2015/01/27 City Council Resolution 2015-015RESOLUTION NO. 2015 -015
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROHNERT PARK
AUTHORIZING AND APPROVING THE CALIFORNIA DEPARTMENT OF
TRANSPORTATION DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
IMPLEMENTATION AGREEMENT FOR LOCAL AGENCIES
WHEREAS, the U.S. Department of Transportation (USDOT)'s Disadvantaged
Business Enterprise (DBE) Program is one of the primary tools the USDOT uses to ensure that
firms competing for Federally- assisted contracts are not disadvantaged by unlawful
discrimination; and
WHEREAS, the California Department of Transportation (Caltrans), as a recipient of
USDOT funds, is required to implement a DBE program with the intent of creating a "level
playing field" for DBEs to compete fairly for procurement opportunities; and
WHEREAS, the City of Rohnert Park, as an intended recipient of funds from USDOT
through Caltrans, must likewise agree to carry out the local agency component of Caltrans' DBE
Program Plan; and
WHEREAS, Caltrans requires that local agency recipients approve and sign the
California Department of Transportation Disadvantaged Business Enterprise Program
Implementation Agreement for Local Agencies to signify their agreement to implement a DBE
program in accordance with the Caltrans DBE Program Plan; and
WHEREAS, the Council approved the current DBE Program Implementation Agreement
with Caltrans on April 14, 2009 by Resolution No. 2009 -33; and
WHEREAS, Caltrans has revised their DBE program and updated their DBE
Implementation Agreement and is requiring local agencies to execute this updated agreement in
order to request federal funds through Caltrans; and
WHEREAS, the City needs an up -to -date DBE Program Implementation Agreement in
place in order to receive Federal funding for certain construction projects slated in the coming
years.
NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of
Rohnert Park does hereby approve the California Department of Transportation Disadvantaged
Business Enterprise Program Implementation Agreement for Local Agencies ( "Agreement "), in
substantially similar form to the Agreement attached hereto as Exhibit A and incorporated by this
reference, subject to minor modification by the City Manager and City Attorney. This
Agreement shall supersede the prior DBE Program Implementation Agreement authorized by
Resolution 2009 -33.
BE IT FURTHER RESOLVED, that the Mayor is authorized to sign the Agreement as
the Authorized Governing Body Representative.
BE IT FURTHER RESOLVED, that the City Manager is authorized to take all actions
necessary to implement the Agreement.
DULY AND REGULARLY ADOPTED this 27th day of January, 2015.
M1i INERT
CITY OF ROHNERT PARK
Amy O. Ahanotu, Mayor
ATTEST:
1
[)Anne Buergler ity ClcVk
Attachment: Exhibit A — California Department of Transportation (Caltrans) Disadvantaged
Business Enterprise (DBE) Implementation Agreement
CALLINAN: AMNT MACKENZIE: aye STAFFORD: NYE BELFORTE: PiW_ AHANOTU: W_
AYES: (4 ) NOES: ( O ) ABSENT: ) ABSTAIN: ( p )
2015 -015
EXHIBIT A to RESOLUTION
CALIFORNIA DEPARTMENT OF TRANSPORTATION (CALTRANS) DISADVANTAGED
BUSINESS ENTERPRISE (DBE) IMPLEMENTATION AGREEMENT
For the City of Rohnert Park, hereinafter referred to as "SUB- RECIPIENT."
I. Definition of Terms
The terms used in this agreement have the meanings defined in 49 CFR 26.5.
II. Objective /Policy Statement (49 CFR 26.1 and 26.23)
SUB - RECIPIENT intends to receive federal financial assistance from the U. S. Department of
Transportation (DOT) through the California Department of Transportation ( Caltrans), and as a condition
of receiving this assistance, SUB - RECIPIENT will sign the California Department of Transportation
Disadvantaged Business Enterprise Implementation Agreement (hereinafter referred to as Agreement).
SUB - RECIPIENT agrees to implement the State of California, Department of Transportation
Disadvantaged Business Enterprise (DBE) Program Plan (hereinafter referred to as the DBE Program
Plan) as it pertains to local agencies. The DBE Program Plan is based on U.S. Department of
Transportation (DOT), 49 CFR 26 requirements.
It is the policy of SUB - RECIPIENT to ensure that DBEs, as defined in 49 CFR 26, have an equal
opportunity to receive and participate in DOT - assisted contracts. It is also SUB- RECIPIENT's policy:
• To ensure nondiscrimination in the award and administration of DOT - assisted contracts.
• To create a level playing field on which DBE's can compete fairly for DOT - assisted
contracts.
• To ensure that the DBE participation percentage is narrowly tailored, in accordance with
applicable law.
• To ensure that only firms that fully meet 49 CFR 26 eligibility standards are permitted to
participate as DBEs.
• To help remove barriers to the participation of DBEs in Federal -aid contracts.
• To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
III. Nondiscrimination (49 CFR 26.7)
SUB - RECIPIENT 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 26 on the basis of race, color, sex, or national origin. In administering the local
agency components of the DBE Program Plan, SUB - RECIPIENT 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 Plan with
respect to individuals of a particular race, color, sex, or national origin.
IV. Annual DBE Submittal Form (49 CFR 26.21)
SUB - RECIPIENT will provide to the Caltrans District Local Assistance Engineer (DLAE) a completed
"Local Agency DBEAnnual Submittal Form" (Exhibit 9 -13), by June 30 of each year for the following
Federal Fiscal Year (FFY). This form must include the name, phone number, email address of the
designated Disadvantaged Business Enterprise Liaison Officer (DBELO), and the choice of Prompt Pay
Provision to be used by SUB - RECIPIENT for the following FFY.
V. Race - Neutral Means of Meeting Caltrans Overall Statewide Annual DBE Goal (49 CFR 26.51(a))
Caltrans expects SUB - RECIPIENT to meet the maximum feasible portion of Caltrans Overall Statewide
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Annual DBE Goal through race - neutral means of facilitating DBE participation. Race - neutral DBE
participation includes when a DBE wins a prime contract through customary competitive procurement
procedures, is awarded a subcontract on a prime contract that does not carry a DBE goal, or even if there
is a DBE goal, wins a subcontract from a prime contractor that did not consider its DBE status in making
the award (e.g., a prime contractor that uses a strict low -bid system to award subcontracts). 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 the participation of DBE and other small
businesses (e.g., unbundling large contracts to make them more accessible to small
businesses, requiring or encouraging prime contractors to subcontract portions of work
that they might otherwise perform with their own forces);
2. Providing assistance in overcoming limitations such as inability to obtain bonding 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 communication programs on contracting procedures and
specific contract opportunities (e.g., ensuring the inclusion of DBEs and other small
businesses on SUB - RECIPIENT mailing lists of 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 types 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 your DBE directory through print and electronic means to the
widest feasible universe of potential prime contractors; and
9. Assisting DBEs and other small businesses to develop their capability to utilize emerging
technology and conduct business through electronic media.
VI. Race - conscious Means of Meeting Caltrans Overall Statewide Annual DBE Goal (49 CFR 26.51(d))
SUB - RECIPIENT must establish DBE contract goals to meet any portion of Caltrans Overall Statewide
Annual DBE Goal that cannot be achieved through race - neutral means.
VII. Quotas (49 CFR 26.43)
SUB - RECIPIENT will not use quotas or set - asides in any way in the administration of the local agency
component of the DBE Program Plan.
VIII. DBE Liaison Officer ( DBELO) (49 CFR 26.25)
SUB - RECIPIENT has designated a DBE Liaison Officer. The DBELO is responsible for implementing
the DBE Program Plan as it pertains to the SUB - RECIPIENT, and ensures that the SUB - RECIPIENT is
fully and properly advised concerning DBE Program Plan matters. [Specify resources available to the
DBELO; e.g., the DBELO has a staff of two professional employees assigned to the DBE program on a
full -time basis and two support personnel who devote a portion of their time to the program.] The name,
address, telephone number, email address, and an organization chart displaying the DBELO's position in
the organization are found in
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Attachment to this Agreement. This information will be updated annually and included on
the DBE Annual Submittal Form.
The DBELO is responsible for developing, implementing, and monitoring the SUB - RECIPIENT'S
requirements of the DBE Program Plan 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 determine DBE contract goals.
4. Ensures that bid notices and requests for proposals are made available to DBEs in a
timely manner.
5. Analyzes DBE participation and identifies ways to encourage participation through race -
neutral means.
6. Participates in pre -bid meetings.
7. Advises the CEO /governing body on DBE matters and DBE race - neutral issues.
8. Provides DBEs with information and recommends sources to assist in preparing bids,
obtaining bonding and insurance.
9. Plans and participates in DBE training seminars.
10. Provides outreach to DBEs and community organizations to fully advise them of
contracting opportunities.
IX. Federal Financial Assistance Agreement Assurance (49 CFR 26.13)
Each agreement SUB - RECIPIENT signs with Caltrans must include the following assurance:
The SUB - RECIPIENT shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any DOT - assisted contract, or in the administration of its DBE Program, or the
requirements of 49 CFR 26. The SUB - RECIPIENT shall take all necessary and reasonable steps under 49
CFR 26 to ensure nondiscrimination in the award and administration of DOT - assisted contracts. The
SUB- RECIPIENT's DBE Program, as required by 49 CFR 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 SUB - RECIPIENT
of its failure to carry out its approved program, Caltrans may impose sanctions as provided for under 49
CFR 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.).
Each contract SUB - RECIPIENT signs with a contractor (and each subcontract the prime contractor signs
with a subcontractor) must include the following assurance:
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 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 SUB - RECIPIENT deems appropriate.
X. DBE Financial Institutions (49 CFR 26.27)
SUB - RECIPIENT must 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.
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Information on the availability of such institutions can be obtained from the DBELO. The Caltrans
Disadvantaged Business Enterprise Program may offer assistance to the DBELO.
XI. Directory (49 CFR 26.31)
SUB - RECIPIENT will refer interested persons to the Unified Certification Program DBE directory
available from the Caltrans Disadvantaged Business Enterprise Program's website
at: wwwAot.ca.g_ov/hq /bep.
XII. Required Contract Clauses (49 CFR 26.13 and 26.29)
SUB - RECIPIENT ensures that the following clauses or equivalent will be included in each DOT - assisted
prime contract:
A. Contract Assurance
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 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 SUB - RECIPIENT deems appropriate.
NOTE: This language is to be used verbatim, as is stated in "Required Federal -aid Contract
Language" (Exhibit 12 -G). See also 49 CRF 26.13(b).
B. Prompt Payment
Prompt Progress Payment to Subcontractors
The local agency shall require contractors and subcontractors to be timely paid as set forth in Section
7108.5 of the California Business and Professions Code concerning prompt payment to
subcontractors. The 7 -day is applicable unless a longer period is agreed to in writing. Any delay or
postponement of payment over thirty (30) days may take place only for good cause and with the
agency's prior written approval. Any violation of Section 7108.5 shall subject the violating contractor
or subcontractor to the penalties, sanctions, and other remedies of that Section. This requirement shall
not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise
available to the contractor or subcontractor in the event of a dispute involving late payment or
nonpayment by the contractor, deficient subcontractor performance, and /or noncompliance by a
subcontractor. This clause applies to both DBE and non -DBE subcontractors.
Prompt Payment of Withheld Funds to Subcontractors
The local agency shall ensure prompt and full payment of retainage from the prime contractor to the
subcontractor within thirty (30) days after the subcontractor's work is satisfactorily completed and
accepted. This shall be accompanied by including; either (1), (2), or (3) of the following provisions
[local agency equivalent will need Caltrans approval] in their federal -aid contracts to ensure prompt
and full payment of retainage [withheld funds] to subcontractors in compliance with 49 CFR 26.29.
1. No retainage will be held by the agency from progress payments due to the prime
contractor. Prime contractors and subcontractors are prohibited from holding
retainage from subcontractors. Any delay or postponement of payment may take
place only for good cause and with the agency's prior written approval. Any violation
of these provisions shall subject the violating contractor or subcontractor to the
penalties, sanctions, and other remedies specified in Section 7108.5 of the California
Business and Professions Code. This requirement shall not be construed to limit or
impair any contractual, administrative, or judicial remedies, otherwise available to
the contractor or subcontractor in the event of a dispute involving late payment or
nonpayment by the contractor, deficient subcontractor performance, and /or
noncompliance by a subcontractor. This clause applies to both DBE and non -DBE
subcontractors.
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No retainage will be held by the agency from progress payments due to the prime
contractor. Any retainage kept by the prime contractor or by a subcontractor must be
paid in full to the earning subcontractor in thirty (30) days after the subcontractor's
work is satisfactorily completed. Any delay or postponement of payment may take
place only for good cause and with the agency's prior written approval. Any violation
of these provisions shall subject the violating contractor or subcontractor to the
penalties, sanctions, and remedies specified in Section 7108.5 of the California
Business and Professions Code. This requirement shall not be construed to limit or
impair any contractual, administrative, or judicial remedies, otherwise available to
the contractor or subcontractor in the event of a dispute involving late payment or
nonpayment by the contractor, deficient subcontractor performance, and /or
noncompliance by a subcontractor. This clause applies to both DBE and non -DBE
subcontractors.
The agency shall hold retainage from the prime contractor and shall make prompt and
regular incremental acceptances of portions, as determined by the agency of the
contract work and pay retainage to the prime contractor based on these acceptances.
The prime contractor or subcontractor shall return all monies withheld in retention
from all subcontractors within thirty (30) days after receiving payment for work
satisfactorily completed and accepted including incremental acceptances of portions
of the contract work by the agency. Any delay or postponement of payment may take
place only for good cause and with the agency's prior written approval. Any violation
of these provisions shall subject the violating prime contractor to the penalties,
sanctions, and other remedies specified in Section 7108.5 of the California Business
and Professions Code. This requirement shall not be construed to limit or impair any
contractual, administrative, or judicial remedies, otherwise available to the contractor
or subcontractor in the event of. a dispute involving late payment or nonpayment by
the contractor; deficient subcontractor performance; and /or noncompliance by a
subcontractor. This clause applies to both DBE and non -DBE subcontractors.
XIII. Local Assistance Procedures Manual
The SUB - RECIPIENT will advertise, award and administer Federal -aid contracts in accordance with the
current Local Assistance Procedures Manual (LAPM) including forms and Exhibits.
XIV. Vehicle Manufacturers /Specialized Equipment ( §26.49)
If Federal -aid contracts will include vehicle /specialized equipment procurements, SUB - RECIPIENT will
require each vendor, as a condition of being authorized to bid or propose on vehicle /specialized
equipment procurements, to certify that it has complied with the requirements of 49 CFR 26.69.
XV. Reporting to the DLAE
SUB - RECIPIENT will promptly submit a copy of the Consultant Proposal DBE Commitment (Exhibit
10 -01) at the time of award of the consultant contract.
SUB - RECIPIENT will promptly submit a copy of Consultant Contract DBE Information (Exhibit
10 -02) or the Local Agency Bidder DBE Commitment (Construction Contracts) (Exhibit 15 -G) to
the DLAE within 30 days after execution of consultant or construction contract.
SUB - RECIPIENT will promptly submit a copy of the Final Report- Utilization of DBE, First -Tier
Subcontractors (Exhibit 17 -F) of the LAPM, immediately upon completion of each consultant or
construction contract.
XVL Certification ( §26.83(a))
SUB - RECIPIENT ensures that only DBE firms currently certified by the California Unified
Certification Program (CUCP) will participate as DBEs on Federal -aid contracts.
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XVII. Confidentiality
SUB- RECIPIENT will safeguard from disclosure to third parties, information that may reasonably
be regarded as confidential business information consistent with federal, state, and local laws.
By: Date:
(Signature)
Phone #:
(Print Name and Title)
ADMINISTERING AGENCY
(Authorized Governing Body Representative)
This California Department of Transportation's Disadvantaged Business Enterprise Program Implementation
Agreement is accepted by:
Date:
(Signature of DLAE)
(Print Name of DLAE)
Distribution: (l) Original — DLAE
(2) Signed copy by the DLAE — Local Agency
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