'counsel and project direct&to determine:contractor compliance with'good faith efforts. Provides DBEs"with information and assistance in preparingbid's;'obtaining bonding and insurance. 121. 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) •y of Petaluma will sign the following=assurance, applieable;to all-FH.W.A-assisted contracts and their administration-as part=of"the program supplement agreement for each project: The recipient shall not discriininate 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 itaindiscrimination in the award and administration of DOT-assisted contracts. , The.recipient's DBE(Program, as required by-49 CFR parh26 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 Remedies Act of 1986"(31 U.S.C.'3801 et seq.): . .VIII DBE Financial Institutions It is the policy of the City of Petaluma to investigate,the full .extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to makea4easonable efforts to use these institutions, and'to encourage prime contractors on _. DOT-assisted contractsto,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`mayaoffer.assistance'ttotthe DBE Liaison Officer. IX Directory (§26.31) City of Petaluma will refer interested persons to the DBE directory available from the Caltrans Business Enterprise Program website at.www:dot.ca.gov/hq/bep. • X Overconcentration (§26.33) City of Petaluma has not identified any types of work in DOT-assisted contracts, that have an overconcentration of DBE participation. If in the future:City ofPetaluina identifies the need to address overconcentration, measures for addressing overconcentration will be submitted to the DLAE- for approval. • • • XI 'Business Development,Programs (§26:35) Airy of Petaluma does not have a business "development or mentor:protege program. If the City of ilittaluma,identifies the need for such a.program ih the future, the rationale•.for.adopting such.a program and a comprehensive desctiption of"it will be s`ubniitted"tb the)DLAE'for approval. XII Required.Contract-Clauses (§§26.13, 26.29) • Contract Assurance City of Petaluma ensures that the following clause is placed in every DOT-assisted contract and subcontract: The contractor or subcontractor shall not 4iscriminate 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 . • • City of Petaluma ensures that the following'clauses or equivalent will be:included in each DOT-assisted rime contract: tisfactory Performance The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no' later than 10 days from the receipt of each payment the prime contractor receives from City of Petaluma. 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 Petaluma. This clause applies to both DBE and non-DBE subcontractors: Release of Retainage Tlie 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 cause1following written approval of the City of Petaluma. This cl'ause,applies to,botti;DBE and non'DBE subcontractors. XIII Monitoring>andtn'forcement Mechanisms (§26.37) Thle City of Petaliu&P will assign a Resident Engineer (RE) Or Contract Manager to monitor and track DBE participation through.contractor and,subcotitractorreportsofipaytnents in accordance with the following: I I After Contract Award After the contract award the.City of Petaluma will review the award documents for the portion of items each DBE and first.tier subcontractor will be performing i and ithe 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. 'sch'eduled 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 1O-B:Of the LAPMyor?equivalent When the RE receives the completed form:it will be checked for agreenient of`the first tier subcontractors.and-DBEs. The'RE will not approve the'irequest when it identifies isomeone:other ythan 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'addtesscd during a substitution process:at a later date. • Suppliers, vendors or:manufacturers listed on the "Local Agency Bidder=`DBE Information' will be compared to those listed in the completed-Exhibit 16-I of theLAPM 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 requirel contractors to adhere to the provisions,within Subletting and Subcontracting-:Fair Practices Act (State Law) Sections 4100-4144. FPA requires the:contractor?to fist 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 designedtto prevent bid shopping by contractor`s-, The FPA explainsthat a contractor may not substitute a subcontractor listed in the original bid except with the approval of the awarding authority. The RE will give, the contractor a blank Exhibitt 17-F, "Final Report Utilization of Disadvantaged Business Enterprises; First Tier Subcontractors" and will explain to then that the document will be o required at the end fithe project, for which payment<-can be withheld, in conformance with,the.contract I _ . Construction Contract.:Monitoring The RE will ensure that;the RE:s staff(inspectors) know what items of work each DBE:is;responsible for performing: Inspectors will:notify tlheRE immediately of apparent • When a firm other tha •the listed DBE subcontractor is found performing the'work, the RE will notify, contractor of the apparent discrepancy and potential loss of'payment Based on the contractor's \'in estieatith to will to a ote action: The DBE=`Liaison Officer will perform •a preliminary once, the RE will take appropriate y. y potential issues related- to :the DBE subcontractor performing a comm ercially'usefd function. Any substantive issues will be forwardedeto the,Galtrans•,Disadvantage • Business:Enterprise Program. If the contractor fails to adequately explain w by 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 R E"showing"the owner's name,California Highway Patrol CA number: and the DBE certification number of the owner of the truck for;each.truck used during that month for which DBE participation will be claimed. The trucks will be listed by California Highway Patrol CA number in'the daily diary or on a separate piece of paper for documentation. The numbers are checked by inspectors regularly to confirm compliance. Providing evidence of DBE payment is the:responsibility of the contractor. Substitution When a DBE substitution is requested, the 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 ames and'addresses are shown, dollar valuesfare included;,and reason for the request is explained. If • . RE/Contract-Manager agrees to the substitution, the RE/ContractcManager will notify:in writing; the BE subcontractor regarding;the proposed substitution and procedure,for written objection from the DBE subcontractor in accordance with the Subletting. and Subcontracting Fair Practices Act: If the contractor is not meeting the contract goal with this substitution, the contractor must provide the required good faith effort to the:RE/Contract Manager forlocal agency consideration. If there is any doubt in the RE/Contract Managers mind regarding) the :requested substitution, the • RE/Contract Manager may'contactiheDLAE for assistance:and.direction., Record Keeping and Final Report Utilization of Disadvantaged Business Enterprises The contractor shallmaintain_records showing the•name,andiaddress ()Peach first-tier subcontractor. The records shall also show: 1. 1 The name and business 'address, regardless of tier;, of eveijy DBE subcontractor, DBE vendor of 1 materials and DBE trucking:compan'y'. 2. The,date of payment and.the:total:dollar figure paid'to each ofthenfirm". 3. ' The DBE prime'. contractor, shall also show the date.of"work- performed by their own forces along ' with thecorrespohdmg;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 th'e'Report of Expenditures. The RE will compare the completed Exhibit 17-F to the contractors completed Exhibit 1:5-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 reflectany.,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 oh.the,completed.Exhibit 15-G when: .: There'have,been no chanees•made by the,RED • • The contractor provided explanation section of the completed ctor has_,:pot rovtded a sufficient ex lanation in the comments�s Exhibit •7-F: • The''explanation will be attached to the:completed Exhibit 17-F for submittal. The.RE•will file thi's'in the project records. The local agency's Liaison.Officer will keep track of the DBE certification status on the Internet at W W.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 Petaluma's commitment •to require bidders list information to be submitted to the ,City of Petaluma, from the awarded ,prime and, subcontractors as a means to develop a bidders list, This monitoring will only take placeaif the,bidders list,information is,required to be'submitted as stipulated in the special provisions. City of Petaluma 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. City of Petaluma also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. • XIV Overall Goals, (§26.45) • • Amount of Goal - City of P.etaluma's overall goal for the Federal fiscal year FFY 2000/01 is the following: 7 % of the - Federal financial asaistance, m_FHWA-assisted contracts. This overall goal is .broken down into .7'%u race-conscious'and:0f%race_neutral components. Methodology.. The City of Petaluma will utilize the County of Sonoma's Approved, Overall Annual Goal for DBE Participation as a means of establishing the City's BaseFigure of relative availability--of`DBEs for FFY -• 2000/01. The County of Sonoma's Overall Annual DBE Goal for FFY 2000/01 was set,in accordance with 49 CFR Part.26:45 criteria and has a substantially similar contracting program within relatively the same market area as the'CityofPetaluma. The County of Sonoma used Caltrans' DBE Directory and the. Census Bureau County Business Database, 'filtered to include>Sono.ina, northern-Mann, ''Solano,:western -Napa-and Lake Counties and E's known to have worked within Sonoma County in prior years. The County of Sonoma established Overall,Annua :DBE Goad of 7% for`FFY 2000%01 • The City reviewed:previous contracts for the current capacity of DBE's measured by actual attainment. The City's:projected.FHWA funded contracts and expenditures for FFY;2000/01 are under the Road Construction work category. The average DBE attainment under this category since FFY 1997/98 is 7.39%. The City of Petaluma anticipates a similar DBE utilization for. FFY 2000%01. Based:on this review, •the Base Figure was not adjusted upward from 7% for DBE participation in the City of Petaluma's DOT assisted contracts projected to be expendedin FY 2000/2001. Breakout-of Estimated Race-Neutral and Race-Conscious Participation Of the overall annual 7% goal for DBE participation, the City of'Petaluma.projects meeting 0% of the goal utilizing race-neutral methods, including making efforts to assure that bidding and contract requirements facilitate participation by DBEs=and other small businesses; unbundling large contracts to make them more accessible to small businesses; encouraging prime contractors to subcontract portions of the work that they might otherwise perform themselves; and providing technical assistance,and other support services to facilitate consideration of DBEs and other-small businesses. The remaining 7% of the goal is:anticipated to be accomplished through race-conscious measures, which includes establishing contract specific goals on contracts with contracting possibilities, when needed; to meet the City of Petaluma's overall annual DBE goal. "cess 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.thisprocess: Once the DLAE has responded witli'prelinrinary comments and the comments have been incorporated into the draft overall goal information, the City of-Petaluma-willTublish a:notice of the proposed overall goal; informing the public that the,proposed goal and its rationale are available for inspection during normal business honks at.the City of Petaluma's principal office for 30:days following the date of the notice. and informing,the public-that City of Petaluma comments will be on the goals for 45 days following the date of the notice.- Advertisements ‘in newspapers, minority focus media, trade publications, and i ebsites Will be the-normal media.to accoinpli'sh.this effort. The notice will include addresses to which,comments may be sent and. addresses {including offices and websites) where the proposal may be'reviewed. The overall goal-resubmission to the Caltrans DLAE, ':will include a sun-unary of information and comments received diniing:this public participation process,and City of Petaluma's-responses. This will .•due.by September 1 to the Caltrans DLAE. The DLAE.will'have,a month to make a final review so ,City of Pet may begin using the overall goal on October 1 of each year. XV Contract Goals (26.51) . • City of Petaluma will usetcontract goals to meet,any portion of the overall goal City of Petaluma 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 (e1g., 'type and',location of work„ availability of'DBEsato-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•prirrie 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 026:49) If DOT-assisted contracts.will include transit vehicle procurements, City of Petaluma'will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on transit vehicle procurements, toacertify that it has complied with the,requirements;of 49 CFRPart'26, Section 49,. City of.Petaluma' will direct the transit vehicle manufacturer to the subject requirements located on the Internet:athttp;//osdbuweb.dot:riov/prograins/dbe/dbe.htm. XVII Good,Faith Efforts (§2653) . Information to be Submitted • City of Petaluma 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 City of Petaluma Department of Public Facilities.and Services, 22; Bassett Street„ Petaluma, ,California; 94952 no later than 4;00 pim. .on or .before' the fourth day; not including;Saturdays,Sundays and.le gat 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 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 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'whetheria.bidder/offeror who has not,met th'e Wntract goal has documented sufficient good faith efforts`. to be regarded as responsive: Richard lad ien, Department of Public Facilities and Services. City of Petaluma will ensure that all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before a commitment to the performance of the contract' by the bidder/offeror is made. Administratives,Recon sideration Within 10 days of being informed by City of Petaluma 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: Fred Stouder, City Manager; City of Petaluma, 11 English Street„Petaluma. California, 94932, Phone: (707) 778-434;5 Email: fstouder @.ci:petaluma.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 havesthe opportunity to meet in person with the reconsideration official to discuss the issuer of whether'it met the goal or made adequate good faith efforts to do so. The ity, of Petaluma will send the bidder/offeror a written decision.on reconsideration, explaining the basis finding that the bidder did or did not meet the;goal or make adequate good'faith efforts to do so. The esult of the reconsideration process is not,administratively appealable to'Caltrans, FHWA or the^DOT. • Good Faith Efforts when a DBE is Replaced on a_Contract City of Petaluma 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 City of Petaluma 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 inv the time specified; City of Petaluma contracting office will issue an order"stoppingall or part of payment/work-until satisfactory action-has been taken. ;If the',contractor still fails to'comply,•the contracting offieer_nYay issue a termination for default proceeding. 1 XVIII Counting DBE Participation (§26.55) City of Petaluma 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. See the Caltrans''Sample Boiler Plate Contract cuments previously mentioned. Also, refer to XIII. '`After Contract-Award." ' XIX Certification (§26:83(x)) • City of Petaluma, ensures that only DBE firms currently certified on the Caltrans' directory will participate:as DBEs in our program. XX Information'Collection andReporting • Bidders List . The City of Petaluma 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., Monitoring:Pawl-rents to--DBEs Prime:contractots are-required.to maintain records and documents of payments to,DBEs;forthree;=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 Petaluma, Caltrans, SHWA, or DOT. This reporting requirement also extends to any-certified DBE subcontractor. Payments to DBE subcontractors will be reviewed' by the City of Petaluma to ensure that the actual amount-paid to DBE subcontractors equals°or exceeds the dollar'amounts stated in.the•ischedule.of DBE participation. Reportine+;td Caltrans City of Petalimra - Final utilization of DBE'participation will be reported to the DEAF.using Exhibit. 17=F.oftheiCaltrans' LAPM. Confidentiality. City of-Petaluma, will safeguard from disclosure to third parties infornation that may reasonably be ,regarded•asconfidential business information, consistent With Federal, state,.and local laws. • Fred Stouder, City,Afanager Date: This Disadvantaged Business3Enterprises.Program is:accepted by • [Signature,of DEAF] • Date: DBE Program for 20012/pf&s/me • ATTACHMENT"A" City of Petaluma, Mayor and City Council I City Manager e Richard Skladzien Director of Public Facilities and Services (DBE Liaison Officer) I . 'EXHIBIT"B" • CITY DBE PROGRAM LIST OF REQUIRED DBE INFORMATION (1/22/01), This project has a goal of utilizing 7 percent disadvantage business enterprise (DBE) participation The 'contract specifications and the City's DBE program require that the contract be awarded to-the lowest responsible bidder whose proposal complies;with all bid requirements prescribed and who has met the goal for DBE participation or has demonstrated, to the satisfaction of the City, a reasonably good faith effort to do so.. The ,information necessary to establish.the bidder's good faith efforts'to meet the .DBE goal should'include: 1. The names:and1,addresses of DBE firms that will participate in the contract;, 2. A.description of the work that each DBE.wilPperform; 3. The=dollar:amount-of the participation of,each DBE firm participation; 4. Written and signed,documentation of commitment to use a DBEsubcontractorxwhose participation it submits to meet a.contracfgoal'; 5. Written and signed confirmation.from the DBE that 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. s\pf&s\admtnAdbe • • _EV M 1 ►31T CITY OF PETALUMA, CALIFORNIA MEMORANDUM Pubis-Facilities.& Services Department,,22 Bassett St.,-Petalinna.CA 94952 (707) 778-4303- Fax 778-4437' E-mail: pubfacilities @ci:petalinna:ca.us DATE: January 24, 2001 TO Rick Skladzien,Director'of Public:Facilities and Services FROM: Michael C. Evert, Engineering Manager --- ; SUBJECT: DBE Funded`Projects and.Associated.DBE'Participation I have reviewed the,list of completed-capital projects to date°. Here are examples of projects that required DBEconsideration. 1. PROJECT NO..9818 ISTEA• BUS'PULLOUTS: E. WASHINGTON ST. AND PROJECT No 9819 ISTEA Bus PULLOUTS–4 ISOL:&TED LocATtovs- a. Constntction Cost (both projects) $115,388.94 b. DBE Participation 2:5%' c. Both projects combined.- $122.0001ISTEA fnndin 2. PROJECT NO. 9820–"B"',ST. SIGNAL AT PETALUMA BLVD. SO. AND'PROJECT NO. 9836–WESTERN AVE. SIGNAL AT PETALUMA BLVD.-No: a. Construction Cost (both,projects) SI59,60.32 b. DBE Participation. . 10.11%: • • c. Combined $60.000 ISTEAfundin2 for both projects 3. PROJECT'No.:9827—TRAFFIC SIGNAL INSTALLATION—E. WASHINGTON ST. AT SONOMA MOUNTAIN PARKWAY/ELY BLVD. So. a: Construction Cost $194;959.43 b. DBE Participation 77% c. $80.000'ISTEA funds and $14,000 State TSiVITUnds 4: PROJECT No.:9821 PHASES I AND 2– US 101/OLD REDWOOD,HWY. RAMP LMP RO V EMENTS9(6/94-6/96). I a. Construction Cost(Ph. 2) $448,000:00 b. DBE Participation:(Ph. 2) 10.5% c. ISTEA fundsand $69;000 State Grant funds 5. PROJECT NO. 9845•-:LAKEVILLE-HWY.`WIDENING PHASE III PROJECT(6/96-7/98). a. Construction Cost $6,951,000.00 b. DBE Participation 2.8% c. Caltrans Maintenance Funds and$349,000SB 140 funds' 6. PROJECT NO. 9878.—.SIGNAL INSTALLATIONSAT PETALUMA BLVD. No. AND SHASTA, AND AT SYCAMORE(11/97). a. Construction Cost $125,000.00 b. DBE:Participation 11.13% c. Federal Share $87,000.00 7: No FEDERALL,Y•FUNDED PROJECTS WERE AWARDED IN 1998. 8. PROJEGT.NO. 9862—LAKEVILLE STREET WIDEC\IING`FROM E. "D'--•STREETTO E... WASHINGTON STREET(11/99-2/00). • •a. Constiuetion•Cost $375,000.00 DBEPartieipation 10.29% c: Federal Share $310,000.00 9. PROJECT S.NO.«9861. "D" ST. BRIDGE REHABILITATION 6/00. • a: Construction Cost $1,320,393.00 b. DBE Participation 1:5% c. Federal Share $927;000:00 5 10. PROJECT 9876-PETALUMA RIVER AND CREEK TRAILS,PROJECT 6/00.. a. Construction Cost $655,765.00 b. DBE Participation 0.50% • c. Federal Share $792,000.00 • • • • • • • • .1 2. 3 4, 5 ADOPT THE DISADVANTAGED 6: 7' BUSINESS ENTERPRISE PROGRAM 8 9 FOR 2001 10 11 12, WHEREAS, the City Council has discussed the proposed. Disadvantaged Business 13 •Enterprise (DBE) Program; 14 15 NOW, THEREFORE, BE IT RESOLVED, by the City Council that the proposed 16 Disadvantaged Business Enterprise, as described in Ekhibit`"'A" is'hereby adopted; and, 17 18 BE IT FURTHER RESOLVED, that the City Clerk is directed to publish a notice 19 regarding the DBE Policy in both minority and majority media. ap 21 21 22 • 23 24 25 S/ME/DBE 12-20-99 Agenda/sb • 26 • •