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HomeMy WebLinkAboutAGENDA REPORT 2001 0117 CC REG ITEM 11CTO: FROM: DATE: ITEM � � • C • CiTV nF %T00RP1RK. C1kLTTT"-' %1A 0tv CtltlnCi1 :%Tcet ag of �1 n )Zc>al ACTT0N; �T�PT RED MOORPARK CITY COUNCIL AGENDA REPORT Honorable City Council Mike Mathews, Senior Management Analyst �1AA, January 4, 2001 (CC Meeting of 1/17/2001) SUBJECT: CONSIDER RESOLUTION NO. 2001- ADOPTING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FOR THE CITY OF MOORPARK BACKGROUND The Federal Highway Administration (FHWA) requires that all cities that use Federal funds for road construction have an approved DBE program in place to comply with civil rights legislation. Each City must attempt to use minority or women -owned businesses in a ratio equal to the proportion of these businesses in the local region. The goal used in the past was 100 of the bid amount. Once this target rate is set, all successful bidders for City contracts that include Federal monies must attempt to use minority or women -owned contractors or subcontractors to meet the target rate. If they are unable to do so, they must document their efforts to meet the requirements. The following list shows several construction projects in Moorpark which have or will use Federal funding. Proiects Usina Federal Funds 1. 1995 Street A/C Overlay 2. 1998 Street A/C Overlay 3. Spring Road Bridge 4. Widening of L. A. Avenue at Beltramo (future) 5. L. A. Avenue Signal Interconnect (future) Federal Fundina Source ISTEA TEA -21 HBRR STP CMAQ Honorable City Council 1/4/01 for CC meeting of 1/17/01 Page 2 DISCUSSION The DBE requirements were changed for calendar year 2001. Staff worked with the Ventura County Transportation Commission and the other cities in the county to identify eligible firms for the DBE program. The recommended revised goal for the City of Moorpark is 140. In the future, bidders for City contracts that include Federal funding must either meet the 14% requirement or demonstrate a good - faith effort that they attempted to meet this goal. STAFF RECOMMENDATION Adopt Resolution No. 2001- (Exhibit A) approving the Disadvantaged Business Enterprise program. Attachments: Exhibit A: Resolution No. 2001- SraffReports OBE -SR C u �� Li RESOLUTION NO. 2001- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF MOORPARK, CALIFORNIA, REGARDING THE ADOPTION OF A DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM AND DIRECTING ITS IMPLEMENTATION WHEREAS, local agencies applying for Federal funds must comply with all the elements of Title 49, Part 26 of the code of Federal Regulations (CFR) entitled Participation by Disadvantaged Enterprises in Department of Transportation Financial Assisted Programs; and WHEREAS, the State of California Department of Transportation (Caltrans) will monitor local agencies' procedures to assure compliance with Title VI and Title VIII of the Civil Rights Act of 1964 and 1968 respectively; and WHEREAS, the City of Moorpark receives Federal financial assistance from the Federal Highway Administration (FHWA); and WHEREAS, the adoption and implementation of a Disadvantaged Business Enterprise (DBE) program is required before submission of a Request for Authorization to proceed with a Federal aid project. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF MOORPARK DOES HEREBY RESOLVE AS FOLLOWS: SECTION 1. The City of Moorpark Disadvantaged Business Enterprise (DBE)Program, which is attached hereto, is hereby adopted and becomes effective immediately. SECTION 2. The Public Works Director shall administer the terms of the Program on behalf of the City. SECTION 3. The City Clerk shall certify to the adoption of this resolution and shall cause a certified resolution to be filed in the book of original resolutions. PASSED AND ADOPTED this 17r`' day of January, 2001. Patrick Hunter, Mayor ATTEST: Deborah S. Traffenstedt, City Clerk Attachment: Exhibit 1, DBE Program R-- /DBE -R... V 1 e G L= Exhibit 1 CITY OF MOORPARK DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26 I Definitions of Terms The terms used in this program have the meanings defined in 49 CFR §26.5. H Objectives/Policy Statement (§ §26.1, 26.23) The City of Moorpark 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 Moorpark has received Federal financial assistance from the DOT, and as a condition of receiving this assistance, the City of Moorpark will sign an assurance that it will comply with 49 CFR Part 26. It is the policy of the City of Moorpark to ensure that DBEs, as defined in part 26, have an equal opportunity to receive and participate in DOT - assisted contracts. It is also 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 firms that can compete successfully in the market place outside the DBE Program. Kenneth C. Gilbert, Director of Public Works has been delegated as the DBE Liaison Officer. In C 13, 6 A- ^.L City of Moorpark DBE Program that capacity, he 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 Moorpark in its financial assistance agreements with the California Department of Transportation ( Caltrans). The City of Moorpark has disseminated this policy statement to the 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) The City of Moorpark 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 of Moorpark 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 of Moorpark will continue to carry out this program until it has established a new goal setting methodology or until significant changes to this DBE Program are adopted. The City of Moorpark 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) The City of Moorpark 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 Moorpark has designated the following individual as the DBE Liaison Officer: Kenneth C. Gilbert, Director of Public Works, 799 Moorpark Avenue, Moorpark, CA 93021, (805) 529 -6864, kgilbert@ci.moorpark.ca.us. In that capacity, he is responsible for implementing all aspects of the DBE program and ensuring that the City of Moorpark complies with all provisions of 49 CFR Part 26. This is available on the Internet at osdbuweb.dot.gov /main.cfin. Kenneth C. Gilbert has direct, independent access to the City Manager concerning DBE program matters.. The DBELO has a staff of 2 professional employees assigned to the DBE program on a part-time basis. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination other appropriate officials. Duties and responsibilities include the following: Page 2 of 12 C1131U116 City of Moorpark DBE Program 1. Gathers and reports statistical data and other information as required. 2. Reviews third party contracts and purchase requisitions for compliance with this program. 3. Works with all departments to set overall annual goals. 4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race - neutral methods and contract specific goals) and monitors results. 6. Analyzes the City of Moorpark'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 with information and assistance in preparing bids, obtaining bonding and insurance. 12. Plans and participates in DBE training seminars. 13. Provides outreach to DBEs and community organizations to advise them of opportunities. VII Federal Financial Assistance Agreement Assurance ( §26.13) The City of Moorpark 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 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 Remedies Act of 1986 (31 U.S.C. 3801 et seq.). VIII DBE Financial Institutions It is the policy of the City of Moorpark 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. Page 3 of 12 C %3, 0 11 1 City of Moorpark DBE Program IX Directory ( §26.3 l ) The City of Moorpark will refer interested persons to the DBE directory available from the Caltrans Disadvantaged Business Enterprise Program website at www.dot.ca.gov/hq/bep. X Overconcentration ( §26.33) The City of Moorpark has not identified any types of work in DOT - assisted contracts that have an overconcentration of DBE participation. If in the future the City of Moorpark 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 City of Moorpark does not have a business development or mentor - protege program. If the City of Moorpark 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. XII Required Contract Clauses (§ §26.13, 26.29) Contract Assurance The City of Moorpark ensures that the following clause is placed in every 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 Moorpark ensures that the following clauses or equivalent will be included in each DOT - assisted prime contract: Satisfactory 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 Page 4 of 12 C10118 City of Moorpark DBE Program the prime contractor receives from the City of Moorpark. 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 Moorpark. 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 City of Moorpark. This clause applies to both DBE and non -DBE subcontractors. XIII Monitoring and Enforcement Mechanisms ( §26.37) The City of Moorpark 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 following: After Contract Award After the contract award the City of Moorpark 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 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 listed on the "Local Agency Bidder DBE Information" will be compared to those listed in the completed Exhibit 16 -I of the LAPM or equivalent. Differences must be resolved by either making corrections or requesting a substitution. Page 5 of 12 C * 0119 City of Moorpark DBE Program 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, whichever is greater. The statute is designed to prevent bid shopping by contractors. The FPA explains that 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 Exhibit 17 -F, "Final Report Utilization of Disadvantaged Business Enterprises, First Tier Subcontractors" 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. 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 the RE immediately of apparent violations. When a firm other than the listed DBE subcontractor is found performing the work, the RE will 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 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 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 Manager will notify, in writing, the DBE 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 Page 6 of 12 C00120 City of Moorpark DBE Program 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 for 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: 1. The name and business address, regardless of tier, of every DBE subcontractor, DBE vendor of materials and DBE trucking company. 2. The date of payment and the total dollar figure paid to each of the firms. 3. The DBE prime contractor shall also show the date of work performed by their own forces along with the corresponding dollar value of the work claimed toward DBE goals. When a contract has been completed the contractor will provide a summary of the records stated above. The DBE utilization information will be documented on Exhibit 17 -F and will be submitted to the DLAE attached to the Report of Expenditures. The RE will compare the completed Exhibit 17 -F to the contractor's completed Exhibit 15 -G and, if applicable, to the completed Exhibit 16 -13. 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 comment 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 Internet at www.dot.ca.gov /hq/bep and keep the RE informed of changes that affect the contract. The RE will require the contractor to act in accordance with existing contractual commitments regardless of decertification. The DLAE will use the PS &E checklist to monitor the City of Moorpark's commitment to require bidders list information to be submitted to the City 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. Page 7 of 12 C. ^ 0 City of Moorpark DBE Program The City of Moorpark will bring to the attention of the DOT through the DLAE any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in §26.109. The City of Moorpark also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. XW Overall Goals ( §26.45) Amount of Goal The City of Moorpark's overall goal for the Federal fiscal year FY 2000/2001 is 14% of the Federal financial assistance in FHWA- assisted contracts. This overall goal is broken down into 3% race - conscious and 11 % race - neutral components. MethodolgW The number of firms doing business in Ventura County under line item 23411 "Highway and Street Construction" is 35. Six businesses were identified as DBE's that could be considered as subcontractors doing highway and street construction (6/35 = 17.14 %). The number of firms doing business in Ventura County under line item 54133 "Engineering Services" is 211. One DBE firm was identified to perform the needed services (1/211= .47 %). See the attached spreadsheet for the calculations. Breakout of Estimated Race - Neutral and Race - Conscious Participation Of the overall annual 14% goal for DBE participation, the City of Moorpark projects meeting 11% of the goal utilizing race - neutral methods, including making efforts to assure that bidding and contract requirements facilitate participation by DBE's 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 DBE's and other small businesses. The remaining 3% of the goal is anticipated to be accomplished through race- conscious 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 City of Moorpark will publish a notice of Page 8 of 12 C'301 C, , City of Moorpark DBE Program the proposed overall goal, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at City Hall for 30 days following the date of the notice, and informing the public that the City of Moorpark's comments will be accepted 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. 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 Moorpark'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 Moorpark may begin using the overall goal on October 1 of each year. XV Contract Goals ( §26.51) The City of Moorpark will use contract goals to meet any portion of the overall goal the City does not project being able to meet by the use of race - neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the overall goal that is not projected to be met through the use of race - neutral means. Contract goals will be established only on those DOT- assisted contracts that have subcontracting possibilities. Contract goals need not be established on every such contract, and the size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the particular type of work). The contract work items will be compared with eligible DBE contractors willing to work on the project. A determination will also be made to decide which items are likely to be performed by the prime contractor and which ones are likely to be performed by the subcontractor(s). The goal will then be incorporated into the contract documents. Contract goals will be expressed as a percentage of the total amount of a DOT - assisted contract. XVI Transit Vehicle Manufacturers ( §26.49) If DOT - assisted contracts will include transit vehicle procurements, the City of Moorpark 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 Moorpark will direct the transit vehicle manufacturer to the subject requirements located on the Internet at http:// osdbuweb .dot.gov /programs/dbe /dbe.htm. XVU Good Faith Efforts ( §26.53) Information to be Submitted The City of Moorpark treats bidders' /offerors' compliance with good faith effort requirements as a matter of responsiveness. A responsive proposal is meeting all the requirements of the Page 9 of 12 City of Moorpark DBE Program advertisement and solicitation. Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the following information to Moorpark City Hall no later than 4:00 p.m. on or before the fourth day, not including Saturdays, Sundays and legal holidays, following bid opening: 1. The names and addresses of known DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform: 3. The dollar amount of the participation of each DBE firm participation 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 whether a bidder /offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive: DBE Liaison Officer. The City of Moorpark 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. Administrative Reconsideration Within 10 days of being informed by the City of Moorpark 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 DBE Liaison Officer. 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 so. The City of Moorpark will send the bidder /offeror a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to Caltrans, FHWA or the DOT. Good Faith Efforts when a DBE is Replaced on a Contract Page 10 of 12 C CU1Ze City of Moorpark DBE Program The City of Moorpark 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 Moorpark 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 City of Moorpark 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 City of Moorpark 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 Documents previously mentioned. Also, refer to XIII. "After Contract Award." XIX Certification ( §26.83(a)) The City of Moorpark 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 City of Moorpark 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 Payments to DBEs Prime contractors are required 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 Moorpark, Caltrans, FHWA, or DOT. This reporting requirement also extends to any certified DBE subcontractor. Payments to DBE subcontractors will be reviewed by the City of Moorpark 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 Page 11 of 12 C %7.10 7 r City of Moorpark DBE Program The City of Moorpark - Final utilization of DBE participation will be reported to the DLAE using Exhibit 17 -F of the Caltrans' LAPM. Confidential The City of Moorpark will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local laws. / ��11✓ � .> /d ��va Date: Steven Kueny, City Manager This Disadvantaged Business Enterprises Program is accepted by: Date: ., 4A, Pagel x,99 W CITY OF MOORPARK ANNUAL OVERALL GOAL INFORMATION TO: CALTRANS DISTRICT NO. 7 District Local Assistance 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 Local Assistance Procedures Manual. The City of Moorpark submits our annual overall goal information (and any needed updates of our DBE program) for your review and comment. We have established an annual overall DBE goal of 14 % for the Federal Fiscal Year 2000 / 2001, beginning on July 1, 2000 and ending on June 30, 2001. Methodology The number of firms doing business in Ventura County under line item 231411 "Highway and Street Construction" is 35. Six businesses were identified that could be considered as subcontractors doing highway and street construction (6/35 = 17.14 %). The number of firms doing business in Ventura County under line item 54133 "Engineering Services" is 211. One company was identified as being capable of performing the needed services (1/211= .47 %). See the attached spreadsheet for the calculations. Breakout of Estimated Race - Neutral and Race- Conscious Participation Of the overall annual 14% goal for DBE participation, the City of Moorpark projects meeting 11% of the goal utilizing race - neutral methods, including making efforts to assure that bidding and contract requirements facilitate participation by DBE's 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 DBE's and other small businesses. The remaining 3% 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's overall annual DBE goal. Public Participation The City of Moorpark has published a Public Notice in general circulation media announcing the City's proposed overall annual goals for I Y 2000 -2001 contracts assisted by FTA. Such Notice informed the public that the proposed goals and their rationale were available for inspection at City Hall during normal business hours for 30 days following the date of the Public Notice and, that the City and FWHA will accept comments on the goals for 45 days from the date of the Public Notice. The required public participation provisions will be fully satisfied prior to submitting the City's DBE Program and Overall Annual DBE Goal for Final Review and Approval. Kenneth C. Gilbert DBE Liaison Officer F -,-I DBF;E.,1 ,0911 -2 do, 1 z - -2 Date �J14VL1 MOORPARK i 799 Moorpark Avenue Moorpark, California 93021 (805) 529 -6864 TO BE USED FOR DESIGN -BUILD CONTRACTS The following are hereby incorporated into the Agency's (City of Moorpark) Disadvantaged Business Enterprise (DBE) Program: II Objectives/Policy Statement (§ §26.1, 26.23) At the end of the first paragraph, add the following: The Agency recognizes that certain modifications are necessary to adapt the program for use in connection with design -build contracts, and has therefore established certain procedures applicable to design -build DBE contracts under the DBE Program. Public Contract Code .Section 4109 requires subcontractors to he identified by the prime contractor for the subletting or subcontracting of any portion of the work in excess of one -half of 1 percent of the prime contractor's total bid Exceptions are only in the cases of public emergency or necessity, and then only after a finding reduced to writing as a public record of the awarding authority setting forth the facts constituting the emergency or necessity. The written public record of the awarding authority /Agency as to either emergency or necessity is attached hereto (See Appendix C'forsample). X111 Monitoring and Enforcement Mechanisms ( §26.37) At the end of the first paragraph below "After Contract Award ", add the following paragraph: After Design -Build Contract Award As described in the Section entitled "GOOD FAITH EFFORTS" below, each proposer for an Agency design -build contract will be required to submit a DBE Performance Plan as part of a responsive proposal. Following award of a design -build contract and during both the design and construction portions of the project, the design -build contractor will be required to submit documentation, in the form of progress reports described below, to show that the design -build contractor is meeting the contract goal for the project, or if the goal is not being met, the design -build contractor must submit satisfactory evidence that it has made good faith efforts, in accordance with that Section, to meet the goal. Evidence of good faith efforts, as described in 49 CFR Part 26 Section 26.5349 and Appendia: A, will be monitored by the Agency throughout the duration of the design -build project. C (,`1`2 J PA I RICK HUN f ER CLINT HARPER ROSEANN MIKOS KEITH F. MILLHOUSE JOHN E. WOZNIAK ?A_vyor Mayor Pro Tern Counc: :member Counalrncmber Councilmember At the end of the first paragraph below Treconstruction Conference ", add the following sentence: The contractor will promptly provide the Agency with the information required by the fora: entitled "Local Agency DBE Information" upon selection of any DBE or other subcontractor not previously identified by the design -build contractor. During the course of the contract, differences mist be explained and resolved by either making corrections or requesting a substitution. At the end of the fourth paragraph below "Construction Contract Monitoring add the following paragraph: The contractor will provide DBE Progress Reports to the Agency with each invoice and ivill provide an annual report on or before August 1 of each year of the design -build contract. Each report must also include a narrative summary stating whether the contractor is on target with respect to the DBE goal set forth in the design -build contract, whether the goal has been exceeded (stating the amount of the excess), or whether the contractor is behind target (stating the amount of the deficit). XVII Good Faith Efforts ( §26.53) At the end of the third paragraph below "Information to be Submitted ", add the following items: 7. A DBE Performance Plan containing a detailed description of the design - build contractor's planned methodology for achieving the DBE goal stated in the contract, including a description of the good faith efforts the design -build contractor intends to undertake to achieve that goal 8. A design -build proposal must also include an affidavit that the proposer will either attain the DBE goals for the design - build contract or will exercise good faith efforts to do so. At the end of the first paragraph below "Demonstration of Good Faith Efforts ", add the following sentence: If it is a design -build contract, each contractor proposing will be required to submit a DBE Performance Plan as part of a responsive proposal and good faith efforts. Date: Steven Kueny, City Manager C+ %J k.: f)