HomeMy WebLinkAboutReso 2021-123 - City of Redding Airports Division disadvantaged Business Enterprise Program as it pertains to Federal Aviation Adminstration Funding RESOLITTI(�N NCl. 2Q21-12�
A RESQLUTI�N (�F THE CITY �QUI'�T�IL QF TI�E CITY (�►�' REI��II`+��
APPR(�VII'�T+G TI�E �ITY ()F' ��.E��►DIN� AIRP+�RTS DIVISI()I'�
DISADVAI�TAGED BIJSII"�E�S �I�1'TE1�P'RI�E PR+Q�I�AM AS IT
PERTAII�TS TC� FEI)E1�AL AVIATI�N A�MINISTRATIt�I�T FIJI"�DII'��
WHER��S,as a condition of rec��ving�'ederal funds,local ag�ncies are required to ado t
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a pr�gram for the incluslon Qf those firms qualifying as a Disadvar�tag�d Business Enterprise
(D�E}; and
WHEREAS, L1BE r�qui�ements are set forth in Title 49, Par� 2� of th� ��de of Federal
Regulations; and
W�IEREAS, the AirpQrts I�ivision has the respt�nsibil�ty of reviewing and updating the
I��E Program tc� maintain com.pliance with current Regulations and has th� responsibility of
implementing the DBE Program;
I�Tt��, THE�C�F(JT�.E,BE IT �ESOLV�� that the City �ouncil t�f the City of Redding
approves the�.ttach�d Disadvantaged Business Enterpris�Program as it relates to Federal.�viation
Adn�inistration Funding for th� City of Redding'S Al�'�O�S D1�1S1C�i1.
I �E�.EBY CEI�TIF�' that the for�g�ing resolution was introduced and ad�pted at a
regular meeting of the �ity Cauncil of the �ity of Redding on the 2nd day of November, 2Q21, by
the folla►wing vate:
A�'ES: CC.�U��IL 1VIElVIBE�S: I)acquisto,lVlezzana, Schreder,and Winter
Nt}ES: C+�UN�IL MEMBERS: l�Tone
ABSEI'�TT: �t)ITI�TCIL MEMBER�: Resner
ABSTAIItiI�: CflUN�IL MEMBERS: None
�� � �
.�
�risten Schred ice Mayor
ATTE�'�': APPRCiVED AS TCl Ft)�:M:
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DEPARTMENT OFTRANSPORTATION
DBE PROGRAM —49 CFR PART 26
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Redding Municipal Airport (RDD)
Prepared for
City of Redding
Redding, CA
Prepared by
Mead
,� � lunt
September 30, 2021
TABLE OF CONTENTS
Page
Preface...1
Policy Statement...2
Subpart A—General Requirements...3
Subpart B—Administrative Requirements...5
Subpart C—Goals, Good Faith Efforts, and Counting...12
Subpart D—Certification Standards...21
Subpart E—Certification Procedures...22
Subpart F—Compliance & Enforcement...22
List of Attachments...24
Redding Municipal Airport(RDD) TOC i 49 CFR Part 26 Program
Preface
The City of Redding, California is the owner and operator of the Redding Municipal
Airport (RDD). The City controls, operates, and manages all airport operations. It
establishes policy in order to ensure that quality aviation related services are provided
to the region. The City has established the following Disadvantaged Business
Enterprise (DBE) program for the Redding Municipal Airport in accordance with Code of
Federal Regulations (CFR) of the U. S. Department of Transportation (DOT), 49 CFR
Part 26. All reference to Subparts and Section numbers throughout this DBE policy (i.e.
Subpart A, 26.1, 26.3, etc.) are to the 49 CFR Part 26 regulations.
Redding Municipal Airport(RDD) Page 1 of 36 49 CFR Part 26 Program
i�cviai�i i VQLG. LVLV'I V'L i
POLICY STATEMENT
Section 26.1, 26.23 Objectives/Policy Statement
The City of Redding, owner of Redding Municipal Airport (RDD), has established a
Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of
the U.S. Department of Transportation (DOT), 49 CFR Part 26. CITY OF REDDING
has received Federal financial assistance from the Department of Transportation, and
as a condition of receiving this assistance, CITY OF REDDING has signed an
assurance that it will comply with 49 CFR Part 26 (hereafter referred to as "Part 26").
It is the policy of the CITY OF REDDING to ensure that DBEs as defined in Part 26,
have an equal opportunity to receive and participate in DOT—assisted contracts. It is
also CITY OF REDDING policy to engage in the following actions on a continuing
basis:
1. Ensure nondiscrimination in the award and administration of DOT- assisted
contracts;
2. Create a level playing field on which DBEs can compete fairly for DOT-
assisted contracts;
3. Ensure that the DBE Program is narrowly tailored in accordance with
applicable law;
4. Ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
5. Help remove barriers to the participation of DBEs in DOT assisted contracts;
6. Promote the use of DBEs in all types of federally-assisted contracts and
procurement activities;
7. Assist the development of firms that can compete successfully in the market
place outside the DBE Program; and
8. Make appropriate use of the flexibility afforded to recipients of Federal
financial assistance in establishing and providing opportunities for DBEs.
Chuck Aukland, Director of Public Works, has been delegated as the DBE Liaison
Officer. In that capacity, Director of Public Works 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
REDDING in its financial assistance agreements with the Department of
Transportation.
CITY OF REDDING has disseminated this policy statement to the City of Redding and
all of the components of our organization. This statement has been distributed to DBE
and non-DBE business communities that may perform work on CITY OF REDDING
DOT-assisted contracts. The Policy Statement is available for public access on CITY
OF REDDING 's website (www.cityofredding.org).
Barry Tippin, City Manager Date
Redding Municipal Airport(RDD) Page 2 of 36 49 CFR Part 26 Program
GENERAL REQUIREMENTS
Section 26.1 Objectives
The objectives are elaborated in the policy statement on the first page of this program.
Section 26.3 Applicability
CITY OF REDDING is the recipient of Federal airport funds authorized by 49 U.S.C.
47101, et seq.
Section 26.5 Definitions
CITY OF REDDING will use terms in this program that have their meanings defined in
Part 26, §26.5.
Section 26.7 Non-discrimination Requirements
CITY OF REDDING will never exclude any person from participation in, deny any
person the benefits of, or otherwise discriminate against anyone in connection with the
award and performance of any contract covered by 49 CFR Part 26 on the basis of
race, color, sex, or national origin.
In administering its DBE program, CITY OF REDDING 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
Reportinq to DOT
CITY OF REDDING will provide data about its DBE Program to the Department as
directed by DOT operating administrations.
DBE participation will be reported to Federal Aviation Administration as follows:
CITY OF REDDING will transmit to Federal Aviation Administration annually, by or
before December 1, the information required for the "Uniform Report of DBE Awards
or Commitments and Payments", as described in Appendix B to Part 26. CITY OF
Redding Municipal Airport(RDD) Page 3 of 36 49 CFR Part 26 Program
REDDING will similarly report the required information about participating DBE
firms. All reporting will be done through the Federal Aviation Administration official
reporting system, or another format acceptable to Federal Aviation Administration as
instructed thereby.
Bidders List
CITY OF REDDING will create and maintain a bidders list. The purpose of the list is to
provide as accurate data as possible about the universe of DBE and non-DBE
contractors and subcontractors who seek to work on CITY OF REDDING DOT-
assisted contracts, for use in helping to set overall goals. The bidders list will include the
name, address, DBE and non-DBE status, age of firm, and annual gross receipts of
firms.
This information will be collected using the form in Attachment 3 which will be included
in bidding documents. The information will be submitted by primes and subcontractors
whether or not they were successful in be awarded a subcontract or the prime contract.
CITY OF REDDING will provide this information in the public domain.
Records retention and reportinq:
The CITY OF REDDING, as a member of the California UCP established pursuant to
§26.81, will report to the Department of Transportation's Office of Civil Rights each year
the percentage and location in the State of certified DBE firms in the UCP Directory
controlled by the following:
1) Women;
2) Socially and economically disadvantaged individuals (other than women); and
3) Individuals who are women and are otherwise socially and economically
disadvantaged individuals.
Section 26.13 Federal Financial Assistance Agreement
CITY OF REDDING has signed the following assurances, applicable to all DOT-
assisted contracts and their administration:
Assurance: - Each financial assistance agreement CITY OF REDDING signs with a
DOT operating administration (or a primary recipient) will include the following
assurance:
[Note: The following language is to be used verbatim, as stated in 26.13(a)]
Redding Municipal Airport(RDD) Page 4 of 36 49 CFR Part 26 Program
The CITY OF REDDING 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 CITY OF REDDING shall take all necessary and reasonable
steps under 49 CFR Part 26 to ensure nondiscrimination in the award and
administration of DOT-assisted contracts. The CITY OF REDDING 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 CITY OF REDDING 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: CITY OF REDDING will ensure that the following clause is
included in each DOT-funded contract it signs with a contractor (and each subcontract
the prime contractor signs with a subcontractor):
[Note: The following language is to be used verbatim, as stated in 26.13(b)]
The contractor, sub recipient 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 the recipient deems appropriate, which may
include, but is not limited to:
1) Withholding monthly progress payments;
2) Assessing sanctions;
3) Liquidated damages; and/or
4) Disqualifying the contractor from future bidding as non-responsible.
SUBPART B -ADMINISTRATIVE REQUIREMENTS
Section 26.21 DBE Program Updates
CITY OF REDDING is required to have a DBE program meeting the requirements of
this part as it will receive grants for airport planning or development and will award
prime contracts, cumulative total value of which exceeds $250,000 in FAA funds in a
federal fiscal year. CITY OF REDDING is not eligible to receive DOT financial
assistance unless DOT has approved this DBE program and CITY OF REDDING is in
compliance with it and Part 26. CITY OF REDDING will continue to carry out this
Redding Municipal Airport(RDD) Page 5 of 36 49 CFR Part 26 Program
program until all funds from DOT financial assistance have been expended. CITY OF
REDDING does not have to submit regular updates of the DBE program document, as
long as it remains in compliance. However, significant changes in the program,
including those required by regulatory updates, will be submitted for DOT approval.
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 following individual has been designated as the DBE Liaison Officer for CITY OF
REDDING:
Chuck Aukland — Director of Public Works
777 Cypress Avenue
First Floor
Redding, CA 96001
530/225-4170
caukland@cityofredding.org
In that capacity, the DBELO is responsible for implementing all aspects of the DBE
program and ensuring that the CITY OF REDDING complies with all provision of 49
CFR Part 26. The DBELO has direct, independent access to the City Manager
concerning DBE program matters. An organizational chart displaying the DBELO's
position in the organization is included in Attachment 2 to this program.
The DBELO is responsible for developing, implementing and monitoring the DBE
program, in coordination with other appropriate officials. The DBELO will be assisted
by the Airport Consultant to assist in the administration of the program. 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. Works with all departments to set overall annual goals.
4. Ensures that bid notices and requests for proposals are available to DBEs in
a timely manner.
5. Identifies contracts and procurements so that DBE goals are included in
solicitations (both race-neutral methods and contract specific goals) and
monitors results.
Redding Municipal Airport(RDD) Page 6 of 36 49 CFR Part 26 Program
6. Analyzes CITY OF REDDING's progress toward 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.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.
Section 26.27 DBE Financial Institutions
It is the policy of the CITY OF REDDING 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.
The CITY OF REDDING shall use the State of California, Department of General
Services online directory https://ucp.dot.ca.qov/IicenseForm.htm to search for
commercial banking, credit unions, and consumer lending businesses. This will be
done on an annual basis at a minimum.
Section 26.29 Prompt Payment Mechanisms
CITY OF REDDING requires that all subcontractors perForming work on DOT-assisted
contracts shall be promptly paid for work performed pursuant to their agreements, in
accordance with all relevant federal, state, and local law.
In accordance with 49 CFR §26.29, the CITY OF REDDING established a contract
clause implementing this requirement and requires prime contractors to pay
subcontractors for satisfactory perFormance of their contracts no later than 30 days from
the prime contractor's receipt of each payment from the CITY OF REDDING .
CITY OF REDDING ensures prompt and full payment of retainage from the prime
contractor to the subcontractor within 30 days after the subcontractor's work is
satisfactorily completed. Pursuant to §26.29, CITY OF REDDING has selected the
following method to comply with this requirement:
Redding Municipal Airport(RDD) Page 7 of 36 49 CFR Part 26 Program
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CITY OF REDDING will 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.
Additionally, for Federal Aviation Administration (FAA) Recipients include
the following:
To implement this measure, CITY OF REDDING includes the following clause
from FAA Advisory Circular 150/5370-10 in each DOT-assisted prime
construction contract:
a. From the total of the amount determined to be payable on a partial
payment, 5% percent of such total amount will be deducted and
retained by the Owner for protection of the Owner's interests. Unless
otherwise instructed by the Owner, the amount retained by the Owner
will be in effect until the final payment is made except as follows:
(1) Contractor may request release of retainage on work that has been
partially accepted by the Owner in accordance with Section 50-14 of
the General Provisions. Contractor must provide a certified invoice to
the RPR that supports the value of retainage held by the Owner for
partially accepted work.
(2) In lieu of retainage, the Contractor may exercise at its option the
establishment of an escrow account per paragraph 90-08 of the
General Provisions.
b. The Contractor is required to pay all subcontractors for satisfactory
perFormance of their contracts no later than 7 days after the Contractor
has received a partial payment. Contractor must provide the Owner
evidence of prompt and full payment of retainage held by the prime
Contractor to the subcontractor within 30 days after the subcontractor's
work is satisfactorily completed. A subcontractor's work is satisfactorily
completed when all the tasks called for in the subcontract have been
accomplished and documented as required by the Owner. When the
Owner has made an incremental acceptance of a portion of a prime
contract, the work of a subcontractor covered by that acceptance is
deemed to be satisfactorily completed.
c. When at least 95% of the work has been completed to the
satisfaction of the RPR, the RPR shall, at the Owner's discretion and
Redding Municipal Airport(RDD) Page 8 of 36 49 CFR Part 26 Program
with the consent of the surety, prepare estimates of both the contract
value and the cost of the remaining work to be done. The Owner may
retain an amount not less than twice the contract value or estimated
cost, whichever is greater, of the work remaining to be done. The
remainder, less all previous payments and deductions, will then be
certified for payment to the Contractor.
Section 26.31 Directory
CITY OF REDDING is a non-certifying member of the California Unified Certification
Program (UCP). The UCP maintains a directory identifying all firms eligible to participate
as DBEs, which contains all the elements required by §26.31.
Section 26.33 Over-concentration
CITY OF REDDING has not identified that over-concentration exists in the types of
work that DBEs perform.
Section 26.35 Business Development Programs
CITY OF REDDING has not established a Business Development Program for the
Redding Municipal Airport.
Section 26.37 Monitoring Responsibilities
CITY OF REDDING implements and carries out appropriate mechanisms to ensure
compliance with 49 CFR Part 26 program requirements by all program participants,
including prompt payment, and describes and set forth these mechanisms in CITY OF
REDDING's DBE program.
CITY OF REDDING actively monitors participation by maintaining a running tally of
actual DBE attainments (e.g., payments actually made to DBE firms), including a means
of comparing these attainments to commitments.
Monitorinq Payments to DBEs and Non-DBEs
CITY OF REDDING undertakes ongoing monitoring of prime payments to
subcontractors over the course of any covered contract. Such monitoring activities will
be accomplished through the following method(s):
1. Announcing prime contractor payments at regularly scheduled progress
meetings.
2. Posting payments to a website, database, or other place accessible to
subcontractors.
Redding Municipal Airport(RDD) Page 9 of 36 49 CFR Part 26 Program
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CITY OF REDDING requires prime contractors to maintain records and documents of
payments to subcontractors, including DBEs, for a minimum of three (3) years unless
otherwise provided by applicable record retention requirements for the CITY OF
REDDING 's financial assistance agreement, whichever is longer. These records will
be made available for inspection upon request by any authorized representative of CITY
OF REDDING or DOT. This reporting requirement extends to all subcontractors, both
DBE and non-DBE.
• CITY OF REDDING proactively reviews contract payments to subcontractors
including DBEs on a monthly basis. Payment reviews will evaluate whether the
actual amount paid to DBE subcontractors is equivalent to the amounts reported
to CITY OF REDDING by the prime contractor.
Prompt Pavment Dispute Resolution
CITY OF REDDING will take the following steps to resolve disputes as to whether
work has been satisfactorily completed for purposes of §26.29.
Meetings will be conducted including CITY OF REDDING, prime, subconsultant,
and the resident project representative (RPR) and/or project manager (PM)
presence as appropriate. The purpose of ineeting will be to discuss satisfactory
completion requirements and dispute resolution.
CITY OF REDDING has established, as part of its DBE program, the following
mechanism(s) to ensure prompt payment and return of retainage:
(1) When the work on which the claim for payment and/or retainage release is
based has been completed, the Subcontractor shall, within 10 calendar days
after not being paid as per the prompt payment clause listed in the Contract,
submit a written claim to the Resident Project Representative (RPR) or Project
Manager (PM) who will present it to CITY OF REDDING for consideration in
accordance with contract requirements or local laws / ordinances. The CITY OF
REDDING will immediately contact the Prime and require their compliance with
Contract specifications. The matter will be monitored until payment has been
satisfied.
Prompt Payment Complaints
Complaints by subcontractors regarding the prompt payment requirements are handled
according to the following procedure:
1. The affected contractor shall notify the Project Manager (PM) and/or Resident
Representative (RPR) in writing within 10 days of non-payment. The PM or RPR
shall contact the prime to inquire and resolve the issue.
Redding Municipal Airport(RDD) Page 10 of 36 49 CFR Part 26 Program
2. If the affected contractor is not satisfied within 30 days of non-payment they shall
notify the DBELO in writing clearly defining the issue including the dates of non-
payment.
3. If the affected contractor is not satisfied within 90 days of the complaint, they
shall notify the FAA Office of Civil Rights.
Pursuant to Sec. 157 of the FAA Reauthorization Act of 2018, all complaints related to
prompt payment will be reported in a format acceptable to the FAA, including the nature
and origin of the complaint and its resolution.
Enforcement Actions for Noncompliance of Participants
CITY OF REDDING will provide appropriate means to enforce the requirements of
§26.29. These means include:
1. We will bring to the attention of the Department of Transportation (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 26.107.
2. Advise subcontractors of the availability of the payment and performance
bond to assure payment for labor and materials in the execution of the
work provided for in the contract
3. Issue a stop-work order until payments are released to subcontractors,
specifying in the contract that such orders constitute unauthorized delays
for the purposes of calculating liquidated damages if milestones are not
met
4. Other penalties for failure to comply, up to and including contract
termination.
CITY OF REDDING will actively implement the enforcement actions detailed above.
Monitorinq Contracts and Work Sites
CITY OF REDDING reviews contracting records and engages in active monitoring of
work sites to ensure that work committed to DBEs at contract award or subsequently
(e.g., as the result of modification to the contract) is actually performed by the DBEs to
which the work was committed. Work site monitoring is performed by DBELO and with
the assistance of the Project Consultant. Contracting records are reviewed by DBELO
and with the assistance of the Project Consultant. CITY OF REDDING will maintain
written certification that contracting records have been reviewed and work sites have
been monitored for this purpose.
Section 26.39 Fostering small business participation
Redding Municipal Airport(RDD) Page 11 of 36 49 CFR Part 26 Program
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CITY OF REDDING has created a Small Business element to structure contracting
requirements to facilitate competition by small business concerns, taking all reasonable
steps to eliminate obstacles to their participation, including unnecessary and unjustified
bundling of contract requirements that may preclude small business participation in
procurements as prime contractors or subcontractors.
The small business element is incorporated as Attachment 10 to this DBE Program.
The program elements will be actively implemented to foster small business
participation.
SUBPART C — GOALS, GOOD FAITH EFFORTS, AND COUNTING
Section 26.43 Set-asides or Quotas
CITY OF REDDING does not use quotas in any way in the administration of this DBE
program.
Section 26.45 Overall Goals
CITY OF REDDING will establish an overall DBE goal covering a three-year federal
fiscal year period if it anticipates awarding DOT-funded prime contracts the cumulative
total value of which exceeds $250,000 in DOT funds during any one or more of the
reporting fiscal years within the three-year goal period. In accordance with §26.45(f),
CITY OF REDDING will submit its Overall Three-year DBE Goal to Federal Aviation
Administration by August 1 St of the year in which the goal is due, as required by the
schedule established by and posted to the website of Federal Aviation Administration.
FAA:
DBE Reporting Requirements
For Airport Grant Recipients
4 All Airports -- 3-Year Overall Goals DUE: �
� • . • - - . . � . • . . �
•
Non-Hub Primary All 2018 2019/2020/2021 2021
2022/2023/2024
DUE :
� Uniform Report of Awards or Commitments and Payments
Redding Municipal Airport(RDD) Page 12 of 36 49 CFR Part 26 Program
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The DBE goals will be established in accordance with the 2-step process as specified in
49 CFR Part 26.45. If CITY OF REDDING does not anticipate awarding prime
contracts the cumulative total value of which exceeds $250,000 in DOT funds during
any of the years within the three-year reporting period, an overall goal will not be
developed. However, this DBE Program will remain in effect and CITY OF REDDING
will seek to fulfill the objectives outlined in 49 CFR Part 26.1.
Step 1. The first step is to determine a base figure for the relative availability of DBEs in
the market area. CITY OF REDDING will use [a Bidders List, a Disparity Study, the
goal of another DOT recipient, DBE Directory information and Census Bureau Data, or
other alternative method that complies with §26.45] as a method to determine the base
figure. CITY OF REDDING understands that the exclusive use of a list of prequalified
contractors or plan holders, or a bidders list that does not comply with the requirements
of 49 CFR Part 26.45(c)(2), is not an acceptable alternative means of determining the
availability of DBEs.
Step 2. The second step is to adjust, if necessary, the "base figure" percentage from
Step 1 so that it reflects as accurately as possible the DBE participation the recipient
would expect in the absence of discrimination. Adjustments may be made based on
past participation, information from a disparity study (to the extent it is not already
accounted for in the base goal), and/or information about barriers to entry to past
competitiveness of DBEs on contracts. CITY OF REDDING will examine all of the
evidence available in its jurisdiction to determine what adjustment, if any, is needed. If
the evidence does not suggest an adjustment is necessary, then no adjustment shall be
made.
Any methodology selected will be based on demonstrable evidence of local market
conditions and be designed to ultimately attain a goal that is rationally related to the
relative availability of DBEs in the CITY OF REDDING market.
In establishing the overall goal, CITY OF REDDING will provide for consultation and
publication. This includes consultation with minority, women's and general contractor
groups, community organizations, and other officials or organizations which could be
expected to have information concerning the availability of disadvantaged and non-
disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and
the efforts by CITY OF REDDING to establish a level playing field for the participation
of DBEs. The consultation will include a scheduled, direct, interactive exchange (e.g., a
face-to-face meeting, video conference, teleconference) with as many interested
stakeholders as possible focused on obtaining information relevant to the goal setting
Redding Municipal Airport(RDD) Page 13 of 36 49 CFR Part 26 Program
process, and it will occur before CITY OF REDDING is required to submit the goal
methodology to the operating administration for review pursuant to §26.45(f). The goal
submission will document the consultation process in which CITY OF REDDING
engaged. Notwithstanding paragraph (f)(4) of§26.45, the proposed goal will not be
implemented until this requirement is met.
In addition to the consultation described above, CITY OF REDDING will publish a
notice announcing the proposed overall goal before submission to the Federal Aviation
Administration on August 1st. The notice will be posted on CITY OF REDDING official
internet web site and may be posted in other sources (e.g., minority-focused media,
trade association publications). If the proposed goal changes following review by
Federal Aviation Administration, the revised goal will be posted on the official internet
web site.
The public will also be informed that the proposed overall goal and its rationale are
available for inspection during normal business hours at the principal office of CITY OF
REDDING. This notice will provide that the CITY OF REDDING and Federal Aviation
Administration will accept comments on the goals for 30 days from the date of the
notice. Notice of the comment period will include the addresses to which comments may
be sent (including offices and websites) where the proposal may be reviewed. The
public comment period will not extend the August 15t deadline.
The Overall Three-Year DBE Goal submission to Federal Aviation Administration will
include a summary of information and comments received, if any, during this public
participation process and CITY OF REDDING responses.
CITY OF REDDING will begin using the overall goal on October 1 of the relevant
period, unless other instructions from Federal Aviation Administration have been
received.
Project Goals
If permitted or required by the Federal Aviation Administration Administrator, an overall
goal may be expressed as a percentage of funds for a particular grant or project or
group of grants and/or projects, including entire projects. Like other overall goals, a
project goal may be adjusted to reflect changed circumstances, with the concurrence of
the appropriate operating administration. A project goal is an overall goal, and must
meet all the substantive and procedural requirements of this section pertaining to overall
goals. A project goal covers the entire length of the project to which it applies. The
project goal will include a projection of the DBE participation anticipated to be obtained
during each fiscal year covered by the project goal. The funds for the project to which
the project goal pertains are separated from the base from which the regular overall
goal, applicable to contracts not part of the project covered by a project goal, is
calculated.
Redding Municipal Airport(RDD) Page 14 of 36 49 CFR Part 26 Program
If a goal is established on a project basis, the goal will be used by the time of the first
solicitation for a DOT-assisted contract for the project.
Prior Operatinq Administration Concurrence
CITY OF REDDING understands that prior Federal Aviation Administration
concurrence with the overall goal is not required. However, if the Federal Aviation
Administration review suggests that the overall goal has not been correctly calculated or
that the method employed by CITY OF REDDING for calculating goals is inadequate,
Federal Aviation Administration may, after consulting with CITY OF REDDING , adjust
the overall goal or require that the goal be adjusted by CITY OF REDDING . The
adjusted overall goal is binding. In evaluating the adequacy or soundness of the
methodology used to derive the overall goal, the U.S. DOT operating administration will
be guided by the goal setting principles and best practices identified by the Department
in guidance issued pursuant to §26.9.
A description of the methodology to calculate the overall goal and the goal calculations
can be found in Attachment 5 to this program.
Section 26.47 Failure to meet overall goals
CITY OF REDDING cannot be penalized or treated by the Department as being in
noncompliance with Part 26, because DBE participation falls short of an overall goal,
unless CITY OF REDDING fails to administer its DBE program in good faith.
CITY OF REDDING understands that to be considered to be in compliance with this
part, an approved DBE Program and overall DBE goal, if applicable, must be
maintained, and this DBE Program must be administered in good faith.
CITY OF REDDING understands that if the awards and commitments shown on the
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, the following actions must be
taken in order to be regarded by the Department as implementing this DBE Program in
good faith:
(1) Analyze in detail the reasons for the difference between the overall goal and
the awards and commitments in that fiscal year;
(2) Establish specific steps and milestones to correct the problems identified in the
analysis to enable the goal for the new fiscal year to be fully met;
Redding Municipal Airport(RDD) Page 15 of 36 49 CFR Part 26 Program
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Section 26.51 Means Recipients Use to Meet Overall Goals
Breakout of Estimated Race-Neutral & Race-Conscious Participation
CITY OF REDDING will meet the maximum feasible portion of its overall goal by using
race-neutral means of facilitating race-neutral DBE participation. Race-neutral DBE
participation includes any time a DBE wins a prime contract through customary
competitive procurement procedures or is awarded a subcontract on a prime contract
that does not carry a DBE contract goal.
Race-neutral means include, but are not limited to the following:
(1) Arranging solicitations, times for the presentation of bids, quantities,
specifications, and delivery schedules in ways that facilitate participation by
DBEs and other small businesses and by making contracts more accessible to
small businesses, by means such as those provided under §26.39.
(2) Providing assistance in overcoming limitations such as inability to obtain
bonding or financing (e.g., by such means as simplifying the bonding process,
reducing bonding requirements, eliminating the impact of surety costs from bids,
and providing services to help DBEs, and other small businesses, obtain bonding
and financing);
(3) Providing technical assistance and other services;
(4) Carrying out information and communications programs on contracting
procedures and specific contract opportunities (e.g., ensuring the inclusion of
DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring
the dissemination to bidders on prime contracts of lists of potential
subcontractors; provision of information in languages other than English, where
appropriate);
(5) Implementing a supportive services program to develop and improve
immediate and long-term business management, record keeping, and financial
and accounting capability for DBEs and other small businesses;(6) Providing
services to help DBEs, and other small businesses, improve long-term
development, increase opportunities to participate in a variety of kinds of work,
handle increasingly significant projects, and achieve eventual self-sufficiency;
(7) Establishing a program to assist new, start-up firms, particularly in fields in
which DBE participation has historically been low;
(8) Ensuring distribution of the DBE directory, through print and electronic
means, to the widest feasible universe of potential prime contractors; and
Redding Municipal Airport(RDD) Page 16 of 36 49 CFR Part 26 Program
(9) Assisting DBEs, and other small businesses, to develop their capability to
utilize emerging technology and conduct business through electronic media.
The breakout of estimated race-neutral and race-conscious participation can be found in
Attachment 5 to this program.
The CITY OF REDDING will arrange solicitations, times for the presentation of bids,
quantities, specifications, and delivery schedules in ways that facilitate participation by
DBEs and other small businesses and by making contracts more accessible to small
businesses, by means such as those provided under §26.39.
Contract Goals
If the approved projection under paragraph (c) of§26.51 estimates that the entire
overall goal for a given year can be met through race-neutral means, contract goals will
not be set during that year, unless the use of contract goals becomes necessary in
order meet the overall goal.
Contract goals will be established only on those DOT-assisted contracts that have
subcontracting possibilities. A contract goal 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).
Contract goals will be expressed as a percentage of Federal share of a DOT-assisted
contract.
Section 26.53 Good Faith Efforts Procedures in Situations where there are
Contract Goals
Demonstration of good faith efforts (pre-award)
In cases where a contract goal has been established, the contract in question will only
be awarded to a bidder/offeror that has made good faith efforts to meet the contract
goal. The bidder/offeror can demonstrate that it has made good faith efforts by either
meeting the contract goal or documenting that it has made adequate good faith efforts
to do so. Examples of good faith efforts are found in Appendix A to Part 26.
DBELO is 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.
Redding Municipal Airport(RDD) Page 17 of 36 49 CFR Part 26 Program
CITY OF REDDING will ensure that all information is complete and accurate and
adequately documents the bidder/offeror's good faith efforts before committing to the
perFormance of the contract by the bidder/offeror.
In all solicitations for DOT-assisted contracts for which a contract qoal has been
established, the following information will be required of everv bidder/offeror:
(1) Award of the contract will be conditioned on meeting the requirements of this
section;
(2) All bidders or offerors will be required to submit the following information to
the recipient, at the time provided in paragraph (3) of this section:
(i) The names and addresses of DBE firms that will participate in the
contract;
(ii) A description of the work that each DBE will perform. To count toward
meeting a goal, each DBE firm must be certified in a NAICS code applicable
to the kind of work the firm would perform on the contract;
(iii) The dollar amount of the participation of each DBE firm participating;
(iv) Written documentation of the bidder/offeror's commitment to use a DBE
subcontractor whose participation it submits to meet a contract goal; and
(v) Written confirmation from each listed DBE firm that it is participating in the
contract in the kind and amount of work provided in the prime contractor's
commitment.
(vi) If the contract goal is not met, evidence of good faith efforts (as
elaborated in Appendix A of Part 26). The documentation of good faith efforts
must include copies of each DBE and non-DBE subcontractor quote
submitted to the bidder when a non-DBE subcontractor was selected over a
DBE for work on the contract; and
(3) The bidder/offeror will be required to present the information stipulated in
paragraph (2) of this section:
Administrative reconsideration
Within 10 days of being informed by CITY OF REDDING that it is not responsive
because it has not documented adequate good faith efforts, a bidder/offeror may
request administrative reconsideration. Bidder/offerors should make this request in
writing to the following reconsideration official:
Barry Tippin
City Manager
City of Redding City Hall
777 Cypress Avenue
Third Floor
Redding, CA 96001
530/225-4060
Redding Municipal Airport(RDD) Page 18 of 36 49 CFR Part 26 Program
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The reconsideration official will not have played any role in the original determination
that the bidder/offeror did not document sufficient good faith efforts. The reconsideration
official is not someone who reports to the DBELO who made the original determination.
The reconsideration official is well-acquainted with the requirements outlined in
Appendix A of 49 CFR Part 26.
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 the
goal was met or the bidder/offeror made adequate good faith efforts to do. The
bidder/offeror will be sent 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
the Department of Transportation.
Good Faith Efforts procedural requirements (post-solicitation)
The awarded contractor will be required to make available upon request a copy of all
DBE subcontracts. The contractor shall ensure that all subcontracts or agreements with
DBEs to supply labor or materials include all required contract provisions and mandate
that the subcontractor and all lower tier subcontractors perform in accordance with the
provisions of Part 26.
Prime contractors will be prohibited from terminating a DBE subcontractor listed in
response to a covered solicitation (or an approved substitute DBE firm) without the prior
written consent of CITY OF REDDING. This includes, but is not limited to, instances in
which a prime contractor seeks to perform work originally designated for a DBE
subcontractor with its own forces or those of an affiliate, a non-DBE firm, or another
DBE firm.
Such written consent will be provided only if CITY OF REDDING agrees, for reasons
stated in the concurrence document, that the prime contractor has good cause to
terminate the DBE firm. For purposes of this paragraph, good cause includes the
following circumstances:
(1) The listed DBE subcontractor fails or refuses to execute a written contract;
(2) The listed DBE subcontractor fails or refuses to perForm the work of its
subcontract in a way consistent with normal industry standards. Provided
however, that good cause does not exist if the failure or refusal of the DBE
subcontractor to perform its work on the subcontract results from the bad faith
or discriminatory action of the prime contractor;
Redding Municipal Airport(RDD) Page 19 of 36 49 CFR Part 26 Program
(3) The listed DBE subcontractor fails or refuses to meet the prime contractor's
reasonable, non-discriminatory bond requirements.
(4) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit
unworthiness;
(5) The listed DBE subcontractor is ineligible to work on public works projects
because of suspension and debarment proceedings pursuant to 2 CFR Parts
180, 215 and 1,200 or applicable state law;
(6) CITY OF REDDING determined that the listed DBE subcontractor is not a
responsible contractor;
(7) The listed DBE subcontractor voluntarily withdraws from the project and
provides CITY OF REDDING written notice of its withdrawal;
(8) The listed DBE is ineligible to receive DBE credit for the type of work
required;
(9) A DBE owner dies or becomes disabled with the result that the listed DBE
contractor is unable to complete its work on the contract;
(10) Other documented good cause that CITY OF REDDING has determined
compels the termination of the DBE subcontractor. Provided, that good cause
does not exist if the prime contractor seeks to terminate a DBE it relied upon
to obtain the contract so that the prime contractor can self-perform the work
for which the DBE contractor was engaged or so that the prime contractor can
substitute another DBE or non-DBE contractor after contract award.
Before transmitting to CITY OF REDDING a request to terminate and/or substitute a
DBE subcontractor, the prime contractor must give notice in writing to the DBE
subcontractor, with a copy to CITY OF REDDING, of its intent to request to terminate
and/or substitute the DBE, and the reason(s) for the request.
The prime contractor must give the DBE five days to respond to the prime contractor's
notice and advise CITY OF REDDING and the prime contractor of the reasons, if any,
why the DBE objects to the proposed termination of its subcontract and why the prime
contractor's action should not be approved. If required in a particular case as a matter
of public necessity (e.g., safety), a response period shorter than five days may be
provided.
In addition to post-award terminations, the provisions of this section apply to pre-award
deletions of or substitutions for DBE firms put forward by offerors in negotiated
procurements.
Each prime contract will include a provision stating:
The contractor shall utilize the specific DBEs listed in the contractor's
[bid/solicitation] response to perform the work and supply the materials for which
each is listed unless the contractor obtains prior written consent of CITY OF
REDDING as provided in 49 CFR Part 26, §26.53(f). Unless such consent is
Redding Municipal Airport(RDD) Page 20 of 36 49 CFR Part 26 Program
provided, the contractor shall not be entitled to any payment for work or material
unless it is performed or supplied by the listed DBE.
CITY OF REDDING 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. These good faith efforts shall be directed at finding another DBE to
perform at least the same amount of work under the contract as the DBE that was
terminated, to the extent needed to meet the contract goal that was established for the
procurement. The good faith efforts shall be documented by the contractor. If CITY OF
REDDING requests documentation from the contractor under this provision, the
contractor shall submit the documentation within 7 days, which may be extended for an
additional 7 days, if necessary, at the request of the contractor. CITY OF REDDING
shall provide a written determination to the contractor stating whether or not good faith
efforts have been demonstrated.
If the contractor fails or refuses to comply in the time specified, the contracting
office/representative of CITY OF REDDING 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.
Section 26.55 Counting DBE Participation
DBE participation will be counted toward overall and contract goals as provided in
§26.55. The participation of a DBE subcontractor will not be counted toward a
contractor's final compliance with its DBE obligations on a contract until the amount
being counted has actually been paid to the DBE.
In the case of post-award substitutions or additions, if a firm is not currently certified as
a DBE in accordance with the standards of subpart D of this part at the time of the
execution of the contract, the firm's participation will not be counted toward any DBE
goals, except as provided for in §26.87(j).
Pursuant to Sec. 150 of the FAA Reauthorization Act of 2018, firms that exceed the
business size standard in § 26.65(b) will remain eligible for DBE certification and credit
on FAA-funded projects as long as they do not exceed the small business size
standard, as adjusted by the United States Small Business Administration, for the
NAICS code(s) in which they are certified.
SUBPART D — CERTIFICATION STANDARDS
Section 26.61 — 26.73 Certification Process
CITY OF REDDING is a non-certifying member of the California Unified Certification
Program (UCP). California UCP will use the certification standards of Subpart D of Part
Redding Municipal Airport(RDD) Page 21 of 36 49 CFR Part 26 Program
26 to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts.
To be certified as a DBE, a firm must meet all certification eligibility standards. Certifying
California UCP members make all certification decisions based on the facts as a whole.
For information about the certification process or to apply for certification, firms should
contact:
Caltrans Office of Civil Rights
Attn: Certification Branch
PO Box 942874, MS 79
Sacramento, CA 94274
916/324-1700
Or
https://dot.ca.qov/-/media/dot-media/programs/civil-
rights/documents/dbe/cucp-roster-of-certifving-agencies-1-2021-a11 v.pdf
The Uniform Certification Application form and documentation requirements are found in
Attachment 8 to this program.
SUBPART E — CERTIFICATION PROCEDURES
Section 26.81 Unified Certification Programs
CITY OF REDDING is a non-certifying member of the California Unified Certification
Program (UCP). California UCP will use the certification standards of Subpart D of Part
26 to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts.
To be certified as a DBE, a firm must meet all certification eligibility standards. Certifying
California UCP members make all certification decisions based on the facts as a whole.
SUBPART F — COMPLIANCE AND ENFORCEMENT
Section 26.101 Compliance Procedures Applicable to CITY OF REDDING
CITY OF REDDING understands that if it fails to comply with any requirement of this
part, CITY OF REDDING may be subject to formal enforcement action under §26.103
or §26.105 or appropriate program sanctions by the concerned operating administration,
such as the suspension or termination of Federal funds, or refusal to approve projects,
grants or contracts until deficiencies are remedied. Program sanctions may include, in
the case of the FHWA program, actions provided for under 23 CFR 1.36; in the case of
the FAA program, actions consistent with 49 U.S.C. 47106(d), 47111(d), and 47122;
Redding Municipal Airport(RDD) Page 22 of 36 49 CFR Part 26 Program
and in the case of the FTA program, any actions permitted under 49 U.S.C. chapter 53
or applicable FTA program requirements.
Section 26.109 Information, Confidentiality, Cooperation and intimidation or
retaliation
Information that may reasonably be regarded as confidential business information,
consistent with Federal, state, and local law will be safeguarded from disclosure to third
parties.
Notwithstanding any provision of Federal or state law, information that may reasonably
be construed as confidential business information will not be released to any third party
without the written consent of the firm that submitted the information, including
applications for DBE certification and supporting information. However, this information
will be transmitted to DOT in any certification appeal proceeding under §26.89 or to any
other state to which the individual's firm has applied for certification under §26.85.
All participants in the Department's DBE program (including, but not limited to,
recipients, DBE firms and applicants for DBE certification, complainants and appellants,
and contractors using DBE firms to meet contract goals) are required to cooperate fully
and promptly with DOT and recipient compliance reviews, certification reviews,
investigations, and other requests for information. Failure to do so shall be a ground for
appropriate action against the party involved (e.g., with respect to recipients, a finding of
noncompliance; with respect to DBE firms, denial of certification or removal of eligibility
and/or suspension and debarment; with respect to a complainant or appellant, dismissal
of the complaint or appeal; with respect to a contractor which uses DBE firms to meet
goals, findings of non-responsibility for future contracts and/or suspension and
debarment).
CITY OF REDDING, contractor, or any other participant in the program will not
intimidate, threaten, coerce, or discriminate against any individual or firm for the
purpose of interfering with any right or privilege secured by this part or because the
individual or firm has made a complaint, testified, assisted, or participated in any
manner in an investigation, proceeding, or hearing under this part. CITY OF REDDING
understands that it is in noncompliance with Part 26 if it violates this prohibition.
Redding Municipal Airport(RDD) Page 23 of 36 49 CFR Part 26 Program
ATTAC H M E NTS
Attachment 1 Regulations: 49 CFR Part 26
Attachment 2 Organizational Chart
Attachment 3 Bidder's List Collection Form
Attachment 4 DBE Directory or link to DBE Directory
Attachment 5 Overall Goal Calculations
Attachment 6 Demonstration of Good Faith Efforts or Good Faith Effort Plan - Forms 1
& 2
Attachment 7 DBE Monitoring and Enforcement Mechanisms
Attachment 8 DBE Certification Application Form
Attachment 9 State's UCP Agreement
Attachment 10 Small Business Element Program
Redding Municipal Airport(RDD) Page 24 of 36 49 CFR Part 26 Program
ATTACHMENT 1
Regulations: 49 CFR Part 26
The regulations can be viewed at the following website:
https://ecfr.io/Title-49/Part-26
Redding Municipal Airport(RDD) Page 25 of 36 49 CFR Part 26 Program
Revision Date: 2020-10-21
ATTACHMENT 2
CITY OF REDDING Orqanizational Chart
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Redding Municipal Airport(RDD) Page 26 of 36 49 CFR Part 26 Program
ATTACHMENT 3
Bidder's List Collection Form
(SAMPLE BIDDERS LIST COLLECTION FORM)
[Reminder: the information below must be collected from every bidder who submits a
quote/bid to the recipient and every potential subcontractor who submitted a quote/bid to
each bidder. §26.11(c) requires recipients to collect information from all bidders and
subcontractors, including unsuccessful ones.]
DBE or Non-
Firm DBE Status
Firm Name Address/ (verify via Age of Firm Annual Gross Receipts
Phone# State's UCP
Directory)
❑ Less than 1 year ❑ Less than $500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $2-5 million
❑ More than 10 years � Greater than $5 million
❑ Less than 1 year ❑ Less than$500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $2-5 million
❑ More than 10 years � Greater than $5 million
❑ Less than 1 year ❑ Less than$500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $2-5 million
❑ More than 10 years � Greater than $5 million
❑ Less than 1 year ❑ Less than$500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $Z-5 million
❑ More than 10 years � Greater than $5 million
❑ Less than 1 year ❑ Less than$500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $2-5 million
❑ More than 10 years � Greater than $5 million
❑ Less than 1 year ❑ Less than$500K
❑ 1- 3 years ❑ $500K-$1 million
❑ 4-7 years ❑ $1-2 million
❑ 8-10 years � $2-5 million
❑ More than 10 years � Greater than $5 million
Redding Municipal Airport(RDD) Page 27 of 36 49 CFR Part 26 Program
ATTACHMENT 4
California DBE Directory
The California Unified Certification Directory (CUCP) can be viewed at the following website:
https://ucp.dot.ca.qov/IicenseForm.htm
Redding Municipal Airport(RDD) Page 28 of 36 49 CFR Part 26 Program
rcevision uate: �u�u-i u-�i
ATTACHMENT 5
Overall DBE Three-Year Goal Methodoloqv
THIS SECTION UNDER DEVELOPMENT & SUBMITTED SEPARATELY
Redding Municipal Airport(RDD) Page 29 of 36 49 CFR Part 26 Program
ATTACHMENT 6
Demonstration of Good Faith Efforts - Forms 1 & 2
These forms will be provided as part of the solicitation documents for purposes of assessing
bidders'/offerors' good faith efforts
FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION
The undersigned bidder/offeror has satisfied the requirements of the bid specification in the
following manner:
❑ Bidder/offeror has met the DBE contract goal
The bidder/offeror is committed to a minimum of % DBE utilization on this contract.
❑ Bidder/offeror has not met the DBE contract goal
The bidder/offeror is committed to a minimum of % DBE utilization on this contract
and has submitted [or"will submit,"if recipient made compliance a matter of
responsibility] documentation demonstrating good faith efforts.
Legal name of bidder/offeror's firm:
Bidder/Offeror Representative:
Name & Title
Signature Date
Redding Municipal Airport(RDD) Page 30 of 36 49 CFR Part 26 Program
FORM 2: LETTER OF INTENT
Note: The authorized representative (AR) named below must be an individual vested with the
authority to make contracting decisions on behalf of the firm.
Name of bidder/offeror's firm:
Name & title of firm's AR:
Phone: Email:
Name of DBE firm:
Name & title of DBE firm's AR:
Address:
City: State: Zip:
Phone: Email:
Work to be perFormed by DBE firm:
Description of Work NAICS Dollar Amount/%* Dealer/Manufacturer**
*Percentage is to be used only in negotiated procurements, including design-build contracts
**For material suppliers only, indicate whether the DBE is a manufacturer or a regular dealer as defined by§26.55.
The undersigned bidder/offeror is committed to utilizing the above-named DBE firm for the work
described above. The total expected dollar value of this work is
$ . The bidder/offeror understands that if it is awarded the
contract/agreement resulting from this procurement, it must enter into a subcontract with the
DBE firm identified above that is representative of the type and amount of work listed.
Bidder/offeror understands that upon submitting this form with its bid/offer, it may not substitute
or terminate the DBE listed above without following the procedures of 49 CFR Part 26, §26.53.
Date:
Signature of Bidder/Offeror's Authorized Representative
The undersigned DBE affirms that it is ready, willing, and able to perform the amount and type
of work as described above, and is properly certified to be counted for DBE participation
therefore.
Date:
Signature of DBE's Authorized Representative
If the bidder/offeror does not receive award of the prime contract, any and all
representations in this Letter of Intent shall be null and void.
Submit this pa_pe for each DBE subcontractor.
Redding Municipal Airport(RDD) Page 31 of 36 49 CFR Part 26 Program
ATTACHMENT 7
DBE Monitorinq 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 California Civil Code, Article 1 Damages for
Breach of Contract 3300-3322
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.
Redding Municipal Airport(RDD) Page 32 of 36 49 CFR Part 26 Program
ATTACHMENT 8
DBE Certification Application Form
Redding Municipal Airport(RDD) Page 33 of 36 49 CFR Part 26 Program
ATTACHMENT 9
Caltrans UCP Agreement
Subpart E, of 49 CFR Part 26.81 requires DOT recipients to participate in a Unified Certification
Program (UCP) that shall provide one-stop shopping to applicants for DBE certification. The
California Unified Certification Program (CUCP) provides "one-stop shopping" certification
services to small, minority and women businesses seeking to participate in the United States
Department of Transportation (USDOT) Disadvantaged Business Enterprise (DBE) Program.
An agreement establishing the UCP for California was submitted to the Secretary of
Transportation and approved on March 13, 2002. The California UCP submitted their
Memorandum of Agreement (MOA) plan to the Secretary of Transportation on May 1, 2001. The
CUCP has subsequently revised its MOA over the years on January 1, 2002: March 24, 2003:
November 16, 2004: and March 21, 2006. The MOA stated that UCP members agreed to the
use of certifying agencies organized into two regional Clusters throughout the State of California
and comprised of the U.S. DOT modal administration's state highway agency, airports, and
transit agency grant recipients. Cluster 2 includes U.S.DOT recipients located in Shasta County
including the Redding Municipal Airport (RDD).
Redding Municipal Airport(RDD) Page 34 of 36 49 CFR Part 26 Program
ATTACHMENT 10
Small Business Element
The CITY OF REDDING will include this small business element into this DBE Program. This
small business element is intended to facilitate competition by and expand opportunities for
small businesses. We are committed to taking all reasonable steps to eliminate obstacles to
small businesses that may preclude their participation in procurements as contractors or
subcontractors. We will meet its objectives using a combination of the following methods and
strategies:
1. Objective/Strategies
(1) Some prime contracts anticipated to be under $150,000 will be set-aside for small
businesses. Those firms meeting the definition of a small business, as described below,
will be eligible for award of these contracts.
(2) In multi-year design-build contracts or other large contracts (e.g., for"megaprojects")
requiring bidders on the prime contract to specify elements of the contract or specific
subcontracts that are of a size that small businesses, including DBEs, can reasonably
perform.
(3) On prime contracts not having DBE contract goals, requiring the prime contractor to
provide subcontracting opportunities of a size that small businesses, including DBEs,
can reasonably perform, rather than self-performing all the work involved.
(4) Structuring procurements to facilitate small businesses, including DBEs, to compete for
and perform prime contracts.
(5) To meet the portion of your overall goal you project to meet through race-neutral
measures, ensuring that a reasonable number of prime contracts are of a size that small
businesses, including DBEs, can reasonably perform.
2. Definition
The definitions provided shall be in accordance with 49 CFR Part §26.39.
(1) Small Business:
Defined pursuant to section 3 of the Small Business Act and Small Business
Administration regulations implementing it (13 CFR part 121) that also does not exceed
the cap on average annual gross receipts specified in §26.65(b).
(2) Disadvantaged Business Enterprise:
At least 51 percent owned by one or more individuals who are both socially and
economically disadvantaged or, in the case of a corporation, in which 51 percent of the
stock is owned by one or more such individuals; and
The management and daily business operations are controlled by one or more of the
socially and economically disadvantaged individuals who own it.
Redding Municipal Airport(RDD) Page 35 of 36 49 CFR Part 26 Program
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For the purposes of the small business element of the CITY OF REDDING DBE
Program, DBE's who are also defined as small businesses shall be in accordance with
49 CFR Part 26.
3. Verification
The CITY OF REDDING will accept the following certifications for participation in this small
business element of the DBE Program with applicable stipulations:
1. DBE Certification by the State of California — CUCP which stipulates that a firm has been
determined to meet all the requirements in accordance with 49 CFR Part 26.
Certification determinations are evidenced by inclusion in the listing of DBE's on the
CUCP DBE Directory.
2. State of California Small Business Development Programs as certified by the
Department of General Services:
Micro Businesses — MB
Small Businesses— SB
Disabled Veteran Business Enterprise— DVBE
Non-Profit Veteran Service Agency - NSVA
Note: Minority and women-owned business enterprises which are awarded contracts under
the small business enterprise set aside will be encouraged to seek DBE certification in order
to be counted as DBE participation.
4. Monitoring/Record Keeping
1. Documentation regarding the small business element of this program will be organized
in a designated directory and will be monitored and updated on an annual basis with the
CITY OF REDDING administration.
2. This Small Business element will be monitored by reviewing project financial reporting
documentation.
5. Assurance
1. The program is authorized under state law;
2. Certified DBEs that meet the size criteria established under the program are
presumptively eligible to participate in the program;
3. No limits are placed on the number of contracts awarded to firms participating in the
program, but every effort will be made to avoid creating barriers to the use of new,
emerging, or untried businesses; and
4. Aggressive steps will be taken to encourage those minority and women owned firms that
are eligible for DBE certification to become certified.
5. The program is open to small businesses regardless of their location (i.e., there is no
local or other geographic preference).
Redding Municipal Airport(RDD) Page 36 of 36 49 CFR Part 26 Program