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r t,' R1~;5OLU'1'1ON 4PPROW'I1tC '~'IIi? DIZAI~T DIS~tUVANTA(.il) Bl'Sllti`F.'~5 I~:N"('[?I~PIZI51~: (I?131:} 1'R(~GRA(t~1 ~A~VI) PIZOP~)yh,D OVCRAL.I, ~1VNiiA1, C:t)f1L OlF 12'%. I~~OIZ h1;1)h:IZ~11. F'ISC.ML YI~;;~~R 2001, ~~4)R ~~l)OPT[ON ,GNU 5l 13wi1~+'~1ON TO "1'Nh, ('At.li~'O1tNtA I)O:1'Alt't'MI?N"1, OF ~i~RANSNOil'I'A"l~lON (('~il.'T12;1~'~;) F +1-.~~.iC, ~~' ~ 4" «'Eil?12h;i1'~, BuUe C'DUnt~~ is reduired to de~~elop anti submit a 1)isadvanta~ed Business l;nterprise (UBI~:) 1'r«~~rai1~ ~~nd (h~crall ~~7ilual Gc7~ll for I)I3[~ partici~~atic~n fur i)U~1~-a:;sisied cDntrac~s, as a cDndition ol` Cederal (inanci~d assistance. pursuant t« "I~itle =~9 ("1~,R fart 26; i'articip~ition by Disad~-anta~~ed Business l~.nterprises in U.S. Department of Transportation (DO"[~) I'ro<~rams: anti ~'1'l[t~:1tF,:1~, in accor~l,uuc ~~~ith nc~~~ DBI: r~,~t~ulatit~ns. Butte ('c~untti~ llas cic~~clt>pc~i a narrD~ll~~ tailored Draft Disad~~anta~~ed Business l~:nterprisc (DBi~:) I'ro!~ram anti Proposed (h~crall .'lnnual DBi~: (<<ial ~~f 1 ?" ~~ for l~cderal l~ fiscal ~'l'2tr ~{)U I ~ anti ~~'l[l~;Rl?,A~. adoption h~~ the Board oC`~uperti~isors is reduircd iD ensure compliance ~~ith Depal'imCnt D( I ranspDl'tallDll federal ~L1nCiln~~? l~eliL111~CmCn~ti, prClV'1`il(1I1S ~1nCi 11na11Cla1 responsihilitics. N(}W, `f'Ill?RI?FORh:, Bh! IT RESOLVED h~ lhe. Butte ('aunty Board of Supervisors that the Draft Uisadv~lnta~~cd Business I~:ntcrprisc (DBI;) I'ro<~ram anti 1'roposcri O~~crall Annual Goal (ur I~eder<<) I~~iscal fear ?(1U1 is hereby ap~~n-ovcd. :~v9) 131', 1'1, ~; (iii"t'll[~:IZ I~h;~iOt,~iha that the ('hair ol~ the Bette ('ount~ Board ul Supervisors is herel7v authurii.cd to execute the adoptiDn of the Draft Disadvan~at~cd Business l~:nter}~risc (DB1~:) 1'ro~~ram and 1'ro~~~~scd O~~crall t~nnual (foal tur i~cderal Fiscal Ycar?O(ll. and. submissi«n to the C'alifurnia Department oi~ ~l~ranspc~rtation (CaIU•ans}, on behalf ol~ the ('Drolly, Cur fundin~~ auth«rit~~ ap~~roval. Resolufian No. ao-ii7 PASSED AND ADOPTED by the Board of Supervisors of the County of Butte, State of Califon~ia, this 26t~' day of September 2000 by the following vote: AYES: Supervisors Beeler, Houx, Josiassen, Davis, and Chair Dolan NOES: None ABSENT: None NOT VOTING: None <---~-- JAN~ DOLAN, Chair Butte County Board of Supervisors ATTEST: JOHN BLACKLOCK, Chief Administrative Officer and Clerk of the Board of Supervisors ~ ~ ~ ~ 3'~ epuiy COUNTY OF BUTTE Draft Disadvantaged Business ]En~erp~°i~e Fragram Submitted in fulfillment of.• Section 1101 of the Transportatiatt Equity Aet for the 21sT Century 49 Code of .Federal Regulations Fart 26 and Caltrans Local Assistance Procedures Manual 1 _~ COUNTY OF BUTTE DISHDVANTAGED Bi`~SINESS ENTERPRISE (DBE) PROGRAItI Table of Contents I. Definition of Terms .......................................................... 1 ............................. ... II. ObjectiveslPolicy Statement ................................................ 1 ........................ ... III. Nondiscrimination .... 2 ....................................................................................... IV. DBE Program Updates ........................................... 2 ...................................... .. V. Quotas ........................................................ 2 .................................................... .. VI. DBE Liaison Officer ... 2 .................................................................................... VII. Federal Financial Assistance Agreement Assurance .................................. 3 VIII. DBE hinancial Institutions ..... 4 .................................................................... .. IX. Directory ................................................................................. 4 ..................... .. X. Overconcentration .............................................. . 4 .. ...................................... .. XI. Business Development Programs ........................................ 4 ....................... .. XII. Reduired Contract Clauses ............................................ 4 ............................. .. XIII. Monitoring and Enforcement 1~Zechanisms ........................ 5 ...................... .. XIV. Overall Goals ......................................................... 8 ...................................... .. XV. Contract Goals ............................................................................................ 11 XVI. Transit Vehicle Manufacturers ................................................................. 11 XVII. Good Faith Efforts ....... 12 .............................................................................. XVIII. Counting DBE Participatian ........................................... 13 ......................... XIX. Certification 13 ............................................................................................... XX. Information Collection and Reporting ...................................................14 Appendix A: Guidance Concerning Good Faith Efforts ......................................15 Appendix B: DBE Program Organizational Chart ...............................................18 Appendix C: Bidders List ........................................................................................19 Appendix D: Overall Annual DBE Goal Analsis for FFY 2000/01 i I. Definitions of Terms The terms used in this program have the meanings defined in Title 49 CFR §26.5. II. Objectives /Policy Statement (§§26.1., 26.23} The County of Butte has established a Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26; "Participation by Disadvantaged Business Enterprise Regulations in .Department of Transportation ~'inaracial Assistance Pr-ogranzs ". County of Butte receives Federal financial assistance from the DOT, and as a condition of receiving this assistance, the County of Butte will sign an assurance that it will comply with 49 CFR Part 26. It is the policy of the County of Butte to ensure that DBEs, as defined in CFR Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. It is also our policy: o To ensure nondiscrimination in the award and administration of DOT-assisted contracts; • I'o create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; 'To ensure that the DBE Program is narrowly tailored in accordance with applicable laws; 'I'o ensure that only firms that fully meet 49 GI'R Part 26 eligibility standards are permitted to participate as DBEs; • To Help remove barriers impacting the participation of DBEs in DOT-assisted contracts; and + To assist in the development of DBEs firms to enable them to compete successfully in the market place outside the DBE Program. Mr. Paul A. Newsum is the DBE Liaison Officer for the County of Butte. In this capacity, Mr. Newsum is responsible far implementing all aspects of the DBE Program. Implementation of the DBE Pragram is accorded the same priority as compliance ~~-ith all other legal obligations incun-ed by the Caunty of Butte in its f nancial assistance agreements with the California Department of Transportation (Caltrans). The County of Butte has disseminated this policy statement to the Butte County Board of Supervisors and all the components of our organization. We have distributed this statement to DBE and nan-DBE business communities that perform work for us an DOT-assisted contracts. County of Butte Disadvantaged Business Enterprise Program Page 1 III. Nondiscrimination (§26.7) The County of Butte will not exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by Title 49 CFR Part 26 on the basis of race, color, sex, or national origin. In administering its DBE Program, the County of Butte will not, directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE program. with respect to individuals of a particular race, color, sex, or national origin. IV. DBE Program Updates (§26.21) The County of Butte will continue to carry out this Program until we have established a new goal setting methodology or until significant changes to this DBE Program are adopted. The County of Butte will provide to Caltrans a proposed overall annual goal and goal setting methodology and other program updates by June 1 of every year.. V. Quotas (§26.43) .~ The County of Butte will not use quotas or set-asides in any way in the administration of this DBE Program. VI. DBE Liaison Officer (DBELO) (§26.45) The County of Butte has designated the following individual as the DBE Liaison Officer: Mr. Paul A. Newsom, Senior Civil Engineer County of Butte Department of Public Works 7 County Center Drive, Oroville, CA 95965 Telephone: (530) 538-7681 E-mail: anewsum@buttecounty.net In t11is capacity, Mr. Newsom is responsible for implementing all aspects of the DBE Program. and ensuring that the County of Butte complies with all provisions of Title 49 CFR Part 26; "Participation by Disadvantaged Business Enterprise Regulations in Department of Transportation Financial Assista~~ce Programs ". This is available on the Internet at osdbuweb.dot.govlmain.efm. Mr. Newsom has direct, independent access to the Director of Public Works concerning DBE Program matters. The DBELO has one (1) support personnel who devotes a portion of their time to the Program. An organization chart displaying the DBELO's position in the organization is found in Attachment B to this Program. County of $utte Disadvantaged Business Enterprise Program Page 2 The DBE Liaison Officer is responsible for developing, implementing and monitoring the DBE ~~ Program, in coordination with other appropriate officials. Duties and responsibilities include the following: 1. Gathers and reports statistical data and other information as required. 2. Reviews third party contracts and purchase requisitions for compliance with this Program. 3. Works with all departments to set overall annual goals for DBE participation in DOT- assisted contracts. 4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5. Identifies contracts and procurements to ensure DBE goals are included in solicitations when warranted (both race-neutral methods and contract specific goals) and monitors results. 6. Analyzes the County of Butte's progress toward goal attainment and identifies ways to Improve progress. 7. Participates in pre-bid meetings. 8. Advises the CEOlgoverning body on DBE matters and achievement. 9. Determines contractor compliance with good faith efforts. 10. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 11. Plans and participates in DBE training seminars. 12. Provides outreach to DBEs and comzmulity organizations to advise them of DOT contracting opportunities. 1>. Develops and maintains a Bidders List of DBE and non-DBE (inns bidding on DOT-assisted projects. ~~I. hederal Financial Assistance A~reemer~t Assurance (§26.13) "fhe County of Butte will sign the following assurance, applicable to all DOT-assisted contracts and their administration as part of the program supplement agreement for each project: The County of Butte shall not discriminate on the basis of race, color, national origin, or sex in the award and perfornlance of any DOT-assisted contract or in the administration of its DBE Program or the requirements of 49 CFR Part 26. The County of Butte 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 County of Butte's DBE Program, as required by 49 CFR Part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this Program is a legal obligation and failure to carry out its terms shall be treated as a violation. of this agreement. Upon notification to the County of Butte of its failure to carry out its approved Program, the Department may impose sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 andlor the Program Fraud Civil Remedies Act of 1986 {31 U.S.C. 3801 et seq.). County of Butte Disadvantaged Business Enterprise Program Page 3 ~ VIII. DBE Financial Institutions It is the policy of the County of Butte to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions, and to encourage prime contractors on DOT-assisted contracts to make use of these institutions. Information on the availability of such institutions can be obtained from. the DBE Liaison Officer. The Caltrans Disadvantaged Business Enterprise Program may offer assistance to the DBE Liaison Officer. IX. DBE Directory (§26.31) The County of Butte will refer interested persons to the DBE directory available from the Caltrans Disadvantaged Business Enterprise Program website at www.dot.ca.govlhglbep. X. Overconcentration 026.33) The County of Butte has not identified any types of work in DOT-assisted contracts that have an overconcentration of DBE participation. If in the future, the County of Butte identifies the need to address overconcentration, measures for addressing overconcentration will be submitted to the DLAE for approval. XI. Business Development Programs {§26.35) The County of Butte does not have a business development or Mentor-Protege Program. If the County of Butte identifies the need far such a program in the future, the rationale for adopting such a program and a comprehensive description of it will be submitted to the DLAE for approval. XII. Required Contract Clauses (§§26.13, 26.29) Contract Assurance The County of Butte ensures that the following clause is placed in every DOT-assisted contract and subcontract: "The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT- assisted contracts. Failure by the contractor- to carry out these requirements is a material breach of this contract, which may result in the termination of this eont~°aet or such other remedy as recipient deems aP~ropriate. " County of Butte Disadvantaged Business Enterprise Program Page 4 Prompt Payment The County of Butte ensures that the following clauses or equivalent will be included in each DOT-assisted prime contract: Satisfactory Performance The prune contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 10 days from the receipt of each payment the prime contractor receives from the County of Butte. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the County of Butte. Tllis clause applies to both DBE and non-DBE subcontractors. Release o Retaina~e "1'he prime contractor agrees further to release retainage payments to each subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the County of Butte. This clause applies to both DBE and non-DBE subcontractors. ~} On air2 C~ot~~hance Monitories It is the responsibility of the prime contractor to maintain evidence of all subcontractor payments in accordance with the above-state Prompt Payment Provisions. The prime contractor shall provide access to such records at the request of the County of Butte The County of Butte will conduct period reviews as necessary to ensure full compliance. VIII. I`!Ianitaring and Enforcement ~TecFlanisms (§26.37} The County of Butte will assign a Resident Engineer {RE) or Contract Manager to monitor and track actual DBE participation through contractor and subcontractor reports of payments in accordance with the following: After Contract Award After the contract award, the County of Butte will review the award daeurnents for the portion of items each DBE and. first tier subcontractor will be performing and the dollar value of that work. With these documents the RE; Contract Manager will be able to determine the work to be performed by the DBEs or subcontractors listed. County of Butte Disadvantaged F3usiness Enterprise Program Page 5 Pre-construction Conferenc A pre-construction conference will be scheduled between the RE and the prime contractor or their representative to discuss the work each DBE subcontractor will perform. Before work can begin on a subcontract, the County of Butte will require the contractor to submit a completed "Subcontracting Request," Exhibit 16-B of Caltrans' Local Assistance Program Manua]. {LAPM) or equivalent. When the RE receives the completed form it will be checked for agreement of the first tier subcontractors and DBEs to ensure DBE goal commitment are adhered to. The RE will not approve the request when it identifies someone other than the DBE or first tier subcontractor listed in the previously completed "Local Agency Bidder DBE Information," Exhibit 15-G of Caltrans' LAPM. The "Subcontracting Request" will not be approved until all discrepancies are resolved. If an issue cannot be resolved at that time, or there is some other concern, the RE will require the contractor to eliminate the subcontractor in question before signing the subcontracting request. A change in the DBE or first tier subcontractor may be addressed during a substitution process at a later date. Suppliers, vendors, or manufacturers listed on the "Bidder DBE Information" will be compared to those listed in the completed Exhibit 16-I of Caltrans' LAPM or equivalent. Differences must be resolved by either making corrections or requesting a substitution.. Substitutions will be subject to the Subletting and Subcontracting Fair Practices Act (FPA). Local agencies will require contractors to adhere to the provisions within Subletting and Subcontracting Fair Practices Act (State Law) Sections 4100-4144. FPA requires the contractor to list all subcontractors in excess of one half of one percent (0.5%) of the contractor's total bid or $10,000, whichever is greater. The statute is designed to prevent bid shopping by contractors. "fhe FPA explains that a contractor may not substitute a subcontractor listed in the original bid except with the approval of the awarding authority. The RE will give the contractor a blank "Final Report Utilization of Disadvantaged Business Enterprises, First Tier Subcontractors", Exhibit 17-F of Caltrans' LAPM, and will explain to them that the document will be required at the end of the project, for which payment can be withheld, in conformance with the contract. Construction Contract 1lTonitorinQ The RE will ensure that the RE's staff (inspectors) know what items of work each DBE is responsible for performing. Inspectors will notify the RE immediately of apparent violations. WlYen a firm other than the listed DBE subcontractor is found performing the work, the RE will notify the contractor of the apparent discrepancy and potential loss of payment. Based on the contractor's response, the RE will take appropriate action: The DBE Liaison Officer will perform a preliminary investigation to identify any potential issues related to the DBE subcontractor performing a commercially useful function. Any substantive issues will be forwarded to the Caltrans Disadvantaged $usiness Enterprise Program. If the contractor fails to adequately explain why there is a discrepancy, payment for the work will be withheld and a letter County of Butte Disadvantaged Business Enterprise Program Page 6 will be sent to the contractor referencing the applicable specification violation and the required withholding of payment. If the contract requires the submittal of a monthly trucking document, the contractor will be required to submit documentation to the RE showing the owner's name; California Highway Patrol CA number; and the DBE certification number of the owner of the truck for each truck used during that month for which DBE participation will be claimed. The trucks will be listed by California Highway Patrol CA number in the daily diary or on a separate piece of paper for documentation. The numbers are checked by inspectors regularly to confirm compliance. Substitution When a DBE substitution is requested, the F.ElContract Manager will request a letter from the contractor explaining why substitution is needed. The RE/Contract Manager must review the letter to be sure names and addresses are shown, dollar values are included, and reason for the request is explained. If the IZE/Contract Manager agrees to the substitution and with concurrence of the substitution of the DBE Liaison Officer, the RE/Contract Manager will notify, in writing, the DBE subcontractor regarding the proposed substitution and procedure for written objection from the DBE subcontractor in accordance with the subletting and Subcontracting Fair Practices Act. If the contractor is not meeting the contract goal with this substitution, the contractor must provide the required good faith effort to the RE/Contract Manager for local agency consideration. ~~ If there is any doubt in the RElContract Manager's mind regarding the requested substitution, the 1ZE/Contract Manager may contact the DLAE for assistance and direction. record 1E~eeping and Final Report_>rJtilizatFa;t of 1)isadvanta~ed ~3usi~~ess Enterprises The contractor shall maintain records showing the name and address of each first-tier subcontractor. The records shall also show: 1. The name and business address, regardless of tier, of every DBE subcontractor, DBE vendor of materials and DBE trucking company. 2. The date of payment and the total dollar figure paid to each of the firms. 3. The DBE prime contractor shall also show the date of work performed by their own forces along «rith the corresponding dollar value of the work claimed toward DBE goals. mien a contract has been completed the contractor will provide a summary of the records stated above. The DBE utilization information will be documented on Exhibit 17-F of Caltrans' LAPM and ivi11 be submitted to the DLAE attached to the Report of Expenditures. The RE will compare the completed Exhibit 17-F of Caltrans' LAPM to the contractor's completed Exhibit 15-G of Caltrans' LAPM and, if applicable, to the completed Exhibit 16-B of Caltrans' LAPM. The DBEs shown on the completed Exhibit 17-F of Caltrans' LAPM should be the same as those originally listed unless an authorized substitution was allowed, or the contractor used more DBEs and they were added. The dollar amount should reflect any changes made in planned work done by the DBE. The contractor will be required to explain in writing why the names of the County of Butte Disadvantaged Business Entezprise Program Page 7 subcontractors, the work items or dollar figures are different from what was originally shown on the completed Exhibit 15-G of Caltrans' LAPM when: • There have been no changes made by the RE. • The contractor has not provided a sufficient explanation in the comments section of the completed Exhibit 17-F of Caltrans' LAPM. The explanation will be attached to the completed Exhibit 17-F for submittal. The RE will file this in the project records. The County of Butte's DBE Liaison Officer will keep track of the DBE certification status on the Internet at www.dot.ca.govlhglbep and keep the RE informed of changes that affect the contract. The RE will require the contractor to act in accordance with existing contractual commitments regardless of decertification. The DLAE will use the PS&E checklist to monitor County of Butte's commitment to require bidders list information to be submitted to the County of Butte from the awarded prime and subcontractors as a means to develop a bidders list. This monitoring will only take place if the bidders list information is required to be submitted as stipulated in the special provisions. The County of Butte will bring to the attention of the DOT through the DLAE any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in X26.109. The County of Butte also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. XIV. Overall Goals (§26.45) Amount of Goal The County of Butte's overall goal for the Federal fiscal year FFY 2000/2001. is the following: 12°l0 of the Federal financial assistance in DOT-assisted contracts. This overall goal is broken down into 9°l° race-conscious and 3%race-neutral components. Methodolo~v Proiectin.~ Federal Assisted ~'ontract AwardslExpenditures for Federal Fiscal Year In conjunction with the preparation and adoption of the budget for each fiscal year, the DBE Liaison Officer, in consultation with the appropriate divisions and departments responsible for contracting activities, will conduct a thorough analysis of the projected number, types of work by industry disciplines and dollar amounts of contracting opportunities that will be funded, in whole or in part, by DOT federal financial assistance for that year. County of Butte Disadvantaged Business Enterprise Program Page 8 STEP ~: Establishing a Base Figure Once the County of Butte defines its DOT-assisted contracting program and relevant market areas for the fiscal year, the County of Butte will establish a Base Figure following one of the methodologies outlined in Title 49 CFR Part 26 and Caltrans' Local Assistance Procedures Manual. For federal fiscal year 2000101, the County of Butte elected to utilize Caltrans' DBE Directory of Certified DBE firms (filtered to included DBE firms expressing interest in doing business within the County of Butte's market area), divided by ail comparable firms available within the County Census Bureau Database to derive the relative availability of DBEs withing the following work industries: Categories: Highway & Street Construction, Concrete Work and Other Scientific & Technical Consulting Services The County of Butte further weighted the resultant figure based on the amount of DOT-federal assistance the County of Butte is projected to award andlor expend on various industries in establishing the Base Figure. Please refer Attachment D for County of Butte's FFY 2000/O1 Overall Annual Goal Analysis. S~ FP 2: t1 d 'uI siif:g tlr e Base Figure '~ As a mandatory second step, the County of Butte will survey other relevant market data to consider adjusting the base figure established. Indicators that County of Butte may determine to be rclevar~t to its rnarl~et, may include, but not be limited to: 1. Demonstrated evidence of DBE capacity to perform work in the County of Butte's federally assisted and non-federally assisted contracting program; 2. The number, types and dollar value of contracting opportunities projected to be financed with federal funds and to be awarded during the federal fiscal year. 3. The County of Butte's Bidders List. 4. Other recipients' goal results in similar contracting opportunities and markets, and the reasons for the level of those results. 5. The methods used by the County of Butte to increase DBE participation in federally assisted contracts. 6. The demographics and business activity of the geographical area in which the County of Butte will solicit bids or proposals. 7. The data from statistical disparities of DBEs to obtain financing, bonding and insurance requirements. S. The data on employment and self-employment, education and training programs, to the extent the County of Butte can relate it to the opportunities far DBEs to perform in the County of Butte's DBE Program. County of Butte Disadvantaged Business Enterprise Program Page 9 Breakout of Estimated Race-Neutral and Race-Conscious Partici ation .,~ The County of Butte shall achieve the overall annual goals for DBE participation through a combination of race-neutral and race-conscious measures including the use of contract-specific goals as needed to meet its overall annual DBE goal. Race-Neutral 1 Measures The County of Butte intends to use race-neutral measures to the extent feasible to achieve its overall annual goal. The County of Butte will use the following measures as appropriate to facilitate DBE and other small business participation in the County of Butte's contracting program: (a) Configuring large contracts into smaller contracts when feasible, when to so would make contracts mare accessible to small businesses, and would not impose significant additional cost, delay or risk to the County of Butte; (b) Contractors will be encouraged to consider subcontractors for components of the work far which there is a knov~rn supply of ready, willing, and able subcontractors, including DBE subcontractors, in preparing their bids; (c) Assisting in overcoming limitations in bonding and financing; (d) Providing technical assistance in orienting small businesses to public contracting procedures, use of the Internet, and facilitating introductions to the County of Butte's and other U.S. DOT recipients' contracting activities; and (e) Providing outreach and communications programs on contract procedures and " contract opportunities to ensure the inclusion of DBEs and other small businesses. Race-Cansci©us Measures Goals (section 24.511 The County of Butte will annually consider various factors to project levels of DBE participation to be met through race-conscious measures and will use race-conscious measures such as contract-specific goals to meet that portion of the overall goal which is not likely to be met utilizing race-neutral measures. The County of Butte shall monitor and adjust the estimated utilization of race-neutral and race-conscious measures as required in accordance with regulatory guidelines. Process For subsequent years, the following procedures will be followed: The County of Butte will submit its overall annual DBE goal to Caltrans by June 1 of each year. The goal submission includes the amount of overall goal, the method utilized to calculate the goal and the estimated race-neutral and race-conscious participation projections. Once the DLAE has responded with preliminary comments and the comments have been incorporated into the draft overall goal analysis, the County of Butte will publish a notice of the proposed overall goal, informing the public that the proposed goal and its rationale are available County of Butte Disadti~antaged Business Enterprise Program Page 10 for inspection during normal business hours at the County of Butte's principal office for 30 days from the date of the notice, and informing the public that the County of Butte will accept comments relative to the goal analysis for 45 days following the date of the notice. Advertisements in newspapers, minority focus media, trade publications, and. websites will be the normal media to accomplish this effort. The notice will include addresses to which comments may be sent and addresses (including offices and websites) where the proposed goal and its rationale may be reviewed. The overall final goal resubmission to the Caltrans DLAE, will include a summary of information and comments received during this public participation process, including the County of Butte's responses and a determination on the impact the public comments had on the overall goal, if any. This will be due by September 1 to the Caltrans DLAE. The DLAE will have a month to perform a final review enabling the County of Butte to implement the overall aru-tual goal by October 1 of each year. XV. ~~ntract foals (§26.51) The County of Butte will use contract goals to meet any portion of the overall goal County of Butte does not project being able to meet by the use of race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the overall goal that is not projected to be met through the use of race-neutral means. Contract goals will be established only on thane DOT-assisted contracts that have subcontracting possibilities. Contract goals need not be established on every such contract, and the size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the particular type of work). The contract work items will be compared with eligible DBE contractors willing to work on the project. A determination will also be made to decide which items are likely to be performed by the prime contractor and which ones are likely to be perfoi7ned by the subcontractor(s). The goal will then be incorporated into the contract documents. Contract goals will be expressed as a percentage of the total amount of aDOT-assisted contract. XVI. Transit Vehicle Manufacturers (26.49) If DOT-assisted contracts will include transit vehicle procurements, the County of Butte will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on transit vehicle procurements, to certify that it has complied with the requirements of 49 CFR Part 26, Section 49. The County of Butte will direct the transit vehicle manufacturer to the subject requirements located on the Internet at httpa/osdbuweb.dot.govlprograms/dbeldbe.htm. County of Butte Disadvantaged Business Enterprise Program Page 11 XVII. Good Faith Efforts (§26.53) ~~} Information to be Submitted The County of Butte treats bidders'/offerors' compliance with good faith effort requirements as a matter of responsiveness. A responsive proposal is meeting all the requirements of the advertisement and solicitation. Each solicitation for which a contract goal has been established will require the bidderslofferors to submit the following information to: Butte County Department of Public Works, 7 County Center Drive, Oroville, CA 95938 no later than 4:00 p.m. on or before the fourth day, not including Saturdays, Sundays and legal holidays, following bid opening: 1. The names and addresses of known DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform: 3. The dollar amount of the participation of each DBE firm participation 4. Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; 5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractor's cormmitment; and 6. If the contract goal is not met, evidence of good faith efforts. Demonstration of Good Faith Efforts The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. Examples of good faith efforts are found in Appendix A to Part 26, which is attached. "I'he following personnel is responsible for determining whether abidder/offeror who has not met the contract goal has documented sufficient goad faith efforts to be regarded as responsive: Mr. Paul A. Newsum and. Mr. Jack. Warson. The County of Butte will ensure that all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before a commitment to the performance of the contract by the bidder/offeror is made. Administrative Reconsiderati Within 10 days of being informed by the County of Butte that it is not responsive because it has not documented sufficient good faith efforts, abidder/offeror may request administrative reconsideration. Bidder/offerors should make this request in writing to the following Reconsideration Official: J Mr. Mike Crump, Director of Public Works County of Butte Department of Public Works County of Butte Disadvantaged Business Enterprise Program Page 12 7 County Center Drive ~ Oroville, CA 95965 Telephone: (530) 538-7681 E-Mail: mcrump@buttecounty.net The Reconsideration Official will not have played any role in the original determination that the bidderlofferor did not make document sufficient good faith efforts. As part of this reconsideration, the bidderlofferor 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 goad faith efforts to do. The County of Butte will send the bidderlofferor a written decision on reconsideration, explaining the basis far finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to Caltrans, FHWA or the DOT. Good >Faith Efforts when a DBE is Replaced on a Contract The County of Butte will require a contractor to make good faith efforts to replace a DBE that is terminated or has otherwise failed to complete its work on a contract with another certified DBE, to the extent needed to meet the contract Baal. The prime contractor is required to notify the RE immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. In this situation, the prime contractor will be required to obtain the County of Butte's prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, the County of Butte's contracting office will issue an order stopping all or part of payment/work until satisfactory action has been taken. If the contractor still fails to comply, the contracting officer may issue a tern~ination for default proceeding. XVIII. Counting DBE Participation (§26.55) The County of Butte will count DBE participation toward overall and contract goals as provided in the contract specifications for the prime contractor, subcontractor, joint venture partner with prime or subcontractor, or vendor of material or supplies. See Caltrans' Sample Boiler Plate Contract Documents previously mentioned. Also, refer to XIII: "After Contract Award. " XIX. Certification (§26.83(a)) The County of Butte ensures that only DBE firms currently certified on the Caltrans' directory will participate as DBEs in our Program. County of Butte Disadvantaged Business Enterprise Program Page 13 XX. Information Collection and Reporting Bidders List The County of Butte will create a bidders list, consisting of infornation about all DBE and non- DBE firms that bid or quote on its DOT-assisted contracts. The bidders list will include the name, address, DBE/non-DBE status, age of firm, type of work provided by firm and annual grass receipts of firms. The County of Butte has incorporated a Bidders List form, identified as Appendix C, into the County of Butte's solicitation documents, which requires that bidderslofferors provide all required information. Monitoring Payments to DBEs Prime contractors are required to maintain records and documents of payments to DBEs for three years following the perforn~ance of the contract. These records will be made available for inspection upon request by any authorized representative of the County of Butte, Caltrans or FHWA. This reporting requirement also extends to any certified DBE subcontractor. Payments to DBE subcontractors will be reviewed by the County of Butte to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of DBE participation. Reporting to Caitrans The County of Butte will report final utilization of DBE participation to the DLAE using Exhibit 17-F of the Caltrans' LAPM. Confidentiality The County of Butte will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local laws. Mike Crump County of Butte Director of Public Works This Disadvantaged Business Enterprise Program is accepted by: Signature of DLAE Date: Date: County of Butte Disadvantaged Business Enterprise Program Page 14 APPENDLX A L When, as a recipient, you establish a contract goal on aDOT-assisted contract, a bidder must, in order to be responsible andlor responsive, make good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms sufficient far this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal or other requirement of this Part, which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. IL In any situation in which you have established a contract goal, part 26 requires you to use the good faith efforts mechanism of this part. As a recipient, it is up to you to make a fair and reasonable judgment vahether a bidder that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity, and intensity of the different kinds of efforts that the bidder has made. The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere fro forma efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your deternlination concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting quantitative formulas is not required. III. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. IV. The following is a list of types of actions which. you should consider as part of the bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising andlor written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. The bidder must deiennine with. certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. County of Butte Disadvantaged Business Enterprise Program Page 15 B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation. D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, 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. (2) 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. Nat rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations and political. or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the project goal. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. County of Butte Disadvantaged $usiness Enterprise Program Page 16 H. Effectively using the services of available minority/women community organizations; minority/women contractors' groups; local, state, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. V. In determining whether a bidder has made good faith efforts, you may take into account the performance of other bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. County of Butte Disadvantaged Business Enterprise Program Page 17 APPENDIX B COUNTY OF BUTTE DBE PROGRAM ORGANIZATIONAL CHART BUTTE COUNTY BOARD OF SUPERVISORS Mike Crump ~) Director of Public Works ~~ Reconsideration Official Paul A. Newsum* Senior Civil Engineer DBE Liaison Officer II Jack Warson II Civil Engineering Associate DBE Support Staff * DBE Liaison Officer may report DBE Program matters to County of Butte's Board of Supervisors. County of Butte Disadvantaged Business Enterprise Program Page 18 APPENDIX C BUTTE COUNTY DEPARTMENT OF PUBLIC WORKS BIDDERS LIST All bidders/proposers are required to provide the following information for all DBE and non- DBE contractors, who provided a proposal, bid, quote, or were contacted by the proposed prime. This information is also required from the proposed prime contractor, and must be submitted with their bidiproposai. The County of Butte will use this information to maintain and update a "Bidders" List to assist in the overall annual goal DBE goal setting process. Firm Name: Address: Contact Person: Phone: Fax: No. of Years in Business: Is the firm currently certified as a DBE under the new regulations (49 CFR fart 2b)`~'ES~NJ Type of work/services materials provided by firm: What was your firm's Gross Annual receipts for last year? Less than $1 Million Less than $5 Million Less than $10 Million Less than $15 Million More than X15 Million This form can be duplicated if necessary to report all bidders (DBEs and non-DBEs) information. County of Butte Disadvantaged Business Enterprise Program Page 14