HomeMy WebLinkAboutReso 2017-070 - Redding Airports Division RESOLUTION NO. 2017-070
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF REDDING
APPROVING THE CITY OF REDDING AIRPORTS DIVISION
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM AS IT
PERTAINS TO FEDERAL AVIATION ADMINISTRATION FUNDING
WHEREAS, as a condition of receiving Federal funds, local agencies are required to
adopt a program for the inclusion of those firms qualifying as a Disadvantaged Business
Enterprise (DBE); and
WHEREAS, DBE requirements are set forth in Title 49, Part 26 of the Code of Federal
Regulations; and
WHEREAS, the Airports Division has the responsibility of reviewing and updating the
DBE Program to maintain compliance with current Regulations and has the responsibility of
implementing the DBE Program;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Redding approves the attached Disadvantaged Business Enterprise Program as it relates to
Federal Aviation Administration Funding for the City of Redding's Airports Division.
I HEREBY CERTIFY that the foregoing resolution was introduced, read, and adopted
at a special meeting of the City Council on the 2nd day of August, 2017, by the following vote:
AYES: COUNCIL MEMBERS: McElvain, Schreder, Sullivan, Winter, & Weaver
NOES: COUNCIL MEMBERS: None
ABSENT: COUNCIL MEMBERS: None
ABSTAIN: COUNCIL MEMBERS: None
14111.11..
BRENT WEAVER, Mayor
ATTEST: FORM APPROVED: J
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PAMELA MIZE, City Cler BARRY E. DeWALT, City Attorney
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Section 26.1, 26.23 Objectives/Policy Statement
The City of Redding (hereinafter referred to as AIRPORT) has established a Disadvantaged
Business Enterprise (DBE) Program for the Redding Municipal Airport in accordance with
regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. AIRPORT has
received Federal financial assistance from the DOT, and as a condition of receiving this
assistance, AIRPORT has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of AIRPORT 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:
1. To ensure nondiscrimination in the award and administration of DOT-assisted contracts;
2. To create a level playing field on which DBEs can compete fairly for DOT-assisted
contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance 49 CFR Part 26 and
applicable law;
4. To ensure that only firms that fully meet the eligibility standards in 49 CFR Part 26 are
permitted to participate as DBEs;
5. To help remove barriers to the participation of DBEs in DOT-assisted contracts; and
6. To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
The Airports Manager has been delegated as the DBE Liaison Officer (DBELO). In that capacity,
the Airports Manager 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 AIRPORT in its financial assistance agreements with the
Department of Transportation.
The Airports Division has disseminated this policy statement to the City Council of the City of
Redding 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, and providing a link program on the Airport
Documents and Forms page via the Airports Website www.reddingairport.net.
—9/) n
Bri• Crane, Director of Public Works Date
SUBPART A— GENERAL REQUIREMENTS
Section 26.1 Objectives
The objectives of the DBE Program are set forth in the policy statement on the first page of this
program.
Section 26.3 Applicability
AIRPORT is a recipient of federal airport funds authorized by 49 U.S.C. 471010, et seq.
Section 26.7 Non-Discrimination Requirements
AIRPORT 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 49 CFR Part 26 on the basis of race, color, sex, or national origin.
In administering its DBE program, AIRPORT 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.
Section 26.11 Record Keeping Requirements
Reporting to DOT: 26.11
AIRPORT will report DBE participation to DOT/FAA as follows:
DBELO will transmit to FAA annually by December 1, the 'Uniform Report of DBE Awards
or Commitments and Payments" form, found at www.dbeconnect.com.
DBELO will transmit to the FAA on a triannual basis by August 1, the Annual Goals and
the Methodology for calculating the Annual Goals.
Bidders List: 26.11 (c)
AIRPORT will create a bidders list, consisting of information about all DBE and non-DBE firms
that bid or quote on DOT-assisted contracts. The purpose of this requirement is to allow use of
the bidders list approach to calculating overall goals. The bidders list will include the name,
address, DBE non-DBE status, age and annual gross receipts of firms.
AIRPORT will collect this information by querying the California Department of Transportation on
an annual basis.
Section 26.13 Federal Financial Assistance Agreement
AIRPORT has signed the following assurances, applicable to all DOT-assisted contracts and their
administration:
Assurance: 26.13 (a) —
AIRPORT 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. AIRPORT shall take all necessary and
reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and
administration of DOT-assisted contracts. AIRPORT'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 AIRPORT of its failure to
carry out its approved program, the Department may impose sanctions as provided for
under 49 CFR 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.).
Contract Assurance: 26.13(b) —
AIRPORT will ensure that the following clause is included in each contract we sign with a
contractor and each subcontract the prime contractor signs with a subcontractor:
The Contractor, subrecipient 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 U.S.
DOT-assisted contracts. Failure by the Contractor, subrecipient of subcontractor to carry
out these requirements is a material breech of this contract, which may result in the
termination of this contract or such other remedy as the AIRPORT deems appropriate.
SUBPART B —ADMINISTRATIVE REQUIREMENTS
Section 26.21 DBE Program Updates
Since AIRPORT may receive grant(s) for airport planning or development totaling $250,000 in a
Federal fiscal year, AIRPORT will continue to carry out this DBE Program until all funds from DOT
financial assistance have been expended. DBELO will provide to DOT updates representing
significant changes in the program.
Section 26.23 Policy Statement
The Policy Statement is elaborated on the first page of this DBE Program.
Section 26.25 DBE Liaison Officer (DBELO)
The Airports Division has designated the following individual as its DBE Liaison Officer (DBELO):
(
Airports Manager
City of Redding
PO Box 496071
Redding, CA 96049
530-224-4321
airports@cityofreddinq.orq
In that capacity, the Airports Manager is responsible for implementing the Airports DBE program
and ensuring that AIRPORT complies with all provisions of 49 CFR Part 26. An organization
chart displaying the DBELO's position in the organization is found as Attachment 2 to this
program.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination with other appropriate officials. The duties and responsibilities include the
following:
1. Gathers and reports statistical data and other information as required by DOT.
2. Reviews third party contracts and purchase requisitions for compliance with this program.
3. Sets overall annual goals for the Airports Division.
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.
6. Analyzes AIRPORT's progress toward DBE goal attainment and identifies ways to
improve progress.
7. Participates in pre-bid meetings.
8. Advises superiors on Airport DBE matters and achievement.
9. Participates in DBE training seminars.
10. Assures maintenance of the AIRPORT's updated directory of certified DBE's.
Section 26.27 DBE Financial Institutions
It is the policy of AIRPORT 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 directly by searching the UCP database at www.californiaucp.com.
Section 26.29 Prompt Payment Mechanisms
AIRPORT has established, as part of its DBE Program, a contract clause to require prime
contractors to pay subcontractors for satisfactory performance of their contracts no later than 30
days from receipt of each payment made to the prime contractor.
AIRPORT will ensure prompt and full payment of retainage from the prime contractor to the
subcontractor within 30 days after the subcontractor's work is satisfactorily completed. The
following method will be used to comply with this requirement:
1. Hold retainage from prime contractors and provide for prompt and regular incremental
acceptances of portions of the prime contract, pay retainage to prime contractors based
on these acceptances, and require a contract clause obligating the prime contractor to pay
all retainage owed to the subcontractor for satisfactory completion of the accepted work
within 30 days after your payment to the prime contractor.
AIRPORT will include the following clause in each DOT-assisted prime contract:
The prime contractor agrees to pay each subcontractor under this prime contract for
satisfactory performance of its contract no later than thirty (30) days from the receipt of
each payment the prime contractor receives from AIRPORT. The prime contractor
agrees further to release retainage payments to each subcontractor within thirty (30) days
after the subcontractors work is satisfactorily completed. Any delay or postponement of
payment from the above referenced timeframe may occur only for good cause following
written approval of AIRPORT. This clause applies to both DBE and non-DBE
subcontractors.
Section 26.31 Directory
AIRPORT uses the State DBE Directory of certified firms, maintained by CalTrans. A link to the
Directory is available on the Airport Documents and Forms page via the Airports Website
www.reddingairport.net. The Directory may also be found at the website listed in Attachment 4.
Section 26.33 Over-Concentration
AIRPORT has not identified any types of work in DOT-assisted contracts that have an
overconcentration of DBE participation.
Section 26.35 Business Development Programs
AIRPORT does not have a business development program.
Section 26.37 Monitoring and Enforcement Mechanisms
AIRPORT will monitor and track actual DBE participation through contractor and subcontractor
reports of payments and other appropriate monitoring mechanism to ensure that work committed
to DBEs at contract award, and subsequent contract amendments, is actually performed by the
identified DBEs and payments are made to those DBE firms in accordance with the contract
requirements. AIRPORT shall ensure that DBE participation is counted towards contract goals
and the overall annual goal in accordance with the Regulations.
Contract Award
The following forms will be provided as part of the contract documents: "Disadvantaged
Business Enterprise Utilization" (Attachment 6) and "Letter of Intent and Affirmation" (Attachment
6). After contract award, AIRPORT 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. The
"Final Report - Utilization of Disadvantaged Business Enterprises, First Tier Subcontractors"
(Attachment 6) will be completed by the Contractor and submitted to AIRPORT at the completion
of the project.
Construction Contract Monitorifig
AIRPORT will provide a monitoring and enforcement mechanism to verify that work committed to
DBE's or small businesses at contract award is actually performed by the DBE's or small
businesses. This will be accomplished by monitoring the contract with site visits.
Substitution
When a DBE substitution is requested, the contractor must submit a letter explaining why a
substitution is needed. AIRPORT must review the letter to ensure names and addresses are
shown, dollar values are included, and reason for the request is explained. If AIRPORT agrees
to the substitution, AIRPORT will notify, in writing, the DBE subcontractor regarding the proposed
substitution and procedure for written objection from the DBE subcontractor in accordance with
the Fair Practices Act.
Record Keeping and Final Report— Utilization of Disadvantaged Business Enterprises
AIRPORT will provide the contractor with a "Final Report-Utilization of Disadvantaged Business
Enterprises, First Tier Subcontractors Form" (Attachment 6) to be submitted at the end of the
project. Failure to submit the completed form may result in payment being withheld, in
conformance with the contract.
The contractor shall maintain records showing the name and address of each first-tier
subcontractor for a period of three years after completion of the project. The records shall also
show:
• The name and business address, regardless of tier, of every DBE subcontractor and DBE
vendor.
• The date of payment and total dollar figure paid to each of the firms.
• The DBE prime contractor shall 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 all the records
stated above.
AIRPORT will bring to the attention of the DOT 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 Section 26.109. AIRPORT
also will consider similar action under its own legal authority, including the determination in
I awarding future contracts.
Section 26.39 Fostering Small Business Participation
AIRPORT will structure the contracting requirements to facilitate competition by small business
concerns. AIRPORT will accomplish by taking reasonable steps to eliminate obstacles to
participation, including unnecessary and unjustified bundling of contract requirements that may
preclude small business participation in procurements, as prime contractors or subcontractors.
SUBPART C —GOALS, GOOD FAITH EFFORTS, AND COUNTING
Section 26.43 Quotas or Set-Asides
AIRPORT does not use quotas in any way in the administration of this DBE program.
Section 26.45 Overall Goals
DBELO will establish an overall DBE goal covering a three-year federal fiscal year period if
AIRPORT anticipates awarding FAA funded prime contracts exceeding $250,000 during any one
or more of the reporting fiscal years within the three-year goal period. In accordance with
Section 26.45(f) DBELO will submit its overall three-year DBE goal to FAA by August 1 as
required by the established schedule below. The DBE goals will be established in accordance
with the 2-step process as specified in 49 CFR Part 26.45. This DBE Program will remain in
effect and the AIRPORT will seek to fulfill the objectives outlined in 49 CFR Part 26.1.
Airport Type Region Date Due Next Goal Due
(Goal Period) (Goal Period)
Non-Hub Primary All Regions August 1, 2018 August 1, 2021
(2019/2020/2021) (2022/2023/2024)
Goals and Methodology
The Methodology for Overall Goal Setting (Attachment 5) shall document the analysis and
methodology as well as the proposed goal and estimated percentages to be achieved through
race-neutral and race conscious measures.
In establishing the overall goal, DBELO will consult with new DBE's or DBE groups in the area to
obtain information concerning the availability of disadvantaged and non-disadvantaged
businesses, and the AIRPORT's efforts to establish a level playing field for the participation of
DBEs. DBELO will contact the Shasta Builders Exchange to determine if there were any other
contracting groups to contact and seek additional comments and was informed that there were no
other groups within the market area.
Following this consultation, DBELO will publish a notice of the proposed overall goals, informing
the public that the proposed goal and its rationale are available for inspection during normal
business hours at the Airports Administration, 6751 Woodrum Circle, Suite 200, Redding, CA
96002, for thirty (30) days following date of the notice, and informing the public that AIRPORT and
DOT/FAA will accept comments on the goals for forty-five (45) days from the date of notice.
Notice will be issued in the Redding Record Searchlight and on the Airports Website
www.reddingairport.net.
Notice will typically be issued by June 1 of each 3-year period. The overall three year goal
submission to DOT/FAA will include a summary of information and comments received during this
public participation process and AIRPORT's responses.
AIRPORT will begin using its overall goal on October 1, of each year.
Section 26.47 Failure to Meet Overall Goals
DBELO will maintain an approved DBE Program and overall DBE goal, if applicable. AIRPORT
will administer the DBE Program in good faith to be considered to be in compliance with this part.
If AIRPORT awards and commitments shown on our"Uniform Report of Awards or Commitments
and Payments" at the end of any fiscal year are less than the overall goal applicable to that fiscal
year, DBELO will do the following in order to be regarded as implementing the DBE Program in
good faith:
(1) Analyze in detail the reasons for the difference between the overall goals and our awards
and commitments in that fiscal year;
(2) Establish specific steps and milestones to correct the problems we have identified in our
analysis and to enable us to meet fully our goal for the new fiscal year.
Section 26.51 (a-c) Breakout of Estimated Race-Neutral and Race-Conscious
Participation
In the Ninth U.S. Circuit Court of Appeals jurisdiction, which includes California, race-conscious
goals require certain actions to be taken based on a legal decision in 2005 in the case of Western
States Paving Company v. State of Washington Department of Transportation. The actions to
be taken are conducting a disparity study or through other means to identify that lingering effects
of past discrimination exist in the specific marketplace relative to the procurement. AIRPORT
has no evidence that such discrimination has existed and therefore does not set race-conscious
goals.
AIRPORT will meet its goals through race-neutral means by the following:
1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and
delivery schedules in ways that facilitate DBE, and other small business participation (e.g.
unbundling large contracts to make them more accessible to small businesses, requiring
or encouraging prime contractors to subcontract portions of work that they might
otherwise perform with their own forces);
2. Providing assistance in overcoming limitations such as inability to obtain bonding and
financing (e.g. by such means as reducing bonding requirements);
3. Providing technical assistance and other services;
4. Carrying out information and communications programs on contracting procedures and
specific contract opportunities (e.g. ensuring inclusion of DBE's and other small
businesses, on recipient mailing lists for bidders).
5. Ensuring distribution of DBE directory through print and electronic means to the widest
feasible universe of potential prime contractors; and
6. Assisting DBE's and other small businesses to develop their capability to utilize emerging
technology and conduct business through electronic media.
Section 26.51 (d-g) Contract Goals
AIRPORT will use the overall goal, rather than Contract Goals. The overall goal will be identified
in bid solicitations.
Section 26.53 Good Faith Efforts Procedures
Demonstration of Good Faith Efforts (26.53 (a) & (c))
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 and attached as
Attachment 6.
The Contract Compliance Technician is responsible for determining whether a bidder/offeror who
has not met the contract goals has documented sufficient good faith efforts to be regarded as
responsive.
AIRPORT will ensure that all information is complete, 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.
Information to be Submitted (26.53(b))
AIRPORT treats bidders'/offeror's compliance with good faith effort requirements as a matter of
responsiveness. A responsive proposal is meeting all of the requirements of the advertisement
and solicitation.
Each solicitation for which a contract goal has been established will require the bidders/offeror's
to submit the following information to AIRPORT, within seven days of the 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 a
provided in the prime contractor's commitments; and
6. If the contract goal is not met, evidence of good faith efforts.
Administrative reconsideration (26.53 (d))
Within seven (7) days of being informed by the AIRPORT that it is not responsive because it has
not documented sufficient good faith efforts, a bidder/offeror may request reconsideration.
Bidder/offerors should make this request in writing to the following reconsideration official:
Airports Manager, 6751 Woodrum Circle, Suite 200, Redding, CA 96002, telephone
530-224-4321. The reconsideration official will not have played any role in the original
determination that the bidder/offeror did not make or document sufficient good faith efforts.
As part of this reconsideration, the bidder/offeror will have the opportunity to provide written
documentation or argument concerning the issue of whether it met the goal or made adequate
good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with the
reconsideration official to discuss the issue of whether it met the goal or made adequate good
faith efforts to do so. AIRPORT 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
ri
to the Department of Transportation.
Good Faith Efforts when a DBE is Replaced on a Contract (26.53 (f))
AIRPORT 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 overall goal. The prime contractor is required to notify AIRPORT
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 AIRPORT'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 within the time specified, AIRPORT's
contracting office may 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.
AIRPORT will provide such written consent only if we agree, for reasons stated in our
concurrence document, that the prime contractor has good cause to terminate the DBE firm.
If the contractor fails or refuses to comply in the time specified, our 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.
Sample Bid Specification:
The requirements of 49 CFR Part 26, Regulations of the U.S. Department of
Transportation, apply to this contract. It is the policy of the AIRPORT to practice
nondiscrimination based on race, color, sex, or national origin in the award or performance
of this contract. All firms qualifying under this solicitation are encouraged to submit
bids/proposals. Award of this contract will be conditioned upon satisfying the
requirements of this bid specification. These requirements apply to all bidders/offerors;
including those qualify as a DBE. The AIRPORT has an overall DBE goal of percent.
The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26
(Attachment 1), to encourage DBE participation in the performance of this contract.
The bidder/offeror will be required to submit the following information: (1) the names and
addresses of DBE firms that will participate in the contract; (2) a description of the work
that each DBE firm will perform; (3) the dollar amount of the participation of each DBE firm
participating; (4) Written documentation of the bidder/offeror's commitment to use a DBE
subcontractors whose participation it submits to meet the contract goal; (5) Written
confirmation from the DBE that it is participating in the contract as provided in the
commitment made under (4); and (6) if the contract goal is not met, evidence of good faith
efforts.
Section 26.55 Counting DBE Participation
AIRPORT will count DBE participation toward the overall goal as provided in 49 CFR 26.55.
AIRPORT will not count the participation of a DBE subcontract toward a contractor's final
compliance with its DBE obligation on a contract until the amount being counted has actually been
paid to the DBE.
SUBPART D—CERTIFICATION STANDARDS
Section 26.61 —26.73 Certification Process
AIRPORT ensures that only DBE firms currently certified on the Caltrans's directory or the
statewide directory created by the Unified Certified Program will participate as DBEs in
AIRPORT's program. To be certified as a DBE, a firm must meet all certification eligibility
standards.
Certification application forms and documentation requirements are found at the website listed in
Attachment 4 to this program.
SUBPART E — CERTIFICATION PROCEDURES
Section 26.81 Unified Certification Programs
The California Unified Certification Program (CUCP) provides "one-stop shopping" certification
services to small, minority and women owned businesses seeking to participate as a
Disadvantaged Business Enterprise (DBE) on contracts funded by the United States Department
of Transportation.
The CUCP is charged with the responsibility of certifying firms and compiling and maintaining a
single statewide database of certified DBE's pursuant to 49 CFR Part 26. The Database is
intended to expand the use of DBE firms by maintaining complete and current information on
those businesses and the products and services they can provide to all U.S. DOT grantees in
California.
SUBPART F — COMPLIANCE AND ENFORCEMENT
Section 26.109 Information, Confidentiality, Cooperation
AIRPORT will safeguard from disclosure to third parties information that may reasonably be
regarded as confidential business information, consistent with Federal, state, and local law.
Notwithstanding any provision of Federal or state law, AIRPORT will not release any information
that may reasonably be construed as confidential business information to any third party without
the written consent of the firm that submitted the information.
Monitoring Payments to DBE's r:
AIRPORT will require prime contractors 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 AIRPORT or DOT. This
reporting requirement also extends to any certified DBE subcontractor.
AIRPORT will review payments to DBE subcontractors to ensure that the actual amount paid to
DBE subcontractors equals or exceeds the dollar amounts stated on the schedule of DBE
participation form.
`3.
ATTACHMENTS
Attachment 1 Regulations: 49 CFR Part 26 or website link
Attachment 2 Organizational Chart
Attachment 3 Bidder's List Collection Form
Attachment 4 Links to DBE Directory/CalTrans DBE Directory/California Unified
Certification Program/US Census Bureau Data
Attachment 5 Overall Goal Calculations
Attachment 6 Demonstration of Good Faith Efforts or Good Faith Effort Plan—Form 1, 2,
and 3
Attachment 7 DBE Monitoring and Enforcement Mechanisms
Attachment 8 DBE Certification Application Form
Attachment 9 Uniform Report of DBE Commitments/Awards and Payments
Disadvantaged Business Enterprise(DBE) Program -Attachments
ATTACHMENTS
Attachment f Regulations: 49 CFR Part 26 or website link
Attachment 2 Organizational Chart
Attachment 3 Bidder's List Collection Form
Attachment 4 DBE Directory or link to
Attachment 5 Overall Goal Calculations
Attachment 6 Demonstration of Good Faith Efforts or Good Faith Effort Plan - Form 1 &2
Attachment 7 DBE Monitoring and Enforcement Mechanisms
Attachment 8 State's UCP Agreement
g6
FY 2019,2020 and 2021 Page 1 of 14
Disadvantaged Business Enterprise(DBE) Program-Attachments
ATTACHMENT 1
Regulations: 49 CFR PART 26—PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN
DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
http://www.ecfr.qov/cqi-bin/text-idx?tpl=/ecfrbrowse/Title49/49cfr26 main 02.tpl
FY 2019, 2020 and 2021 Page 2 of 14
Disadvantaged Business Enterprise(DBE) Program-Attachments
ATTACHMENT 2
Organizational Chart
City of Redding
City Council
City Manager
1
Public Works Director
Assistant Public Works
Director
Airport Manager
DBE Liaison Officer
Assistant Airport Manager Management Analyst Executive Assistant
Maintenance Supervisor Contract Security Account Clerk I
1
Building Maintenance
Janitors
DBELO CONTACT INFORMATION
Bryant Garrett,AAE
6751 Woodrum Circle,Ste#200
Redding,CA 96002
(530)224-4321
bgarrett@ci.redding.ca.us
)
FY 2019, 2020 and 2021 Page 3 of 14
i'.
Disadvantaged Business Enterprise (DBE) Program -Attachments
ATTACHMENT 3
BIDDER'S LIST OF SUBCONTRACTORS (DBE AND NON-DBE)
The bidder shall list all subcontractors who provided a quote or bid on this project. This is required for compliance
with Title 49,Section 26 of the Code of Federal Regulations. Photocopy this form for additional firms.
Firm Name/ Phone/ Annual Local Agency Use Only
Address/ Fax Gross Description of Portion of Work to be Performed (Certified DBE)
City,State,ZIP Receipts
Name Phone n < $1 million YES or NO
0 < $5 million (circle)
Address 0 <$10 million If YES list DBE#
Fax PI <$15 million
— — —
City,State ZIP PI> $15 million Age ofFirm(Yrs.)
Name Phone PI < $1 million YES or NO
1:2 < $5 million (circle)
Address Q < $10 million - _--_
--_ ------� If YES list DBE#
Fax I-I < $15 million
City,State ZIP IJ>$15 million Age of Firm`(Yrs)
11111111111111-- 1
Nome Phone O < $1 million YES or NO i
= < $5 million (circle)
Address n < $10 million If YES list DBE l I
Fax Il < $15 million
City,State 21P PI>$15 million Age of Firm(Yrs.)
Name Phone II <$1 million
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_________ (circle)
0 < $5 million
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Address ___..........-._.____._..____._.__....._.__..__._.........._..... ....-_......__._....__._......._.__
PI < $10 million _. If YES list DBE#
___.____----....__ __-__ -._—._--
For n < $15 million
City,State ZIPIJ > $15 million --- _____-- Age of Firm(Yrs.) •
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Address Q < $10 million If YES list DBE# S
Fax (-I < $15 million
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FY 2019,2020 and 2021 Page 4 of 14 1
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Disadvantaged Business Enterprise(DBE) Program-Attachments
ATTACHMENT 4
DBE Directory
Caltrans Unified Certification Program
http://www.dot.ca.gov/hq/bep/find certified.htm
California Unified Certification Program
http://californiaucp.org/
US Census Bureau Data
https://www.census.gov/
FY 2019, 2020 and 2021 Page 5 of 14
Disadvantaged Business Enterprise (DBE) Program-Attachments
ATTACHMENT 5
Section 26.45: Overall DBE Three-Year Goal Methodology
Name of Recipient: City of Redding—Airports Division
Goal Period: FY-2019-2020-2021 —October 1, 2018 through September 30, 2021
DOT-assisted contract amount: FY-2018: $3,092,500
FY-2019: $2,732,000
FY-2020: $ 833,500
Total: $6,658,000
Methodology:
The overall 3-year goal is calculated using a 2-step method. The first step is to determine the relative
availability of DBE's in the market area, also called the'Base Figure.' The second step is to adjust the
base figure based on past participation.
Step 1:
We have determined the Base Figure utilizing the Caltrans DBE Directory of Certified Firms (DBE
Directory). We tailored the information to more accurately reflect conditions in our Market Area by filtering
the DBE Directory to represent DBE firms located within the City of Redding's regional area, Shasta
County, Caltrans District 2, for calculating the numerator, and using the United States Census Bureau
Data Table for Shasta County, California to determine the total number of the type of firm needed for
each project, based on the NAICS Category, located within the same geographic market for calculating
the denominator.
Step 1 - Determination of the Base Figure— Relative Availability of DBE's
Statewide
District 2 Total Firms
Shasta Total from US
DBE's from Census
NAICS Type of Work DBE Directory Bureau
541330 Engineering Services 212 8,302
541611 Management Consultant 317 8,892
541620 Environmental Consulting 191 1,465
237310 Highway, Street & Bridge Construction 115 780
238210 Electrical 49 7,957
238990 Other Specialty Trade Contractors 80 3,052
488490 Street Sweeping Truck 11 381
Total 975 30829
Base Figure 3.16%
Base Figure- DBE's /All Firms = 3.16%
FY 2019,2020 and 2021 Page 6 of 14
Disadvantaged Business Enterprise(DBE) Program-Attachments
Step 2. Adjusting the Base Figure
In order to tailor the program to reflect the AIRPORT'S respective Market Area and types of work, the
AIRPORT determined the relative availability of DBEs in relation to all comparable firms available for the
AIRPORTS FFY 2019/2020/2021 FAA assisted projects. The AIRPORT elected to utilize the CalTrans
DBE Directory of Certified Firms, filtered to represent DBE firms willing to work within the City of
Redding's regional area, Shasta county, CalTrans District 2, weighted by the percentage of work planned
for each NAICS code, for calculating the numerator and the total number of businesses statewide
according to the 2015 U.S. Census Bureau County Business Patterns to calculate the denominator.
The AIRPORT anticipates awarding the following types of projects:
Work Category NAICS Category Estimated Dollar Value %of Federal Funding
bYWork Category
Engineering Services 541330 $860,000 7%
(Engineering Design)
Management 541611 125,000 1%
Consultant Services
Draina.e Stud
Environmental 541620 $350,000 3%
Consulting
(Environmental
Assessment
Highway, Street& 237310 $7,135,000 60%
Brid•a Construction
Electrical (Expand Solar 238210 $2,750,000 23%
Farm, Upgrade Airfield
Electrical S stem
Other Specialty Trade 238990 $355,000 3%
Contractors (Interactive
Video Training
System/Cameras,
Surface Friction
Measuring Equipment,
Fencin.
Street Sweeping Truck 488490 $375,000 3%
(High Speed Runway
Sweeper)
TOTAL $11,950,000 100%
The figure resulting from this calculation is as follows: (The following figures will be updated prior to the
triannual goal submission per schedule in Section 26.45)
Figure = .07(DBE's in NAICS 541330)/CBP + .01(DBE's in NAICS 541611)/CBP+ .03(DBE's in NAICS
541620)/CBP + .60(DBE's in NAICS 237310)/CBP + .23(DBE's in NAICS 238210)/CBP + .03(DBE's in
NAICS 238990)/CBP + .03(DBE's in NAICS 488490)/CBP
Figure = .07(212)/8302 + .01(317)/8892 + .03(191)/1465 + .6(115)/780 + .23(49)/7957 + .03(80)/3052
+.03(11)/381 •
Figure =.001+0 +.003 + .088 + .001 + 0 + 0 = .093 = 9.3%
Weighted Relative Availability of DBE's = 9.3%
FY 2019, 2020 and 2021 Page 7 of 14
Disadvantaged Business Enterprise (DBE) Program -Attachments
Past History Participation
The AIRPORT adjusted the Base Figure based on past participation by utilizing the median of the
documented participation on our Uniform Report of DBE Commitments/Awards and Payments submitted
via the DBE Connect web portal for the pervious six-year period, and averaging it with the Base Figure to
more narrowly tailor the Three-Year Goal.
Other data used to determine the adjustment to the base figure was the median of historical DBE
accomplishments as follows. This data will be updated prior to goal submission and is to illustrate
methodology only at this time:
DBE Goals Accomplishments Type of work
FY Total Grant$Award Amount
RC RN Total RC RN Total NAICS CODE
FY 10 $1,728,922 3.50% 3.50% 7% 0% 0% 0% n/a
FY 11 $10,580,712 4.50% 4.50% 9% 4.53% 0% 4.53% 236220
FY 12 $624,721 4.50% 4.50% 9% 4.42% 0.00% 4.42% 541690
FY 13 $139,100 3.50% 3.50% 7% 0.00% 0.00% 0.00% n/a
FY 14 $1,508,273 3.50% 3.50% 7% 4.65% 5.0% 9.65% 561499,541611
FY 15 $0 3.5% 3.5% 7% 0.00% 0.00% 0.00% n/a
FY 16 $3,413,299 0 4.08% 4.08% 0 4.5% 4.5% 423320,237310
FY 17 TBD 0 4.08% 4.08% TBD TBD TBD TED
FY 18 TBD 0 4.08% 4.08% TBD TBD TBD TED
Arranging this historical data from low to high (0, 0, 0, 4.42, 4.5, 4.53, 9.65) the median is 4.42%.
Resultant Average Goal
The AIRPORT averaged the past participation with the relative availability to determine a new goal:
'RelativeAvailability l Past Participation Average
9.3% 4.42% 6.86%
Resultant Goal Adjustment
The AIRPORT will use the average of the Relative Availability of DBE's weighted by the percentage
estimated to be spent in each NAICS code with the median Past Participation figure. The resultant goal
is an average of the two components adjusted to 6.86% of the Federal Financial assistance the Airport •
will expend in FAA-assisted.
jk
FY 2019, 2020 and 2021 Page 8 of 14
Disadvantaged Business Enterprise (DBE) Program-Attachments
ATTACHMENT 6
Demonstration of Good Faith Efforts
The following is a list of types of actions the DBELO will consider as part of the bidder's/proposer's good
faith efforts to obtain
A. Whether the contractor solicited, through all reasonable and available means (i.e., attendance at
prebid/prepropsal meetings, advertising and/or written notices), the interest of all certified DBE's
who have the capability to perform the work of the contract. Whether the contractor solicited
interest within sufficient time to allow the DBEs to respond and if appropriate steps were taken to
follow up with interested DBEs.
B. Whether the contractor selected portions of the work to be performed by DBEs and, where
appropriate, broke out contract work items into economically feasible united to facilitate DBE
participation even when the contractor might otherwise prefer to perform these work items with its
own workforce.
C. Whether the contractor provided 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. Where the contract negotiated in good faith with interests 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 DBA subcontractors and
suppliers, so as 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.
A bidder using good business judgment would consider a number of factors 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.
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 associates 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. Whether the contractor made efforts to assist interested DBEs in obtaining necessary equipment, It
supplies, material or related assistance or services. I<
tj
G. Whether the contractor made efforts to assist interested DBEs in obtaining bonding, lines of credit
or insurance as required by the recipient contractor.
iV
FY 2019, 2020 and 2021 Page 9 of 14
Disadvantaged Business Enterprise(DBE) Program-Attachments
H. Whether the contactor effectively used the services of available minority/women community
organizations, minority/women contractor's groups, local, state, and Federal minority/women
business assistance offices; and other organizations as allowed on a case-by-case basis to pride
assistance in the recruitment and placement of DBEs.
•
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FY 2019,2020 and 2021 Page 10of14
Disadvantaged Business Enterprise(DBE) Program-Attachments
Demonstration of Good Faith Efforts- Forms 1 & 2
[Forms 1 and 2 should be provided as part of the solicitation documents.]
FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION
The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following
manner (please check the appropriate space):
The bidder/offeror is committed to a minimum of % DBE utilization on this contract.
The bidder/offeror (if unable to meet the DBE goal of %) is committed to a minimum
of % DBE utilization on this contract and should submit documentation demonstrating good
faith efforts.
Name of bidder/offeror's firm:
State Registration No.
By
(Signature) Title
FY 2019, 2020 and 2021 Page 11 of 14
Disadvantaged Business Enterprise(DBE) Program-Attachments
I. FORM 2: LETTER OF INTENT
Name of bidder/offeror's firm:
Address:
City: State: Zip:
Name of DBE firm:
Address:
City: State: Zip:
Telephone:
Description of work to be performed by DBE firm:
The bidder/offeror is committed to utilizing the above-named DBE firm for the work described above. The
estimated dollar value of this work is$
Affirmation
The above-named DBE firm affirms that it will perform the portion of the contract for the estimated dollar
value as stated above and that the firm is DBE certified to perform the specific trades.
By Date:
(Signature)
(Title)
If the bidder/offeror does not receive award of the prime contract, any and all representations in
this Letter of Intent and Affirmation shall be null and void.
[Submit this page for each DBE subcontractor.]
iJ
FY 2019,2020 and 2021 Page 12 of 14
iE
Disadvantaged Business Enterprise(DBE) Program-Attachments
ATTACHMENT 7
DBE Monitoring and Enforcement Mechanisms
The City of Redding has available several remedies to enforce the DBE requirements contained in its
contracts, including, but not limited to,the following:
1. Breach of contract action, pursuant to the terms of the contract;
2. Breach of contract action, pursuant to Contract Code Section 3300
In addition, the Federal government has available several enforcement mechanisms that it may apply to
firms participating in the DBE problem, including, but not limited to, the following:
1. Suspension or debarment proceedings pursuant to 49 CFR Part 26
2. Enforcement action pursuant to 49 CFR Part 31
3. Prosecution pursuant to 18 USC 1001.
FY 2019,2020 and 2021 Page 13 of 14
Disadvantaged Business Enterprise (DBE) Program -Attachments
ATTACHMENT 8
State's UCP Agreement
http://californiaucp.org/
FY 2019,2020 and 2021 Page 14 of 14