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CITY OF SAN BERNARDINO -REQUEST FOR COUNCIL ACTION
From: James Funk, Director
Date: March 29,2001
Subject: Resolution of the City of San
Bernardino establishing a Disadvantaged
Business Enterprise (DBE) program and
DBE goals for Federal financial assistance
projects.
Dept: Development Services
File No. 6.14-7180
MCC Date: 4/16/01
Synopsis of Previous Council Action:
None
Recommended Motion:
Adopt Resolution
~~
James Funk
Contact person: T. Jarb Thaipejr, Senior Civil Engineer Phone: '\117
Supporting data attached: Staff Report, Resolution, DBE Program Ward: All
FUNDING REQUIREMENTS: Amount. N I A
Source: (Ace!. No.) N/A
Acct. Description:
Finance:
Council Notes:
Agenda Item No. -9
J/ /1'/0)
CITY OF SAN BERNARDINO - REQUEST FOR COUNCIL ACTION
Staff Report
Subiect:
Resolution of the City of San Bernardino establishing a Disadvantaged Business Enterprise
(DBE) program and DBE goals for Federal financial assistance projects.
Back~round:
As a condition of Federal financial assistance pursuant to recently revised regulations set for
forth under Title 49 CFR, Part 26; Participation by Disadvantaged Business Enterprise in
Department of Transportation Programs, the City of San Bernardino is required to develop and
submit a Disadvantaged Business Enterprise Program and Overall Annual Goal for DBE
participation on U. S. Department of Transportation assisted contracts. In accordance with
these regulations, the City has developed, and CALTRANS has reviewed and approved, a
Final DBE Program and established an Overall Annual DBE Goal for Federal Fiscal Year
(FFY) 200 I in order to ensure full compliance with relevant regulatory requirements.
The City's DBE Program established Overall Annual DBE Goal is 13 percent of the Federal
financial assistance in FHWA-assisted contracts for the Federal Fiscal Year 2000/2001.
This goal was developed utilizing the Federal goal setting methodology that is described in
detail in the attached "APPENDIX D". Briefly, the baseline goal above was obtained by
identifying the types of work categories involved in the federally-assisted projects for this fiscal
year and dividing the number of established DBE firms within San Bernardino County by the
number of all established firms within San Bernardino County in these identified work
categories. Data for this process was obtained from current official state and federal sources.
This process will be repeated annually to maintain relevancy to local market conditions and
factors impacting DBE availability.
Financial Impact:
There is no financial impact to the City.
Recommendation:
Adopt Resolution.
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RESOLUTION NO.
RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE CITY OF SAN
BERNARDINO ESTABLISHING A DISADV ANT AGED BUSINESS ENTERPRISE
(DBE) PROGRAM AND DBE GOALS FOR FEDERAL FINANCIAL ASSISTANCE
PROJECTS.
BE IT RESOLVED BY THE MAYOR AND COMMON COUNCIL OF THE
CITY OF SAN BERNARDINO AS FOLLOWS:
WHEREAS, 49 CFR Part 23 heretofore requires a Disadvantaged Business
Enterprises (DBE) Program for recipients of Department of Transportation funds, and
WHEREAS, the Federal Register states that all sub-recipients of Department of
Transportation funds must prepare their own DBE Program; and
WHEREAS, the City of San Bernardino intends to be a sub-recipient of Department
of Transportation funds;
NOW THEREFORE, BE IT RESOLVED BY THE MAYOR AND COMMON
COUNCIL OF THE CITY OF SAN BERNARDINO AS FOLLOWS:
I. The City of San Bernardino hereby adopts the DBE Program, which is attached
hereto and made a part of this resolution; and
2. The following DBE goals are established for the period of October I, 2000 to
September 30,2001:
Disadvantaged Business Goal of 13.0%
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RESOLUTION...ESTABLISIDNG A DISADVANTAGED BUSINESS ENTERPRISE
(DBE) PROGRAM AND DBE GOALS FOR FEDERAL FINANCIAL ASSISTANCE
PROJECTS.
I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the Mayor
and Common Council of the City of San Bernardino at a
meeting thereof, held
on the _ day of
.2001, by the following vote, to wit:
Council Members:
AYES
NAYS
ABSENT
ABSTAIN
ESTRADA
LIEN
MC GINNIS
SCHNETZ
SUAREZ
ANDERSON
MC CAMMACK
City Clerk
The foregoing resolution is hereby approved this
, 200 1.
day of
Judith Valles, Mayor
City of San Bernardino
Approved as to
Form and legal content:
JAMES F. PENMAN,
City Attorney
By:
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EXHIBIT 1
CITY
OF
SAN BERNARDINO
DISADV ANTAGED
BUSINESS ENTERPRISE
PROGRAM
Submitted infulfillment of:
Section 1101 of the Transportation Equity Act for the 21 st Century
Title 49 Code of Federal Regulations, Part 26
and
Caltrans Local Assistance Procedures Manual
CITY OF SAN BERNARDINO
DISADV ANT AGED BUSINESS ENTERPRISE (DBE) PROGRAM
TABLE OF CONTENTS
I Definition of Terms ...........................................................................................1
II Objectives/Policy Statement ............................................................................1
III N ondiscrimination............................................................................................ 2
IV DBE Program Updates .................................................................................... 2
V Quotas ...............................................................................................................2
VI DBE Liaison Officer ........................................................................................3
VII Federal Financial Assistance Agreement Assurance................................... 3
VIII DBE Financial Institutions............................................................................ 4
IX Directory ......................................................................................................... 4
X Overconcentration ..........................................................................................4
XI Business Development Programs.................................................................. 5
XII Required Contract Clauses............................................................................ 5
XIII Monitoring and Enforcement Mechanisms ................................................. 6
XIV Overall Goals .................................................................................................. 9
XV Contract Goals .............................................................................................11
XVI Transit Vehicle Manufacturers .................................................................. 11
XVII Good Faith Efforts...................................................................................... 12
XVIII Coun~ing DBE Participation .....................................................................14
XIX Certification ................................................................................................14
XX Information Collection and Reporting ....................................................14
Attachment to DBE Program: To Be Used For Design-Build Contracts
Appendix A: (Appendix A to Part 26) Guidance Concerning Good Faith Efforts
Appendix B: DBE Program Organizational Chart
Appendix C: Bidder~ List and Prompt Payment Certification Form
Appendix D: Overall Annual DBE Goal Analysis for FFY 2000/01
Appendix E: Necessity or Emergency For Subsequent Subcontractor Selection
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26
DISADVANTAGED BUSINESS ENTERPRISE
PROGRAM
FOR THE
CITY OF SAN BERNARDINO
I Definitions of Terms
The terms used in this program have the meanings defined in Title 49 CFR g26.5.
II Objectives IPolicy Statement (gg26.1, 26.23)
The City of San Bernardino has established a Disadvantaged Business Enterprise (DBE) program
in accordance with regulations of the U.S. Department of Transportation (DOT), Title 49 CFR,
Part 26. The City of San Bernardino has received Federal financial assistance from the DOT,
and as a condition of receiving this assistance, the City of San Bernardino will sign an assurance
that it will comply with Title 49 CFR, Part 26.
(For Design-Build Contracts see also Attachment to this document)
It is the policy of the City of San Bernardino 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 enSl)re that the DBE Program is narrowly tailored in accordance with applicable law
. To ensure that only firms that fully meet Title 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
. To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
T. Jarb Thaipejr, Senior Civil Engineer, has been delegated as the DBE Liaison Officer. In that
capacity, Mr. Thaipejr 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 San Bernardino in its financial assistance agreements
with the California Department of Transportation (Caltrans).
The City of San Bernardino has disseminated this policy statement to the Mayor and Common
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 (926.7)
The City of San Bernardino will not exclude any person from participation in, deny any person
the benefits of, or otherwise discriminate against anyone in connection with the award and
performance of any contract covered by Title 49 CFR, Part 26 on the basis of race, color, sex, or
national origin.
In administering its DBE program, the City of San Bernardino 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 (926.21)
The City of San Bernardino will continue to carry out this program until the City of San
Bernardino has established a new goal setting methodology or until significant changes to this
DBE Program are adopted. The City of San Bernardino will provide to Caltrans a proposed
overall goal and goal setting methodology and other program updates by June 1 of every year.
V Quotas (926.43)
The City of San Bernardino will not use quotas or set-asides in any way in the administration of
this DBE program.
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VI DBE Liaison Officer (DBELO) (926.45)
The City of San Bernardino has designated the following individual as the DBE Liaison Officer:
Mr. T. Jarb Thaipejr, P.E., Sr. Civil Engineer
Department of Development Services, Division of Public Works
300 North "D" Street, San Bernardino, CA 92418
Phone: (909) 384-5127, E-mail: thaipejrja@ci.san-bernardino.ca.us
In that capacity, Mr. Thaipejr is responsible for implementing all aspects of the DBE program
and ensuring that the City of San Bernardino complies with all provisions of Title 49 CFR, Part
26, "Participation by Disadvantaged Business Enterprise Regulations in Department of
Transportation Financial Assistance Programs". This is available on the Internet at
osdbuweb.dot.gov/main.cfm. Mr. Thaipejr has direct, independent access to the Mayor and
Common Council concerning DBE program matters. An organization chart displaying the DBE
Liaison Officer's position in the organization is found in "Appendix B" to this program.
The DBE Liaison Officer is responsible for developing, implementing and monitoring the DBE
program, in coordination with other appropriate officials. Duties and responsibilities include the
following:
I. 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 for DBE participation in DOT-
assisted contracts.
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 when
warranted (both race-neutral methods and contract specific goals) and monitors results.
6. Analyzes the City of San Bernardino'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.
II. 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 (926.13)
The City of San Bernardino will sign the following assurance, applicable to all FHW A-assisted
contracts and their administration as part of the program supplement agreement for each proje'Ct:
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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 Title 49 CFR, part 26. The recipient shall take all necessary
and reasonable steps under Title 49 CFR, Part 26 to ensure nondiscrimination in the award and
administration of DOT-assisted contracts. The recipient's DBE Program, as required by Title
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 US.C. 3801 et seq.).
[Note - this language is to be used verbatim, as it is stated in S26.13(a). However, approval
authority of the recipient's DBE Program has been delegated to Caltrans for FHWA-assisted
contracts.)
VIII DBE Financial Institutions
It is the policy of the City of San Bernardino to investigate the full extent of services offered by
financial institutions owned and controlled by socially and economically disadvantaged
individuals in the community, to make reasonable efforts to use these institutions, and to
encourage prime contractors on DOT -assisted contracts to make use of these institutions.
Information on the availability of such institutions can be obtained from the DBE Liaison
Officer. The Caltrans Disadvantaged Business Enterprise Program may offer assistance to the
DBE Liaison Officer.
IX DBE Directory (g26.31)
The City of San Bernardino will refer interested persons to the DBE directory available from the
Caltrans Disadvantaged Business Enterprise Program website at www.dot.ca.gov/hqlbep.
X Over-concentration (g26.33)
The City of San Bernardino has not identified any types of work in DOT -assisted contracts that
have an over-concentration of DBE participation. If in the future, the City of San Bernardino
identifies the need to address over-concentration, measures for addressing over-concentration
will be submitted to the DLAE for approval.
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XI Business Development Programs (~26.35)
The City of San Bernardino does not have a business development or mentor-protege program.
If the City of San Bernardino 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 San Bernardino 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 TITLE 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 San Bernardino ensures that the following clauses or equivalent will be included in
each DOT -assisted prime contract:
Sati/i(actorv 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 the City of San Bernardino. 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 San Bernardino. This clause applies to
both DBE and non-DBE subcontractors
Release Q( 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 San Bernardino. This clause applies to
both DBE and non-DBE subcontractors.
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Ongoing Comvliance Monitorin'{
It is the responsibility of the prime contractor to provide evidence of all subcontractor
payments in accordance with the above stated Prompt Payment Provisions. Verification
of payments made to subcontractors shall accompany each prime contractor's request
for payment. As an alternative, the prime contractor can complete the City of San
Bernardino Form: "Prompt Payment Certification" and submit with each request for
payment. Failure to comply with the above stated provisions may result in a delay in
processing the prime contractor's request for payment or be subject to other remedies as
the City of San Bernardino deems appropriate.
XIII Monitoring and Enforcement Mechanisms (926.37)
The City of San Bernardino 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 San Bernardino 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.
(For Design-Build Contracts see also Attachment to this document)
Preconstruction Conference
A preconstruction conference will be scheduled between the RE and the prime contractor or their
representative to discuss the work each DBE subcontractor will perform. (For Design-Build
Contracts see also Attachment to this document)
Before work can begin on a subcontract, the City of San Bernardino will require the contractor to
submit a completed "Subcontracting Request", Exhibit 16-B of the Caltrans Local Assistance
Program Manual (LAPM) or equivalent. When the RE receives the completed form, it will be
checked for agreement of the first tier subcontractors and DBEs. The RE will not approve the
request when it identifies someone other than the DBE or first tier subcontractor listed in the
previously completed "Local Agency Bidder DBE Information," Exhibit 15-G of the Caltrans
LAPM. The "Subcontracting Request" will not be approved until all 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.
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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 Caltrans LAPM or equivalent.
Differences must be resolved by either making corrections or requesting a substitution.
Substitutions will be subject to the Subletting and Subcontracting Fair Practices Act (FP A). The
City of San Bernardino 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 FP A 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 l7-F, "Final Report Utilization of Disadvantaged
Business Enterprises, First Tier Subcontractors" from the Caltrans LAPM 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 trucking document, the contractor will be
required to submit documentation to the RE showing the owner's name, the 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. (For Design-Build
Contracts see also Attachment to this document)
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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
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:
I. 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 of Caltrans LAPM
and will be submitted to the DLAE attached to the Report of Expenditures. The RE will compare
the completed Exhibit 17-F to the contractor's completed Exhibit 15-G and, if applicable, to the
completed Exhibit 16-B of Caltrans LAPM. 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 ofthe 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.
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The City of San Bernardino's DBE 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 San Bernardino's commitment to
require bidders list information to be submitted to the City of San Bernardino from the awarded
prime and subcontractors as a means to develop a bidders list. This monitoring will only take
place if the bidders list information is required to be submitted as stipulated in the special
provIsIOns.
The City of San Bernardino 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 926.109. The City of San Bernardino also will consider similar action under our
own legal authorities, including responsibility determinations in future contracts.
XIV Overall Goals (926.45)
Amount of Goal
The City of San Bernardino's overall goal for the Federal fiscal year (FFY) 2000/2001 is the
following:
lJ....% of the Federal financial assistance in FHW A-assisted contracts
This overall goal is broken down into 10 % race-conscious and ...l...% race-neutral
components.
Methodology
Before working on this section, refer to the two step process and choice of methods in Section
9.4 of this chapter in the LAPM. Refer to "Appendix D" for the City of San Bernardino's
Overall Annual DBE Goal Methodology for the FFY 2000/2001.
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Breakout of Estimated Race-Neutral and Race-Conscious Participation
The City of San Bernardino shall achieve the overall annual goals for DBE participation through
a combination of race-neutral and race-conscious measures including the use of contract-specific
goals as needed to meet its overall annual DBE goal.
Race-Neutral Measures
The City of San Bernardino intends to use race-neutral measures to the extent feasible to achieve
its overall annual goal. The City of San Bernardino will use the following measures as
appropriate to facilitate DBE and other small business participation in the City of San
Bernardino's contracting program:
(a) Configuring large contracts into smaller contracts to make contracts more
accessible to small contractors, when doing so would not impose significant
additional cost, delay or risk to the City of San Bernardino.
(b) Encouraging contractors to consider subcontractors for components of the work
for which there is a known supply of ready, willing and able subcontractors,
including DBE subcontractors, in preparing their bids.
(c) Assisting in overcoming limitations in bonding and financing.
(d) Providing technical assistance in orienting small contractors to public contracting
procedures, use of the Internet, and facilitating introductions to the City of San
Bernardino's and other FHW A recipients' contracting activities.
( e) Providing information on contract procedures and contract opportunities to ensure
the inclusion of DBEs and other small contractors.
Race-Conscious Measures Goals {section 26.511
The City of San Bernardino will annually consider various factors to project levels of DBE
participation to be met through race-conscious measures and will use race-conscious measures
such as contract-specific goals to meet that portion of the overall goal which is not likely to be
met utilizing race-neutral measures. The City of San Bernardino shall monitor and adjust the
estimated utilization of race-neutral and race-conscious measures as required in accordance with
regulatory guidelines.
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 would be
required annually by June I in advance of the Federal fiscal year beginning October I for
FHW A-assisted contracts. Submittals will be to the Caltrans' DLAE. An exception to this will
be if FT A or FAA recipients are required by FT A or FAA to submit the annual information to
them or a designee by another date. FHW A 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 San Bernardino will publish a
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notice of the proposed overall goal, informing the public that the proposed goal and its rationale
are available for inspection during normal business hours at the City of San Bernardino's
principal office for 30 days following the date of the notice, and informing the public that the
City of San Bernardino'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 San Bernardino'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 San Bernardino may begin using the overall goal on
October 1 of each year.
XV Contract Goals (S26.51)
The City of San Bernardino will use contract goals to meet any portion of the overall goal the
City of San Bernardino 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 ofDBEs 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 (S26.49)
If DOT-assisted contracts will include transit vehicle procurements, the City of San Bernardino
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
TITLE 49 CFR Part 26, Section 49. The City of San Bernardino will direct the transit vehicle
manufacturer to the subject requirements located on the Internet at
http://osdbuweb.dot.gov/prograrns/dbe/dbe.htm.
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XVII Good Faith Efforts (g26.53)
Information to be Submitted
The City of San Bernardino 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 the City of San Bernardino, 300 North "D" Street, San
Bernardino, CA 92418, 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.
6. If the contract goal is not met, evidence of good faith efforts.
7. (For Design-Build Contracts see also Attachment to this document)
8. (For Design-Build Contracts see also Attachment to this document)
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.
( For Design-Build Contracts see also Attachment to this document)
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:
Mr. T. larb Thaipejr, DBE Liaison or designee
The City of San Bernardino 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.
12
Administrative Reconsideration
Within 10 days of being informed by the City of San Bernardino 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:
Raymond A. Casey, City Engineer
Development Services - Public Works Division
City of San Bernardino
300 North "0" Street
San Bernardino, CA 92418.
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 meet the goal. 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 meet the goal. The City of San Bernardino 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 meet the goal. The
result of the reconsideration process is not administratively appealable to Caltrans, FHW A or the
DOT.
Good Faith Efforts when a DBE is Replaced on a Contract
The City of San Bernardino will require a contractor to make good faith efforts to replace a DBE
that is terminated or has otherwise failed to complete its work on a contract with another certified
DBE, to the extent needed to meet the contract goal. The prime contractor is required to notify
the RE immediately of the DBE's inability or unwillingness to perform and provide reasonable
documentation.
In this situation, the prime contractor will be required to obtain the City of San Bernardino 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 San Bernardino 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.
13
XVIII Counting DBE Participation (!l26.55)
The City of San Bernardino 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
BoilerPlate Contract Documents previously mentioned. Also, refer to XIII. "After Contract
Award. "
XIX Certification (!l26.83(a))
The City of San Bernardino ensures that only DBE firms that are currently certified on the
Caltrans' directory would participate as DBEs in our program.
XX Information Collection and Reporting
Bidders List
The City of San Bernardino will create and maintain a bidder list, consisting of information
about all DBE and non-DBE firms that bid or quote on its DOT-assisted contracts. The bidder
list will include the name, address, DBE/non-DBE status, age, and annual gross receipts of firms.
Monitoring Payments to DDEs
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 San Bernardino, Caltrans,
FHW A, or DOT. This reporting requirement also extends to any certified DBE subcontractor.
Payments to DBE subcontractors will be reviewed by the City of San Bernardino to ensure that
the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the
schedule ofDBE participation.
Reporting to Caltrans
The City of San Bernardino will report final utilization of DBE participation to the DLAE using
Exhibit l7-F of the Caltrans' LAPM.
14
Confidentiality
The City of San Bernardino will safeguard from disclosure to third parties information that may
reasonably be regarded as confidential business information, consistent with Federal, state, and
local laws.
Judith Valles, Mayor
City of San Bernardino
Date
This Disadvantaged Business Enterprises Program is accepted by:
Signature ofDLAE
Date
15
ATTACHMENT TO DBE PROGRAM
TO BE USED FOR
DESIGN-BUILD CONTRACTS
The following are hereby incorporated into the Agency's Disadvantaged Business Enterprise
(DBE) Program:
II Objectives IPolicy Statement (9926.1,26.23)
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 be identified by the prime contractor
for the subletting or subcontracting of any portion of the work in excess of one-half of 1
percellt 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 E" for example.
XIII Monitoring and Enforcement Mechanisms (926.37)
At the end of the first paragraph below "After Contract Award", add the following
paragraph:
After Desi.gn-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 Appendix A, will be monitored by the Agency
throughout the duration of the design-build project.
ATTACHMENT TO DBE PROGRAM
TO BE USED FOR
DESIGN-BUILD CONTRACTS
At the end of the first paragraph below "Preconstruction Conference", add the following
sentence:
. . . . . . . .. The contractor will promptly provide the Agency with the information required by
the form 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 must 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 will
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 (926.53)
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 ofthe first paragraph below "Demonstration of Good Faith Efforts", add the
following sentence:
. . . . . . . .. Ifit 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.
2
ATTACHMENT TO DBE PROGRAM
TO BE USED FOR
DESIGN-BUILD CONTRACTS
Judith Valles, Mayor
City of San Bernardino
Date
This Attachment to the Disadvantaged Business Enterprise Program
to be used for Design-Build Contracts is accepted by:
Signature of DLAE
Date
3
City of San Bernardino
DB E PROGRAM
I APPENDIX A I
APPENDIX A TO PART 26
GUIDANCE CONCERNING GOOD FAITH EFFORTS
I When, as a recipient, you establish a contract goal on a DOT -assisted contract, a
bidder must, in order to be responsible and/or responsive, make good faith efforts to
meet the goal. The bidder can meet this requirement in either of two ways. First, the
bidder can meet the goal, documenting commitments for participation by DBE firms
sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can
document adequate good faith efforts. This means that the bidder must show that it
took all necessary and reasonable steps to achieve a DBE goal or other requirement of
this part which, by their scope, intensity, and appropriateness to the objective, could
reasonably be expected to obtain sufficient DBE participation, even if they were not
fully successful.
II In any situation in which you have established a contract goal, part 26 requires you to
use the good faith effort mechanism of this part. As a recipient, it is up to you to
make a fair and reasonable judgment whether a bidder that did not meet the goal
made adequate good faith efforts. It is important for you to consider the quality,
quantity, and intensity of the different kinds of efforts that the bidder has made. The
efforts employed by the bidder should be those that one could reasonably expect a
bidder to take if the bidder were actively and aggressively trying to obtain DBE
participation sufficient to meet the DBE contract goal. Mere pm forma efforts are not
good faith efforts to meet the DBE contract requirements. We emphasize, however,
that your determination concerning the sufficiency of the firm's good faith efforts is a
judgmen~ call: meeting quantitative formulas is not required.
III The Department also strongly cautions you against requiring that a bidder meet a
contract goal (i.e., obtain a specified amount of DBE participation) in order to be
awarded a contract, even though the bidder makes an adequate good faith efforts
showing. This rule specifically prohibits you from ignoring .\2Qna fide good faith
efforts.
City oISan Bernardino
DB E PROGRAM
APPENDIX A
IV The following is a list of types of actions, which you should consider as part of the
bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory
checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts
may be relevant in appropriate cases.
A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid
meetings, advertising and/or written notices) the interest of all certified DBEs
who have the capability to perform the work of the contract. The bidder must
solicit this interest within sufficient time to allow the DBEs to respond to the
solicitation. The bidder must determine with certainty if the DBEs are interested
by taking appropriate steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the
likelihood that the DBE goals will be achieved. This includes, where
appropriate, breaking out contract work items into economically feasible units
to facilitate DBE participation, even when the prime contractor might otherwise
prefer to perform these work items with its own forces.
C. Providing interested DBEs with adequate information about the plans,
specifications, and requirements of the contract in a timely manner to assist
them in responding to a solicitation.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder's
responsibility to make a portion of the work available to DBE
subcontractors and suppliers and to select those portions of the work or
material needs consistent with the available DBE subcontractors and
suppliers, to facilitate DBE participation. Evidence of such negotiation
includes the names, addresses, and telephone numbers of DBEs that were
considered; a description of the information provided regarding the plans
and specifications for the work selected for subcontracting; and evidence as
, to why additional agreements could not be reached for DBEs to perform
the work.
(2) A bidder using good business judgment would consider a number offactors
in negotiating with subcontractors, including DBE subcontractors, and
would take a firm's price and capabilities as well as contract goals into
consideration. However, the fact that there may be some additional costs
involved in finding and using DBEs is not in itself sufficient reason for a
bidder's failure to meet the contract DBE goal, as long as such costs are
reasonable. Also, the ability or desire of a prime contractor to perform the
work of a contract with its own organization does not relieve the bidder of
the responsibility to make good faith efforts. Prime contractors are not,
however, required to accept higher quotes from DBEs if the price
difference is excessive or unreasonable.
2
City of San Bernardino
DB E PROGRAM
I APPENDIX A
E. Not rejecting DBEs as being unqualified without sound reasons based on a
thorough investigation of their capabilities. The contractor's standing within its
industry, membership in specific groups, organizations, or associations and
political or social affiliations (for example union vs. non-union employee
status) are not legitimate causes for the rejection or non-solicitation of bids in
the contractor's efforts to meet the project goal.
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or
insurance as required by the recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment,
supplies, materials, or related assistance or services.
H. Effectively using the services of available minority/women community
organizations; minority/women contractors' groups; local, state, and Federal
minority/women business assistance offices; and other organizations as allowed
on a case-by-case basis to provide assistance in the recruitment and placement
ofDBEs.
V In determining whether a bidder has made good faith efforts, you may take into account the
performance of other bidders in meeting the contract. For example, when the apparent
successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise
the question of whether, with additional reasonable efforts; the apparent successful bidder
could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or
exceeds the average DBE participation obtained by other bidders, you may view this, in
conjunction with other factors, as evidence of the apparent successful bidder having made
good faith efforts.
3
CITY OF SAN BERNARDINO
DBE PROGRAM
ORGANIZATIONAL CHART
City of San Bernardino
D B E PROGRAM
I APPENDIX B I
City of San Bernardino
MAYOR AND COMMON COUNCIL
CITY ADMINISTRATOR
Fred Wilson
DIRECTOR OF EQUAL EMPLOYMENT
DEVELOPMENT SERVICES OFFICER
James Funk Wallace Green
I
PUBLIC WORKS
CITY ENGINEER
Raymond A. Casey
I
SENIOR CIVIL ENGINEER
DBE LIAISON OFFICER
T. Jarb Thaipejr
City of San Bernardino
D B E PROGRAM
I APPENDIX C
CITY OF SAN BERNARDINO
PUBLIC WORKS
BIDDERS LIST
All bidders/proposers are required to provide the following information for all DBE and non-
DBE contractors, who provided a proposal, bid, quote, or were contacted by the proposed
prime. This information is also required from the proposed prime contractor, and must be
submitted with their bid/proposal. The CITY of SAN BERNARDINO will use this
information to maintain and update a Bidders List to assist in the overall annual DBE goal
setting process.
Firm Name:
Phone:
Address:
Fax:
Contact
Person:
No. of Years in Business:
Is the firm currently certified as DBE under the new regulations (Title 49 CFR,Part 26)?
DYES D NO
If "yes", provide DBE Certification Number:
Type of work / services / materials provided by
firm:
What were your firm's Gross Annual receipts for last year?
Less than $1 Million
Less than $5 Million
Less than $10 Million
Less than $15 Million
More than $15 Million
This form can be duplicated if necessary to report all bidders (DBEs and non-DBEs) information.
City of San Bernardino
D B E PROGRAM
I APPENDIX C I
PROMPT PAYMENT
CERTIFICATION
I,
, hereby certify that
(Prime Contractor)
(Name)
has fully complied with all Prompt Payment provisions set forth in the City of San Bernardino's
DBE Program, and will make verification of payment records immediately available at the
City of San Bernardino's request.
I certify under penalty of perjury that the information provided is true and correct.
Date
Signature
City of San Bernardino
D BE PROGRAM
I APPENDIX D I
CITY
OF
SAN BERNARDINO
Proposed Regional Baseline DBE
Goal Methodology
for
FFY 2000/2001
Submitted in fuljillment of:
Section 1101 of the Transportation Equity Act for the 21 st Century
Title 49 Code of Federal Regulations, Part 26
and
Caltrans Local Assistance Procedures Manual
City of San Bernardino
DB E PROGRAM
I APPENDIX D I
CITY OF SAN BERNARDINO
BASELINE DISADVANTAGED BUSINESS ENTERPRISE (DBE)
GOAL METHODOLOGY
FOR
FEDERAL FISCAL YEAR (FFY) 2000/2001
(October 1,2000 to September 30,2001)
INTRODUCTION:
An Overall Annual Goal was established for DBE participation in City of San Bernardino's FY
2000/200 I DOT -assisted contracts in compliance with recently revised federal regulations set
forth in Title 49 CFR, Part 26, Participation by Disadvantaged Business Enterprises in Us.
Department of Transportation (DOT) Programs and in Caltrans' Local Assistance Procedures
Manual. The recommended Overall Annual DBE Goal for contracts assisted by DOT is
13..%. This goal identifies the relative availability ofDBEs based on evidence of ready, willing
and able DBEs in relationship to all comparable businesses which are known to be available to
compete for the City of San Bernardino's DOT-assisted contracts. The following describes the
methodology undertaken to establish the recommended goal and the race-neutral and race-
conscious measures, which would be applied to achieve the overall goal.
I. DOT ASSISTED CONTRACTING PROGRAM FOR FFY 2000/01
Table 1 below presents the anticipated areas of contracting, by project type for which the City
of San Bernardino (City) intends to disburse Department of Transportation (DOT) assisted
funds for transportation-related projects in FFY 2000/0 I, as follows:
Table 1
Project Tvoe
Street Construction
Street Rehabilitation
Signalization
Bridge Seismic Retrofit
S:/Jarb/DBE/DBE Goal-Appendix D
City of San Bernardino
DB E PROGRAM
I APPENDIX D I
Table 2 below represents a summary of corresponding subspecialty work areas grouped under
two primary categories; Construction and Professional Services. The Caltrans DBE Directory
Work Category Codes (WWC) and Descriptions and comparable 1997 and 1998 Census
Business Patterns database, North American Industry Classification System (NAICS) work
category codes utilized are also presented, as follows:
Table 2
PRIMARY WORK
CATEGORY
DESCRIPTION
CONSTRUCTION:
CALTRANS
WORK CATEGORY
CODES
NAICS
CATEGORY
C1601, C1910, C2000, C2201,
C3910, C3901, C5620, C7112,
C7191, C8406, C8501, C8602,
C1901, C5110, C5135, C7301
PROFESSIONAL SERVICES:
En ineerin Services C8703, C8720, C8760, C8770
Highway & Street
Construction
23411
54133
II. GOAL-METHODOLOGY
Step I: Determination of a Base Figure (26.45)
To determine a Base Figure ofrelative availability ofDBEs, the City embraced a methodology
which included a review of the ratio of all available (ready, willing and able) established DBE
firms in relation to all available established firms within the City's market area. This was
accomplished by utilizing the Caltrans on-line Bulletin Board System (BBS) DBE Directory of
Certified Firms within the two primary work categories as its numerator and the 1997 and 1998
U.S. Census,Bureau County Business Patterns (CBP) Database of all comparable established
firms as its denominator. The City made a concerted effort to ensure that the scope of
businesses included in the numerator was as close as possible to the scope included in the
denominator.
To derive the relative availability of DBEs for each major work category, the City divided the
numerator' by the denominator2, which yielded a Base Figure, utilizing the following formula:
Number of Ready, Willing and Able DBE Firms
-------------------------------------------------------------------
=
BASE FIGURE
Number of All Available Firms
1 Numerator represents all available established DBE finns within the San Bernardino County,
] Denominator represents all available established finns within the San Bernardino County.
S:/JarbIDBEIDBE Goal-Appendix D
City of San Bernardino
DB E PROGRAM
I APPENDIX D
Table 3 below presents the results of the application of this formula within each major
category, and the basis for calculating the resultant Base Figure of the relative availability of
DBEs.
Table 3
Base Figure = IDBEs in CI601. CI910*) +
CBPs in NAICS 23411**
Base Figure = [fQQl + ill) ]
770 300
Base Figure = G779 + .0567 ]
IDBEs in C8703 C8720*)
CBPs in NAICS 23571**
Base Figure = (.1346) 100 = 13.46 = 13%***
* For detailed listing of all Caltrans Work Categories grouped in each major category, refer to City's
Regional DBE Goal Analysisfor FFY 2000/2001, Attachment 1.
.. For detailed listing of all NAICs and SIC Work Codes grouped in each major category, refer to
City's Regional DBE Goal Analysisfor FFY 2000/2001, Attachment 11.
*** Rounded to the nearest whole number.
Step II: Adjustment of the Base Figure
The Base Figure of 13% was not further adjusted, as each respective member agency within
City's jurisdiction will perform this task to ensure narrow tailoring, in conformance with Title
49 CFR, Paii 26 prescribed goal setting methodology. Therefore, the resultant Base Figure
remains 13%.
III. OVERALL ANNUAL GOAL AND PROJECTION OF RACE-NEUTRAL
AND RACE-CONCIUS PARTICIPATION
The Overall Annual ( FFY 2000/2001) DBE Goal for the City of San Bernardino's
DOT-assisted contracts is 13%. The Overall Goal is expressed as a percentage of all
DOT -assisted funds that the City of San Bernardino will expend in FHW A-assisted contracts in
the forthcoming fiscal year.
This goal further serves to identify the relative availability of DBEs based on evidence of
ready, willing, and able DBEs compared to all firms known to be available to compete for and
S:/Jarb/DBE/DBE Goal-Appendix 0
City of San Bernardino
DB E PROGRAM
I APPENDIX D I
perform on the City of San Bernardino's DOT-assisted contracts. The Overall Annual Goal
reflects a determination of the level ofDBE participation, which would be expected absent the
effects of discrimination. The City of San Bernardino projects to meet 3% 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 in
conformance with new regulatory requirements. The City of San Bernardino projects to
meet the remaining 1!l% of the goal utilizing race-conscious measures, including
utilizing contract-specific numeric goals, as necessary, to achieve the overall goal.
IV. PUBLIC PARTICIPATION AND FACILITATION
In conformance with Public Participation Regulatory Requirements of Title 49 CFR, Part 26
and Caltrans Local Assistance Procedures Manual (LAPM), this goal analysis will be offered
for review by minority, women, local business chambers, and community organizations within
the City of San Bernardino's geographic market area.
Additionally, the City of San Bernardino will publish a Public Notice in general circulation
media announcing the City's overall Annual Goal for the FFY 2000/2001 DOT-assisted
contracts. Such notice will inform the public that the proposed goal and its rationale is
available for inspection at the City of San Bernardino's Public Works Division, on the 3rd floor
of City Hall during normal business hours for 30 days following the date of the Public Notice
and that the City of San Bernardino will accept comments on the goal analysis for 45 days
from the date of the Public Notice. The required public participation provisions will be fully
satisfied prior to submitting the City of San Bernardino's DBE Program and Overall Annual
DBE Goal to Caltrans for final review and approval.
S:/Jarb/DBEIDBE Goal-Appendix D
1 DATA SOURCE: Caltrans Bulletin Board System List ofDBE Certified Firms
S:/Jarb/DBE/APPENDIX D-Att I
City of San Bernardino
DB E PROGRAM
I APPENDIX D I
CITY OF SAN BERNARDINO
DBE GOAL ANALYSIS FOR FFY 2000/2001
I ESTABLISHMENT OF THE DENOMINATOR: I
ATTACHMENT II
# OF ESTABLISHED DBE FIRMS IN SAN BERNARDINO COUNTY!
CONSTRUCTION:
NAICS AND SIC
CODE
NAICS/SIC DESCRIPTION
23411
23412
23499
23521
23593
23599
32412
HIGHWAY &. STREET CONSTRUCTION
BRIDGE &. TUNNEL CONSTRUCTION
ALL OTHER HEAVY CONSTRUCTION
PAINTING &. WALL COVERING CONTACTORS
EXCAVATION CONTRACTORS
ALL OTHER SPECIAL TRADE CONTRACTORS
ASPHALT PAVING, ROOFING &. SATURATED
MATERIAL MANUFACTURING
HIGHWAY &. STREET CONSTRUCTION
FERROUS METAL FOUNDRIES
CONCRETE CONTRACTORS
MASONRY &. STONE CONTRACTORS
TOTAL ESTABLISHED FIRMS
1610
33151
23571
23541
51
6
79
148
54
156
11
59
4
136
66
770
PROFESSIONAL SERVICES:
NAICS AND SIC
CODE NAICS/SIC DESRIPTION:
54133 ENGINEERING SERVICES 185
54136 GEOPHYSICAL SURVEYING &. MAPPING SERVICES 3
8741 MANAGEMENT SERVICES 112
TOTAL NUMBER OF FIRMS 300
] DATA SOURCE: U.S. Census Bureau: County Business Patterns, NAICS and SIC Work
S:/JarbIDBE/ APPENDIX D-Att II
City of San Bernardino
DB E PROGRAM
I APPENDIX E I
EXAMPLE OF RESOLUTION OF THE CITY OF SAN BERNARDINO REGARDING
NECESSITY OR EMERGENCY
FOR
SUBSEQUENT SUBCONTRACTOR IDENTIFICATION AND SELECTION
FOR DESIGN-BUILD CONTRACTS
(REQUIRED BY PUBLIC CONTRACT CODE SECTION 4109
ENTITLED "Public Emergency Grounds For Change" )
RESOLUTION NO.
RESOLUTION OF THE MAYOR AND COMMON COUNCIL OF THE
CITY OF SAN BERNARDINO APPROVING THE NECESSITY / EMERGENCY
FOR SUBSEQUENT SUBCONTRACTOR(S) IDENTIFICATION AND SELECTION
AND ADOPTION OF THE PROCEDURE TO BE USED BY (insert Design-Build
Contractor name) FOR SUBSEQUENT SUBCONTRACTOR(S) IDENTIFICATION AND
SELECTION
WHEREAS, ........
WOULD INCLUDE THE FOLLOWING:
EXPLANATION OF PUBLIC NECESSITY OR EMERGENCY
FACTS CONSTITUTING THE PUBLIC NECESSITY OR EMERGENCY
FINDINGS
THEREFORE, BE IT RESOLVED BY THE MAYOR AND COMMON COUNCIL
OF THE CITY OF SAN BERNARDINO AS FOLLOWS:
SECTIQN 1. .........
SECTION 1. WOULD INCLUDE
RESOLUTION APPROVING THE NECESSITY OR EMERGENCY FOR
SUBSEQUENT SUBCONTRACTOR(S) IDENTIFICATION
SECTION 2.
SECTION 2. WOULD INCLUDE:
ADOPTION OF PROCEDURE TO BE USED BY DESIGN-BUILD CONTRACTOR FOR
SUBSEQUENT IDENTIFICATION OF SUBCONTRACTORS
Page 1 of2
City of San Bernardino
DB E PROGRAM
APPENDIX E I
RESOLUTION OF ..... APPROVING THE NECESSITY I EMERGENCY
FOR SUBSEQUENT SUBCONTRACTOR(S) IDENTIFICATION AND SELECTION
AND ADOPTION OF THE PROCEDURE TO BE USED BY (insert Design-Build
Contractor name) FOR SUBSEQUENT SUBCONTRACTOR(S) IDENTIFICATION AND
SELECTION
I HEREBY CERTIFY that the foregoing resolution was duly adopted by the Mayor and
Common Council of the City of San Bernardino at a
meeting thereof, held on
the
day of
,2001, by the following vote, to wit:
Council Members:
AYES
NAYS
ABSTAIN ABSENT
ESTRADA
LIEN
MC GINNIS
SCHNETZ
SUAREZ
ANDERSON
MC CAMMACK
City Clerk
The foregoing resolution is hereby approved this
day of
,2001.
Judith Valles, Mayor
City of San Bernardino
Approved as to
form and legal content:
JAMES F. PENMAN,
City Attorney
By:
III
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CITY OF SAN BERNARDINO
Interoffice Memorandum
CITY CLERK'S OFFICE
Records and Information Management (RIM) Program
DATE:
April 20, 2001
TO:
Jarb Thaipejr, Senior Civil Engineer
FROM:
Michelle Taylor, Senior Secretary
RE:
Transmitting Documents for Signature - Resolution 2001-69
At the Mayor and Common Council meeting of April 16, 2001, the City of San Bernardino
adopted Resolution 2001-69 - Resolution of the Mayor and Common Council of the City of San
Bernardino establishing a Disadvantaged Business Enterprise (DBE) Program and DBE goals
for federal financial assistance projects.
Enclosed is a certified copy of Resolution 2001-69 and one (I) original agreement. Please obtain
signatures where indicated on the agreement and return to the City Clerk's Office as soon as
possible, to my attention.
If you have any questions, please do not hesitate to contact me at ext. 3206. Thank you.
Michelle Taylor
Senior Secretary
I hereby acknowledge receipt of the above mentioned documents.
Signed:
,j...J. ~
'f {~; I 0 I
Please sign and return
Date:
** FOR OFFICE USE ONLY - NOT A PUBLIC DOCUMENT **
RESOLUTION AGENDA ITEM TRACKING FORM
Meeting Date (Date Adopted): it - \(..,-<J \ Item # 9
Vote: Ayes j-s I ') Nays-e--
Change to motion to amend original documents:
Resolution # '2,()() \ - f.s <1
Abstain ,.r;;r Absent {p
Reso. # On Attachments: / Contract term:
Note on Resolution of Attachment stored separately: --==-
Direct City Clerk to (circle 1): PUBLISH, POST, RECORD W/COUNTY
NullNoid After:
By:
Date Sent to Mayor: it - I ~ -0 I
Date of Mayor's Signature: 4-\"\- 0 \
Date of Clerk/CDC Signature: 4-\11 -0 \
Reso. Log Updated: V'"
Seal Impressed: Y"'"
60 Day Reminder Letter Sent on 30th day:
90 Day Reminder Letter Sent on 45th day:
See Attached:
See Attached:
See Attached:
,
Date Returned: 'P'd"\}-O \
Date Memo/Letter Sent for Signature:
4 - '23--() \
Request for Council Action & Staff Report Attached: Yes ,/ No By
Updated Prior Resolutions (Other Than Below): Yes No --L.- By
Updated CITY Personnel Folders (6413, 6429, 6433,10584,10585,12634): Yes No~ By
Updated CDC Personnel Folders (5557): Yes No V By
-
Updated Traffic Folders (3985, 8234, 655, 92-389): Yes No ~ By
Copies Distributed to:
City Attorney
Parks & Rec.
,/
Code Compliance
Dev. Services ~ EDA
Finance
MIS
Police
Public Services
Water
Others:
Notes:
BEFORE FILING, REVIEW FORM TO ENSURE ANY NOTATIONS MADE HERE ARE TRANSFERRED TO THE
YEARLY RESOLUTION CHRONOLOGICAL LOG FOR FUTURE REFERENCE (Contract Term, etc.)
Ready to File: n:rr:.- Date: b - r}O -0 I
Revised 01/1210 I