CC Resolution 10130
RESOLUTION NO.
10130
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CAMPBELL
APPROVING THE SUBMITTAL OF THE CITY'S DISADV ANT AGED
BUSINESS ENTERPRISE GOAL TO CAL TRANS FOR 2002-2003
WHEREAS, the City may obtain federal funds for the design and construction of the Darryl-
Hamilton signal modification.
WHEREAS, Public Works staff has prepared a DBE plan for the City of Campbell and has
determined an annual goal of 25% for DBE participation in this project due to the qualified and registered
DBE companies for some of the types within the City of Campbell and in Santa Clara, Santa Cruz and
Alameda Counties; and
WHEREAS, on November 12 and 13, 2002, the DBE goal was advertised in the CAL-SBA
Entrepreneur and the Campbell Express to fulfill the 30-day public notice requirement as outlined in the
DBE Local Program Procedure 01-04; and
WHEREAS, the 45-day required public comment period will end on December 28, 2002 and any
comments will be presented to Council; and
WHEREAS, a DBE certified contractor workshop was hosted by Public Works staff on
November 27,2002; and
WHEREAS, Public Works is asking the City Council to approve of the DBE goal; and
WHEREAS, future federal and state funded projects will require an annual goal and goal setting
method to be determined and submitted prior to June 1 for each federal fiscal year beginning October 1 as
required by the Local Assistance Procedure Manual;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Campbell hereby
approves the revised Disadvantaged Business Enterprise (DBE) program and goal for the current fiscal
year, and that the City Council authorizes the City Engineer to set a DBE goal for future federal and state
funded projects in accordance with the procedure and methodology set forth by Caltrans in the Local
Assistance Procedure Manual.
PASSED AND ADOPTED this 9th day of December by the following roll call vote:
AYES:
NOES:
ABSENT:
Councilmembers:
Councilmembers:
Councilmembers:
Dean, Burr, Kennedy, Furtado, Watson
None
None
APPROVED:
d ~ ..-cr-
J~ette Watson, Mayor
AT2L ~
Anne Bybee, City Clerk
, '
2002/2003
DISADVANTAGED
BUSINESS ENTERPRISE
(DBE) PROGRAM
FOR THE
CITY OF CAMPBELL
1
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
2
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26.
3
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
CITY OF CAMPBELL, County of California
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
I Definitions of Terms
The terms used in this program have the meanings defined in 49 CFR S26.5.
II Objectives/Policy Statement (SS26.1,26.23)
The City of Campbell 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 Campbell has received Federal financial assistance from the DOT, and as a condition
of receiving this assistance, the City of Campbell will sign an assurance that it will comply with
49 CFR Part 26.
It is the policy of the City of Campbell 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.
Michelle Quinney, City Engineer, has been delegated as the DBE Liaison Officer. In that
capacity, Michelle Quinney 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 Campbell in its financial assistance agreements with the
California Department of Transportation (Caltrans).
Michelle Quinney has disseminated this policy statement to the Campbell 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 (S26.7)
The City of Campbell 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.
4
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
In administering its DBE program, the City of Campbell 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 DIlE Program Updates (~26.21)
The City of Campbell will continue to carry out this program until the City of Campbell has
established a new goal setting methodology or until significant changes to this DBE Program are
adopted. The City of Campbell will provide to Caltrans a proposed overall goal and goal setting
methodology and other program updates by June 1 of every year.
The City of Campbell Public Works Department is holding a special training session for DBE
certified firms covering our bidding process in the appropriate work categories scheduled for
October 8,2002.
V Quotas (~26.43)
The City of Campbell will not use quotas or set asides in any way in the administration of this
DBE program.
VI DBE Liaison Officer (DBELO) (926.45)
The City of Campbell has designated the following individual as the DBE Liaison Officer:
Michelle Quinney, 70 N. p't Street, Campbell CA 95008
Telephone (408) 866-2159
E-Mail: MichelleQ@ci.campbell.ca.us
In that capacity, Michelle Quinney is responsible for implementing all aspects of the DBE
program and ensuring that the City of Campbell complies with all provisions of 49 CFR Part 26.
This is available on the Internet at osdbuweb.dot.gov/main.cfm. Michelle Quinney has direct,
independent access to the City Manager, the chief executi ve officer of the City of Campbell
concerning DBE program matters. Michelle Quinney, the DBELO oversees an administrative
analyst who devotes a portion of her time to the DBE program, and two support staff who devote
a portion of their time to the program. An organization chart displaying the DBELO's position
in the organization is found in Attachment A to this program which shows that the DBELO has
direct access to the City Manager, the highest ranking official in the City of Campbell.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination with other appropriate officials. Duties and responsibilities include the following:
1. Gathers and reports statistical data and other information as required.
2. Reviews third party contracts and purchase requisitions for compliance with this
program.
3. Works with all departments to set overall annual goals.
4. Ensures that bid notices and requests for proposals are available to DBEs in a timely
5
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
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 Campbell'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 (g26.13)
The City of Campbell will sign the following assurance, applicable to all FHW A-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 CPR 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 Campbell 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.
6
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
IX Directory (~26.31)
The City of Campbell 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 Over-concentration (~26.33)
The City of Campbell has not identified any types of work in DOT -assisted contracts that have a
over-concentration of DBE participation. If in the future The City of Campbell identifies the need
to address over-concentration, measures for addressing over-concentration will be submitted to
the DLAE for approval.
XI Business Development Programs (~26.35)
The City of Campbell does not have a business development or mentor-protege program. If the
City of Campbell 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 (9926.13,26.29)
Contract Assurance
The City of Campbell 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 Campbell 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 the prime
contractor receives from the City of Campbell. 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 Campbell. This clause applies to both DBE and non-DBE subcontractors.
7
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
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 Campbell. This clause applies to both DBE and non-DBE
subcontractors.
XIII Monitoring and Enforcement Mechanisms (~26.37)
The City of Campbell 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 A ward
After the contract award, the City of Campbell 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 IS-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 16-1 of the LAPM or equivalent.
Differences must be resolved by either making corrections or requesting a substitution.
Substitutions will be subject to the Subletting and Subcontracting Pair Practices Act (PP A).
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.
8
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DB E) PROGRAM FY 2002/2003
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 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
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.
9
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
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-B. The DBEs shown on the completed Exhibit 17-F should be the same as
those originally listed unless an authorized substitution was allowed, or the contractor used more
DBEs and they were added. The dollar amount should reflect any changes made in planned
work done by the DBE. The contractor will be required to explain in writing why the names of
the subcontractors, the work items or dollar figures are different from what was originally shown
on the completed Exhibit 15-G when:
. There have been no changes made by the RE.
. The contractor has not provided a sufficient explanation in the comments section of the
completed Exhibit 17-F.
The explanation will be attached to the completed Exhibit 17-F for submittal. The RE will file
this in the project records.
The local agency's Liaison Officer will keep track of the DBE certification status on the Internet
at www.dot.ca.gov/hqlbep 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 Campbell's commitment to
require bidders list information to be submitted to the City of Campbell 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 Campbell 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 Campbell also will consider similar action under our own legal
authorities, including responsibility determinations in future contracts.
10
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
XIV Overall Goals (~26.45)
Amount of Goal
The City of Campbell's overall goal for the Federal fiscal year FY 2002/03 is the following: 25%
of the Federal financial assistance in FHW A-assisted contracts. The overall goal of 25% for
federal financial assistance in FHW A-assisted contracts was determined based on the following
factors:
~ The City of Campbell anticipates the award of one minor FHW A-assisted contract
during Federal FY 2002/03;
~ These contracts will primarily be for a traffic signal installation and the necessary
cement around the signal;
~ A thorough review of the Caltrans DBE Directory and other DBE sources within
the anticipated market area revealed a relatively small number of DBE eligible
contractors statewide for this type of work;
Process
Step 1. Determination of the Base Figure for the Overall Goal
The City of Campbell has elected to establish the Base Figure numerator by utilizing the Spring
2001 Calcert database of certified firms operating in the three (3) counties we have identified as
our market area: Alameda, Santa Clara and Santa Cruz. The Census Bureau's County Business
Pattern database for 1997 (latest available SIC data) for the same three counties was utilized to
calculate the denominator. By using this formula we increased our market area by two counties
thereby enabling us to increase our overall goal percentage. Based on a review of past work
completed within the City of Campbell of similar size and scope it is unlikely that firms outside
of this identified market area would bid on any of the three projects. The Base Figure is intended
to be a true measurement of the current percentage of ready, willing and able businesses that are
DBE's in the City's target market area.
Upon establishing the Base Figure, the City of Campbell reviewed and assessed other known
data to determine what additional adjustments, if any, were needed to tailor the Base Figure to
the City's market area. The factors considered in determining the City of Campbell's anticipated
DBE participation, absent discrimination, included a review of past capacity of DBEs measured
by actual attainments based on actual DBE utilization on projects for the years 1997-2002.
Below is a narrative of the methodology with statistical data utilized in establishing the City of
Campbell's overall annual DBE goal.
ANTICIPATED DOT-ASSISTED CONTRACTING PROGRAM FOR FY 2002/03
Work Categorry SIC Estimated $ Value %Federal Funding
Project I/Darryl-Hamilton
Traffic Signal Installation
Concrete
1611
1611
$ 140,000
$ 10,000
100%
100%
11
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
Formula SIC 1611
.2l=
90
Calcert DBE database
= Census Bureau CBP database
Base Figure for SIC 1611 = 23/90 = 25%
Step 2. Adjusting the Base Figure
Historical data for federally assisted projects within the City of Campbell for FY 1997/98
through FY 2001/02 is presented below:
FY 1997/98 - FY 2001/02 HISTORICAL DATA
Work Category Amount Paid Amount Paid
To Contractors To DBE Firms
Detectors (Equipment Purchase Only) $ 0 $ 0
Resurfacing/Highway HamiltonlEden
$ 286,269
$ 115,076
DBE Goal DBE
Attainment
0% 0%
10% 16.8%
10% 40.2%
Resurfacing/Highway Hamilton ISTEA $1,930,216
$ 325,322
Historical data for projects that include past DBE goals have been exceeded for all federally
assisted projects within the City of Campbell. However, DBE utilization by prime contractors in
these past contracts has primarily occurred in limited types of construction, such as trucking,
paving fabric and road oils, traffic striping, concrete and landscaping. For these work categories,
there are an abundance of certified DBE's within the County of Santa Clara and the DBE goals
were met successfully without increasing our market area. For the current work category under
consideration, traffic signal installation, there are fewer certified DBE's within the County of
Santa Clara so we elected to include two additional counties in the market area to net a greater
contractor pool. This substantially adjusted our DBE overall annual goal upward and no
additional adjustment is deemed necessary.
Means to Meet Overall Goals
The City of Campbell has established a policy of individual project contract goals only on those
FHW A or other federally funded contracts that have subcontracting opportunities. The goal for
each project will be based on past participation of DBE's in similar projects and the availability
of such firms. The individual goal will then be incorporated into the contract documents and
stated as a percentage of the total amount of contract. The estimated breakout for this FY goal is
20% race-conscious and 5% race-neutral.
The City of Campbell will monitor its progress during the course of the year to ensure
compliance with DBE program requirements:
a. To meet overall goals, the City of Campbell will give priority to race-neutral means by
performing outreach, technical assistance, procurement process modifications and other
actions to increase opportunities for all small businesses, not just DBE's. This is to satisfy the
requirement to get the maximum feasible DBE participation through race-neutral means.
12
CITY OF CAMPBELL, County of Santa Clara
DISADV ANT AGED BUSINESS ENTERPRISE (DB E) PROGRAM FY 2002/2003
b. The City of Campbell will then utilize race-conscious measures (sets contract goals), if
needed, to get the remainder of the DBE participation to meet the overall goal.
To ensure as full participation as possible the City of Campbell will hold a training workshop
for local certified DBE firms on November 27, 2002.
c. The City of Campbell will also follow the following mechanisms to ensure that race-
conscious measures like contract goals are only used to the extent necessary to ensure a level
playing field.
1. If the City of Campbell can meet the overall goal exclusively through the use of race-
neutral goals, then the City will not set race-conscious goals during that fiscal year.
2. If the City of Campbell meets its overall goals using only race-neutral means two years
in a row, the City will continue to use race-neutral measures in future years. However, if
in any year, the City of Campbell does not meet its overall goal, the City of Campbell will
make the projections for the next fiscal year, using race-conscious means as needed to
meet the goal.
3. If the City of Campbell exceed its overall goal two years in a row while using contract
goals, in the third year, when setting overall goal and making the projection of the
amount of DBE participation, the City will determine the average percentage that it
exceeded the overall goal in the two previous years. The City then will use this average to
reduce its reliance on contract goals in the coming year.
4. If the City of Campbell determines, part way through a fiscal year, that it will exceed (or
fall short) its overall goal, and the City is using contract goals during that year, the City
will scale back its use of contract goals (or increase its use of race-neutral means and/or
contract goals).
Submittals will be to the Caltrans' DLAE. An exception to this will be if Ff A or FAA recipients
are required by Ff 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 Campbell will publish a notice of
the proposed overall goal, informing the public that the proposed goal and its rationale are
available for inspection during normal business hours at the City of Campbell's principal office
for 30 days following the date of the notice, and informing the public that the City of Campbell
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.
13
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DB E) PROGRAM FY 2002/2003
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 Campbell'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 Campbell may begin using the overall goal on October 1 of each year.
XV Contract Goals (S26.51)
The City of Campbell will use contract goals to meet any portion of the overall goal the City of
Campbell 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 (S26.49)
If DOT -assisted contracts will include transit vehicle procurements, the City of Campbell 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 Campbell will direct the transit vehicle manufacturer to the subject
requirements located on the Internet at http://osdbuweb.dot.gov/programs/dbe/dbe.htm.
XVII Good Faith Efforts (S26.53)
Information to be Submitted
The City of Campbell 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 70 North First Street, Campbell, CA 95008 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;
14
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
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 afforts 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:
Michelle Quinney, City Engineer, and Alberto Oxonian, Senior Engineer.
The City of Campbell 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.
Administrati ve Reconsideration
Within 10 days of being informed by the City of Campbell 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: Al Oxonian, Senior Engineer, 70 North First St., Campbell, CA 95008,
(408)866-2150, publicworks@ci.campbell.ca.us The reconsideration official will not have
played any role in the original determination that the bidder/offeror did not make document
sufficient good faith efforts.
As part of this reconsideration, the bidder/offeror will have the opportunity to provide written
documentation or argument concerning the issue of whether it met the goal or made adequate
good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with
the reconsideration official to discuss the issue of whether it met the goal or made adequate good
faith efforts to do. The City of Campbell 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, FHW A or the DOT.
Good Faith Efforts when a DBE is Replaced on a Contract
The City of Campbell 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.
15
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
In this situation, the prime contractor will be required to obtain the City of Campbell's prior
approval of the substitute DBE and to provide copies of new or amended subcontracts, or
documentation of good faith efforts. If the contractor fails or refuses to comply in the time
specified, the City of Campbell's 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 Campbell 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.
XIX Certification (g26.83(a))
The City of Campbell 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 Campbell 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 Campbell, Caltrans or
FHW A. This reporting requirement also extends to any certified DBE subcontractor.
Payments to DBE subcontractors will be reviewed by the City of Campbell to ensure that the
actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the
schedule of DBE participation.
Reporting to Caltrans
The City of Campbell - Final utilization of DBE participation will be reported to the DLAE using
Exhibit 17-F of the Caltrans' LAPM.
Confidentiality
The City of Campbell will safeguard from disclosure to third parties information that may reasonably be
regarded as confidential business information, consistent with federal, state, and local laws.
16
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003
.
~~
Robert Kass, Public Works Director
Date:
This Disadvantaged Business Enterprise (DB E) Program is accepted by:
Date:
17
CITY OF CAMPBELL, County of Santa Clara
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FY 2002/2003