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1988-04 RESOLUTION NO. 88-04 A RESOLUTION OF THE CITY OF GRAND TERRACE ESTABLISHING A DISADVANTAGED BUSINESS ENTER- PRISE (DBE) PROGRAM AND APPOINTING A DBE LIAISON OFFICER AND ESTABLISHING DBE GOALS WHEREAS, 49 CFR Part 23, heretofore, requires a Dis- advantaged Business Enterprise (DBE) Program for recipients of Department of Transportation funds; and WHEREAS, the Part 23, Title 49 CFR, states that all subrecipients of Department of Transportation funds must prepare their own DBE Program; and WHEREAS, the City of Grand Terrace intends to be a sub- recipient of Department of Transportation funds : NOW, THEREFORE, the City Council of the City of Grand Terrace does hereby RESOLVE, DETERMINE AND ORDER as follows : 1 . The City hereby adopts the DBE Program, which is attached hereto and made a part of this Resolu- tion; 2 . The City Manager, Thomas Schwab, is hereby ap- pointed as the DBE Liaison Officer, whose duties and responsibilities are defined in the DBE Pro- gram; 3 . The following DBE goals are established for the period of October 1, 1987 to September 30, 1988: Disadvantaged Business : 10 percent DATED: March 24, 1988. Ma r of the City of Grand Terrace and of the City Council thereof. -1- RESOLUTION NO. 88-04 ATTEST: De y City Clerk of the City o Grand Terrace and of the City Council thereof. I, JUANITA BROWN, Deputy City Clerk of the City of Grand Terrace, do hereby certify that the foregoing Resolution was introducted and adopted at a regular meeting of the City Council of the City of Grand Terrace held on the 24th day of March, 1988, by the following vote : AYES : COUNCILMEMBERS SHIRLEY, EVANS, GRANT, PFENNIGHAUSEN; MAYOR MATTESON NOES : NONE ABSENT: NONE ABSTAIN: NONE D p ty City Clerk APPROVED AS TO FORM: City Attorney -2- CITY OF GRAND TERRACE DISADVANTAGED BUSINESS ENTERPRISE PROGRAM I. Policy Statement It is the policy of the City of Grand Terrace to utilize Disadvantaged Business Enterprises in all aspects of contracting to the maximum extent feasible. This policy is fully described in the City of Grand Terrace Disadvantaged Business Enterprise Program which constitutes City policy and a commitment to substantially increase Disadvantaged Business Enterprise Utilization. This policy includes any program or facility funded wholly or in part by any U. S. Department of Transportation modal element, through the City of Grand Terrace. City of Grand Terrace, its contractors and subcontractors, which are the recipients of Federal-aid funds, agree to ensure that Disadvantaged Business Enterprises have the maximum opportunity to participate in the performance of contracts and subcontracts. In this regard, the City of Grand Terrace all of its contractors and subcontractors will take all reasonable steps in accordance with 49CFR23 to ensure that Disadvantaged Business Enterprises have the maximum opportunity to compete for and perform contracts. City Manager 1 -1- II. Disadvantaged Business Enterprises (DBE) Liaison Officer City Clerk for the City of Grand Terrace is the DBE Liaison Officer for the City and shall report to the City Manager. The City Clerk will be assigned such staff as is necessary to fully implement the provision of 49CFR Part 23 and such other DBE programs as .may be required. III. Duties of the DBE Liaison Officer The DBE Liaison Officer shall develop, manage and implement the DBE Program on a day-to-day basis. The Liaison Officer shall: Develop and carry out technical assistance programs for DBE's. Arrange solicitation, time for the presentation of bids, quantities, specifications, and delivery schedules, so as to facilitate the participation of DBE's. Where such changes are found necessary to increase DBE utilization, they will be made in consultation and cooperation with the functional unit involved. Provide assistance to DBE's in overcoming barriers, such as inability to obtain bonding or financing. Carry out information and communication programs on contracting opportunitites in a timely manner. Programs shall be bilingual where appropriate. Investigate the full extent of services offered by banks owned and controlled by disadvantaged business or women. Ensure that, where possible, the City of Grand Terrace utilizes said banks. Utilize a listing of DBE's certified by Caltrans. Said listing to be made available to all bidders on City projects. Such listing shall include, at a minimum, the following information: Name, address, telephone number, ethnic and/or sexual ownership, type of work performed by firm. Approve any removal and/or substitution of a Disadvantaged Business Enterprise during contract performance. Prior to approval of substitution, and/or removal of DBE, prime contractors will be required to prove performance of good faith efforts to replace the DBE with another eligible DBE. Establish overall City goals for Disadvantged Business and Business enterprises. Goals shall be evaluated on September 30 of each year and adjusted as -necessary. i -2- Establish individual project goals for Disadvantaged Business Enterprises. All projects with an estimated cost of $100,000 or more will be evaluated for the appropriateness of goals. Maintain such documentation as is necessry to verify the City's performance of the above activities. IV. Establishment of Overall City of Grand Terrace Goal The City will establish an overall goal for its use of DBEs. This goal will be updated annually as of September 30 of each year. The City's overall goal and the methodology used to determine the goal for the fiscal year beginning October 1, 1987, is shown on Attachment "A". V. Contract Goals All projects with an estimated value of $100,000 or more, receiving U.S. DOT funds, will be evaluated for the appropriateness of DBE goals. Projects will be evaluated and goals established, utilizing the following criteria: Size of project. Opportunities for DBE's as subcontractors, vendors, suppliers. Minority population of county in which work is to be performed. Existing DBE goals being utilized in the project area by other state, .federal or local jurisdictions. Availability of DBEs. Past experience on projects similar to the project being evaluated. Such other factors as may effect the utilization of DBEs. Each project wil be evaluated in conformance with the above criteria. Complete documentation will be retained of every. project so evaluated. Contracts which do not contain specific goals will contain the following provisions: (1) "Policy. It is the policy of the City of Grand Terrace that Disadvantaged Business Enterprises as defined in 49 CFR Part 23 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement. Consequently, the DBE requirements of 49 CFR part 23 apply to this agreement." � 1 -3- (2) "DBE Obligation. (i) The recepient or its contractor agrees to ensure that Disadvantaged Business Enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all recipients or contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure that Disadvantaged Business Enterprises have the maximum opportunity to compete for and perform contracts. Recepients and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of DOT-assisted contracts." DBE use on projects without goals will be reported to the Liaison Officer and will be included in the City of Grand Terrace reports to Caltrans and to the appropriate DOT element. DBE use on such projects will be counted toward attainment of the overall City goal. VI. Public Notification At the time of submittal of this program to the U.S. Department of , Transportation, the City of Grand Terrace will publish a notice in both minority and majority local media. Said publication shall: Announce the City's overall goals. Inform the public that the goals and a description of how they were set, are available for public inspection of a period of 30 days. The notice shall advise interested parties that comments are for informational purposes only. In addition to the foregoing, interested minority and majority contractor organizations will receive direct mailings of this complete program with a request that they provide written comments to the City of Grand Terrace on this program. VII. Contract Procedure This plan shall be implemented through the utilization of a contract special provision which is attached hereto. These procedures require bidders to submit the names of DBE subcontractors and suppliers, a description of the work each is to perform or material to be furnished, and the dollar value of each DBE subcontract. -4- VIII. DBE Notification All DBE's on the Caltrans certified DBE listing will receive appropriate notificaiton of projects scheduled to be advertised. DBE assistance centers will also receive notification. All assistance centers funded by the U.S. Department of Commerce ( Minority Business Development Administration) and designated as State Plan Rooms will receive complimentary plans and specifications for projects within their geographical -area of responsibility. IX. Disadvantaged Business Owned Banks The City of Grand Terrace will encourage all contractors to use the services of banks owned and controlled by minorities. This encouragement will be disseminated during pre-bid and pre-construction conferences (if scheduled) and the contract specifications. X. Selection Criteria for Contracts with DBE Goals Every contract containing DBE goals shall be evaluated by the DBE Liaison Officer or his/her designee to ascertain bidding contractors' efforts to attain the DBE goals.. The award of any project with DBE goals must be concurred with the DBE Liaison Officer or his/her designee before said contract may be awarded. Should there be disagreement between' the City of Grand Terrace DBE participation, the matter shall be referred to the City Manager or his/her designee, for final determination. Competitors that fail to meet the DBE goals and fail to demonstrate sufficient reasonable efforts shall not be eligible to be awarded the contract. Any contracts that contain DBE goals, pursuant to this policy, will be monitored on an ongoing basis by project personnel during the course of construction. The DBE Liaison Officer is to be immediately advised of any circumstances wherein contractor compliance with the DBE provision is questionable. The contractor shall submit a final report for each project with DBE goals which includes total payments to the prime contractor as well as payments the prime contractor has made to DBE subcontractors, vendors and suppliers. If the report indicates the prime contractor has not achieved the project goals, project personnel shall attach an evaluation, in narrative form, of the reasons for failure to attain the goals and any corrective action that was taken. Prime contractors will be required to notify City personnel of any situation in which regularly scheduled progress payments are not made to DBE subcontractors, vendors or suppliers. -5- XI. Set-Asides If determined necessary by the DBE Liaison Officer, the City of Grand Terrace will consider the use of DBE set-asides as a tool to achieve the overall City goal. XII. Counting DBE Participants The DBE Liaison Officer shall maintain such records, and provide such reports, as are necessry.to ensure full compliance with this policy. Such records and reports shall include, as a minimum, the following information: Procedures which have been adopted to comply with this DBE policy. Awards to DBEs. Awards to majority contractors. Final project reports concerning DBE utilization. Such other data as is needed to fully evaluate the City's compliance with this program. The DBE liaison Officer shall submit reports to Caltrans and to U.S. DOT ` elements as required. These reports will include: Number and dollar value of contracts awarded to DBEs. Description of general categories of contracts awarded to DBEs. The percentage of the dollar value of all contracts awarded during the quarter which were awarded to DBEs. Indication as to the extent of which the percentage met or exceeded the overall City goal. Reports shall be broken down separately by ethnic grouping. -6- XIV. DBE Listing The City of Grand Terrace will utilize a listing of firms certified by Caltrans to be Disadvantaged Businesses in accordance with the DOT order. This listing will be developed and maintained in accordance with Sections 23.51, 23.53, 23.55 and 23.87 of 49 CFR. This listing shall be made available to prospective contractors at no charge. Contractors will be permitted to rely upon the authenticity of firms listed in this directory. A contractor desiring to use a DBE not included in the Caltrans certified listing will be allowed to do so, but will be required to provide the appropriate certification from the DBE before such participation is counted towards award of the project. XV. Complaints Any complaints received by the City of Grand Terrace concerning this program will be investigated by the City of Grand Terrace. The.City of Grand Terrace will endeavor to resolve said complaints within 90 days of receipt by the DBE Liaison Officer. The appropriate DOT element will be furnished a copy of the complaint and invited to participate in the investigation/resolution. The DOT element will receive a complete investigative report on the complaint and will be requested to concur in the proposed disposition of said complaint. Contractors will be directed to notify the City of Grand Terrace of any complaints they may receive concerning this program. -7- SPECIAL PROVISIONS SECTION 1. Disadvantaged Business Enterprise - This project is subject to Part 23, Title 49, Code of Federal Regulation entitled "Participation by Minority Business in Department of Transportation Programs." Portions of the regulations are set forth in Section 6-1.05, of these special provisions, and the regulations in their entirety are incorporated herein by this reference. Bidders shall be fully informed of the requirements of the Regulations; particular attention is directed to the following matters: A. A Disadvantaged Business Enterprise (DBE) must be a small business concern as defined purusant to Section 3 of U.S. Small Business Act; B. A DBE may participate as a prime contractor, subcontractor, joint venture partner with a prime or subcontractor, or vendor of material or supplies; C. A DBE joint Venture partner must be responsible- for a clearly defined portion of the work to be performed in addition to satisfying requirements for ownership and control. The DBE joint venturer must submit schedule B of the Regulations. D. A DBE must perform a commercially useful function, i.e. , must" be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing, and supervising the work; E. Credit for a DBE vendor of materials or supplies is limited to 60 percent of the amount to be paid to the vendor for the material unless the vendor manufactures or substantially alters the goods; F. A DBE must be certified before credit may be allowed toward the DBE goal. The Department's DBE Directory identifies DBE's which have been certified and others which may qualify for certification. The DBE Directory may be obtained from: City of Grand Terrace, 22795 Barton Road, Grand Terrace, CA 92324, or Department of Transportation, Dist 8, P. 0. Box 231, San Bernardino, CA 92403. G. Non-compliance by the contractor with the requirements of the regulations constitutes a breach of this contract and 'may result in termination of the contract or other appropriate remedy for such breach. H. Bidders are encouraged to utilize services offered by banks owned and controlled by minorities. SECTION 2. DBE Goals for this project - The Department has established a Total Disadvantaged Business Enterprise (DBE) participation goal for this project composed of 10% percent DBE's owned and controlled by minorities. -8- It is the bidder's responsibility to make a sufficient portion of the work available to subcontractors and suppliers, and to select those portions of the ` - work or material needs consistent with the available DBE subcontractors and suppliers, so as to assure meeting the goal for DBE participation. " SECTION 3. Submission of Disadvantaged Business Enterprise Information, Award and Execution of Contract - The bidder's attention is directed to the "provisions in this section for the requirements and conditions concerning submittal of DBE information, awards, and execution of contract. A. DBE INFORMATION - The apparent successful bidder (low bidder) shall submit DBE information to the office at which bids were received no later than 2 p.m. on Friday the week following bid opening, unless a later time is authorized by the City. Other bidders need not submit DBE information unless requested to do so by the City of Grand Terrace. When such request is made, the DBE information of such bidder shall be submitted within 5 days, unless a later time is authorized by the City. The information include: 1. Names of DBE's to be used with a complete description of work or supplies to be provided by each, and the dollar value of each such DBE transaction: (NOTE: DBE subcontractors for signal and lighting items, if there are such items of work, it must have been named in the bid - see section entitled "Subcontracting" of these Special Provisions.) 2. A "Disadvantaged Business Enterprise Questionnaire " (Schedule A) for each DBE not already certified; 3. Schedule "B" for each DBE joint venturer. Bidders whose submittal in (1) above indicates they will meet the stated DBE goal need not submit any further information, unless the City in its review finds that the goal has not been met, in which case additional information will be requested by the City. The additional information may be requested to clarify claimed DBE participation, add DBE participation, or demonstrate that a good faith effort was made to meet the DBE goal. Such information shall be submitted promptly upon request by the department. -9- It is the bidder's responsibility to meet the goal of DBE participation or to provide information to establish good faith efforts to do so. Such information shall include the following: 4. The names and dates of advertisement of each newspaper, trade paper, and minority-focus paper in which a request for DBE participation for this project was placed by the bidder; 5. The names and dates of notices of all certified DBE's solicited by direct mail for this project; 6. The items of work for which the bidder requested subbids or materials to be supplied by DBEs; 7. The names of DBE's who submitted bids for any of the work indicated in (6) above which were not accepted, the name of the subcontractor or supplier that was selected for that portion of work, and the reasons for the bidder's choice. -(If the reason was price, give the price bid by the rejected DBE and the price bid by the selected subcontractor or supplier); 8. . Assistance that the bidder has extended to DBE's identified in (7) above to remedy the deficiency in the DBE's subbids. 7 9. Any .additional data to support a demonstration of good faith effort, such as contacts with DBE assistance agencies. B. Award of Contract - The award of contract, if it be awarded will be the lowest responsible bidder whose proposal complies with all the requirements prescribed and who has met the goal for DBE participation. Meeting the goal for DBE participation or demonstrating, to the satisfaction of the City, good faith efforts to do so is a condition for being eleigible for award of contract. -10- ATTACHMENT "A" Goal Establishment The City of Grand Terrace DBE goals for October 1, 1987 through September 30, 1988, will be 10 percent overall, Disadvantaged Business, based upon the following analysis . ANALYSIS The City of Grand Terrace DBE policy is in concurrence with the minimum 10 percent Disadvantaged Business goal participation, as established un 49 CFR, Part 23 . -11-