HomeMy WebLinkAboutAgenda Report - December 21, 2005 E-06AGENDA ITEM EJO
CITY OF LODI
COUNCIL COMMUNICATION
TM
AGENDA TITLE: Adopt Resolution Approving the Disadvantaged Business Enterprise Program
and Established Overall Annual Disadvantaged Business Enterprise (DBE)
Goal of 6% for FTA -Assisted Projects for Federal Fiscal Year 2005/06
MEETINGDATE: December 29, 2005
PREPARED BY: Public Works Director
RECOMMENDED ACTION: That the City Council adopt a resolution approving the
Disadvantaged Business Enterprise Program and Established
Overall Annual DBE Goal of 6% for Federal Fiscal Year (FFY)
2005/06 for Federal Transit Administration (FTA) -assisted projects.
BACKGROUND INFORMATION: The City is required to develop and submit an Overall Annual Goal
for DBE participation on U.S. Department of Transportation (DOT) -
assisted contracts, as a condition of federal financial assistance,
pursuant to revised regulations set forth under Title 49 CFR Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation Programs. In
accordance with these DBE regulations, the City, with help from its consultant, Padilla & Associates, has
established an Overall Annual DBE Goal for Federal Fiscal Year 2005106 for FTA -assisted projects, to
ensure full compliance with relevant regulatory requirements.
The Established Overall Annual DBE Goal of 6% for FFY 2005/06 DOT -assisted contracts addresses
critical components and fulfills specific requirements for narrow tailoring (under a court decision, narrowly
tailored requirements provide for more flexibility in establishing a goal) in accordance with Title 49 CFR
Part 26. The City's Established Overall Annual DBE Goal was developed utilizing the federal prescribed
two-step goal setting methodology. Step I included establishing a Base Figure utilizing quantifiable
evidence to determine the relative availability of DBEs within specified industries identified as a part of
the City's DOT -assisted contracting projects anticipated to be awarded by the City of Lodi within FFY
2-005106. The City utilized the Caltrans Unified Certified Program (UCP) on-line database of Certified
DBE Firms and the 2002 U.S. Census Bureau County Business Patterns (CBP) database to complete
this step. Upon establishing the Base Figure, the City surveyed and assessed other known relevant
evidence to determine what additional adjustments, if any, were needed to narrowly tailor the Base
Figure to the City's market area. No additional adjustments were needed for this narrow tailoring.
Factors considered in the adjustment of the Base Figure included the historical and current capacity of
DBEs measured by actual attainments on similar projects. Following Council's approval of the
Established Overall Annual Goal for FFY 2005106, staff will submit to Caltrans and FTA for their final
review.
The Established Overall Annual Goal for Federal Fiscal Year 2005106 will be updated annually to
maintain relevancy to local market conditions and factors impacting DBE availability.
At the October 5, 2005, meeting the Established Overall Annual DBE goal for FFY 2005/06 was
approved and adopted by Council. After the goal was adopted, Caltrans notified the City that its program
APPROVED:
Blair King, Q Manager
J:IPRCJECTSIDBEIFFY05-061CDBEAnnualGoa12005-06 2.doe 12/1212005
Adopt Resolution Approving the Disadvantaged Business Enterprise Program and Established Overall
Annual Disadvantaged Business Enterprise (DBE) Goal of 6% for FTA -Assisted Projects for Federal
Fiscal Year 2005106
December 21, 2005
Page 2
would reed to be updated and the public participation portion would need to be repeated. The public
participation portion set forth under Title 49 CFR Part 26 requires that the notice of the proposed goal
and its rationale be published informing the public that both are available for inspection for thirty days and
comments will be accepted for forty-five days after the date of the notice. The notice is required to be
published in general circulations media, available minority -focused media and trade association
publications. The required forty-five day waiting period for the public participation process will expire on
December 24, 2005. Should any comments be received regarding the goal that may require us to
change or update any of the information then staff will need to return for Council approval again.
FISCAL IMPACT: City Council approval and adoption of the Established Overall Annual DBE
Goal for FFY 2005106 is required to ensure compliance with Department of
Transportation's federal funding requirements, provisions and financial
responsibilities, Failure to do so will directly jeopardize the City of Lodi's
federal financial assistance.
FUNDING AVAILABLE: None required.
4jw ,
Richard C. Prima, k.
Public Works Director
Prepared by Rebecca Areida, Management Analyst
RCP/RA/pmf
Attachments
cc: Tiffani Fink, Transportation Manager
J:IP ROJECTSIDB EIFFY05-061CDBEAnnualGoal 2065-06-2.doc 12112J2005
CITY OF LODI
11 Disadvantaged Business Enterprise 11
CITY OF LODI
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
Table of Contents
I.
Definition of Terms......................................................................
1
II.
Objectives/ Policy 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 Financial Institutions..............................................................
4
IX.
Directory....................................................................................4
X.
Overconcentration.......................................................................
4
XI.
Business Development Programs ...................................................
4
XII.
Required Contract Clauses............................................................
4
XIII.
Monitoring and Enforcement Mechanisms .........................................
6
XIV.
Overall Goals..............................................................................
9
XV.
Contract Goals............................................................................
12
XVI.
Transit Vehicle Manufacturers.......................................................
12
XVII.
Good Faith Efforts.......................................................................
13
XVIII.
Counting DBE Participation...........................................................
14
XIX.
Certification................................................................................
15
XX.
Information Collection and Reporting ...............................................
15
Appendix A: Guidance Concerning Good Faith Efforts ................................. 16
Appendix B: DBE Program Organizational Chart ........................................ 19
Appendix C: Bidders List.........................................................................20
Appendix D: Overall Annual DBE Goal Analysis for FFY 05/06
-1-
CITY OF LODI
DBE PROGRAM
I. Definition 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 City of Lodi 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 Financial Assistance Programs". The
City of Lodi receives Federal financial assistance from the DOT, and as a condition
of receiving this assistance, the City of Lodi will sign an assurance that it will comply
with 49 CFR Part 26.
It is the policy of the City of Lodi to ensure that DBE's, as defined in CFR Part 26,
have an equal opportunity to receive and participate in DOT -assisted contracts. It is
also our policy:
• To ensure nondiscrimination in the award and administration of DOT -
assisted contracts;
• To ensure a level playing field on which DBE's can compete fairly for
DOT -assisted contracts;
• To ensure that the DBE program is narrowly tailored in accordance with
applicable laws;
• To ensure that only firms that fully meet 49 CFR Part 26 eligibility
standards are permitted to participate as DBE's;
• To help remove barriers impacting the participation of DBE's in DOT -
assisted contracts; and
• To assist in the development of DBE firms to enable them to compete
successfully in the market place outside of the DBE program.
Ms. Rebecca Areida, Management Analyst in the Public Works Department, is the DBE
Liaison Officer for the City of Lodi. In this capacity, Ms. Areida 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 Lodi in its financial assistance agreements with the California Department of
Transportation (Caltrans).
The City of Lodi has disseminated this policy statement to the City of Lodi City Council
and all components of our organization. We have distributed this statement to DBE and
non -DBE business communities that perform work for us on DOT -assisted contracts.
City of Lodi Disadvantaged Business Enterprise Program
III. Nondiscrimination (§ 26.7)
The City of Lodi 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 City of Lodi 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 City of Lodi will continue to carry out this Program until we have established a new
goal setting methodology or until significant changes to the DBE program are adopted.
The City of Lodi 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 City of Lodi 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 City of Lodi has designated the following individual as the DBE Liaison Officer:
Ms. Rebecca Areida, Management Analyst
City of Lodi
Public Works Department
P.O. Box 3006
Lodi, CA 95241
Telephone: (209) 333-6800 ext. 2658
E -Mail: rareidanlodi.gov
In this capacity, Ms. Areida is responsible for implementing all aspects of the DBE
Program and ensuring that the City of Lodi complies with all provisions of Title 49 CFR
Part 26: "Participation by Disadvantaged Business Enterprise Regulations in Department
of Transportation Financial Assistance Programs". This is available on the Internet at
osbuweb.dot.gov/main.cfm. Ms. Areida has direct, independent access to the City
Manager concerning DBE program matters. The DBELO has support personnel who
devote a portion of their time to the Program. An organizational chart displaying the
DBELO's position in the organization is found in Appendix B to this program.
City of Lodi Disadvantaged Business Enterprise Program
-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:
I. Gathers and reports statistical data and other data 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 DBE's 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 City of Lodi's progress toward goal 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. Determines contractor compliance with good faith efforts.
10. Provides DBE's with information and assistance in preparing bids, obtaining
bonding and insurance.
11. Plans and participates in DBE training seminars.
12. Provides outreach to DBE's and community organizations to advise them of
DOT contracting opportunities.
13. Develops and maintains a Bidders List of DBE and non -DBE firms bidding on
DOT -assisted projects.
VII. Federal Financial Assistance Program Assurance (§ 26.13)
The City of Lodi 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 City of Lodi 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 Lodi 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 Lodi'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
City of Lodi 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 and/ or the Program Fraud Civil Remedies Act of
1986 (31 U.S.C. 3801 et seq.).
City of Lodi Disadvantaged Business Enterprise Program
-3-
VIII. DBE Financial Institutions
It is the policy of the City of Lodi 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 City of Lodi will refer interested persons to the DBE directory from the Caltrans
Disadvantaged Business Enterprise Program website at www. dot.ca.gov/hylbep. Free
internet access is available at the City of Lodi Public Library, 201 W. Locust Street, Lodi.
X. Overconcentration (§ 26.33)
The City of Lodi has not identified any types of work in DOT -assisted contracts that have
an overconcentration of DBE participation. If in the future, the City of Lodi identifies the
need to address overconcentration, measures for addressing overconcentration will be
submitted to the DLAE for approval.
XI. Business Development Program (§ 26.35)
The City of Lodi does not have a business development or Mentor -Protege Program. If
the City of Lodi identifies the need for such a program in the future, the nationale 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 City of Lodi 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 contract or such other remedy as recipient deems
appropriate."
City of Lodi Disadvantaged Business Enterprise Program
-4-
Prompt Payment
The City of Lodi ensures that the following clauses or equivalent will be included in each
DOT -assisted prime contract:
Prompt Payment of Funds Withheld to 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 a subcontractor within 30 days after receiving payment
for work satisfactorily completed and accepted including incremental acceptances
of portions of the contract work by the agency. Federal regulation (49 CFR 26.29)
requires that any delay or postponement of payment over 30 days may take place
only for good cause and with the agency's prior written approval. Any violation
of this provision shall subject the violating prime contractor or subcontractor to
penalties, sanctions, and other remedies specified in Section 7108.5 of the
California Business and Professions Code. These requirements shall not be
construed to limit or impair any contractual, administrative, or judicial remedies
otherwise, available to the prime contractor or subcontractor in the event of a
dispute involving late payment, or nonpayment by the prime contractor, deficient
subcontract performance, or noncompliance by a subcontractor. This provision
applies to both DBE and non -DBE prime contractors and subcontractors.
Satisfactory Performance
The prime 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 City of Lodi. Any delay
or postponement of payment from the above referenced time frame may occur
only for good cause following written approval of the City of Lodi. This clause
applies to both DBE and non -DBE subcontractors.
Release of Retainage
The prime contractor agrees to further 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 City
of Lodi. This clause applies to both DBE and non -DBE subcontractors.
Ongoing Compliance Monitoring
It is the responsibility of the prime contractor to provide evidence of all
subcontractor payments in accordance with the above stated Prompt Payment
Provisions. The prime contractor shall provide access to such records at the
request of the City of Lodi.
City of Lodi Disadvantaged Business Enterprise Program
-5-
The City of Lodi will conduct periodic reviews as necessary to ensure full compliance.
XIII. Monitoring and Enforcement Mechanisms (§ 26.37)
The City of Lodi 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 City of Lodi will review the award documents for the
portion of items each DBE and first tier subcontractor will be performing and the dollar
value of that work. With these documents the RE/Contract Manager will be able to
determine the work to be performed by the DBEs or subcontractors listed.
Pre -Construction Conference
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 City of Lodi will require the contractor to
submit a completed "Subcontracting Request," Exhibit 16-B of Caltrans' Local
Assistance Program Manual (LAPM) or equivalent. When the RE receives the
completed form it will be checked for agreement of the first tier subcontractors and
DBE's to ensure DBE goal commitments 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 the
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 within excess of one half of one percent
(0.5%) of the contractor's total bid or $10,000, whichever is greater. The statue is
designed to prevent bid shopping by contractors. The FPA explains that a contractor may
not substitute a subcontractor listed in the original bid except with approval of the
awarding authority.
City of Lodi Disadvantaged Business Enterprise Program
-6-
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 Monitoring
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.
When 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 tot eh DBE subcontractor performing a commercially useful function. Any
substantive issues will be forwarded to the Caltrans Disadvantaged Business Enterprise
Program. If the contractor fails to adequately explain why there is a discrepancy,
payment for the work will be withheld and a letter 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 the 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 RE/ Contract 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 the reason for the request is explained. If the RE/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 RE/Contract Manager's mind regarding the requested
substitution, the RE/Contract Manager may contact the DLAE for assistance and
direction.
City of Lodi Disadvantaged Business Enterprise Program
-7-
Record Keeping and Final Report Utilization of Disadvantaged Business
Enterprises
The contractor shall maintain records showing the name and address of each first-tier
subcontractor. The records shall also show:
1. The name of the 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 with the corresponding dollar value of the work
claimed toward DBE goals.
When a contract has been completed the contractor will provide a summary of the records
stated above. The DBE utilization information will be documented on Exhibit 17-F of
Caltrans' LAPM and will 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 DBE's shown on the completed
Exhibit 17-F of the Caltrans' LAPM should be the same as those originally listed unless
an authorized substitution was allowed, or the contractor used more DBE's 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
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 City of Lodi's DBE Liaison Officer will keep track of the DBE certification status on
the Internet at www.dot.ca. og v/hq/bep and keep the RE informed of changes that effect
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 the City of Lodi's commitment to
require bidders list information to be submitted to the City of Lodi from the awarded
prime and subcontractors as a means to develop a bidders list. The monitoring will only
take place if the bidders list information is required to be submitted as stipulated in the
special provisions.
The City of Lodi 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
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
City of Lodi Disadvantaged Business Enterprise Program
-8-
Civil Penalties rules) provided in §26.109. The City of Lodi 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 City of Lodi's Overall Annual Goal for the Federal Fiscal Year (FFY) 2205/2006 is
the following: 6% of the Federal financial assistance in DOT -assisted contracts. This
overall goal is broken down into 6% race -conscious and 0% race -neutral components.
Methodolo2
Proiecting Federal Assisted Contract Awards/Expenditures, 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.
STEP 1: Establishing a Base Figure
Once the City of Lodi defines its DOT -assisted contracting program and relevant market
areas for the fiscal year, the City of Lodi 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 2005/06, to determine the Base Figure of relative availability of
DBE's, the City of Lodi embraced a methodology, which included a calculation and an
analysis of the ratio of all available (ready, willing and able) established DBE firms as
compared to all available established firms within the City of Lodi's market area. This
was accomplished by utilizing the Caltrans on-line Bulletin Board System (BBS)
Directory of Certified Firms as its numerator and the 1998 U.S. Census Bureau County
Business Patterns (CBP) Database as its denominator. Comparisons were made by
corresponding zip codes within the City of Lodi's market area and by the following
specified industries:
Categories: Highway and Street Construction and Concrete Work
The City of Lodi further weighted the resultant figure based on the amount of DOT -
federal assistance the City of Lodi is projected to award and/or expend on various
industries in establishing the base figure.
City of Lodi Disadvantaged Business Enterprise Program
-9-
Please refer to Appendix D for the City of Lodi's Overall Annual Goal Analysis for FFY
2005/2006.
STEP 2: Adjusting the Base Figure
As a mandatory second step, the City of Lodi will survey other relevant market data to
consider adjusting the Base Figure established. Indicators that City of Lodi may
determine to be relevant to its market, may include, but not be limited to:
1. Demonstrated evidence of DBE capacity to perform work in the City of
Lodi's federally assisted and non -federally assisted 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 City of Lodi'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 City of Lodi to increase DBE participation in
federally assisted contracts.
6. The demographics and business activity of the geographical area in which the
City of Lodi will solicit bids or proposals.
7. The data from statistical disparities of DBE's to obtain financing, bonding and
insurance requirements.
8. The data on employment and self-employment, education and training
programs, to the extent the City of Lodi can relate it to the opportunities for
DBE's to perform in the City of Lodi's DBE Program.
Breakout of Estimated Race -Neutral and Race -Conscious Participation
The City of Lodi shall achieve the overall annual goals for DBE participation through a
combination of race -neutral goals and race -conscious measures including the use of
contract -specific goals as needed to meet its overall annual DBE goal.
Race -Neutral Measures
The City of Lodi intends to use race -neutral measures to the extent feasible to
achieve its overall annual goal. The City of Lodi will use the following measures
as appropriate to facilitate DBE and other small business participation in the City
of Lodi's contracting program:
(a) Configuring large contracts into smaller contracts when feasible,
which would make contracts more accessible to small businesses,
and would not impose significant additional cost, delay or risk to the
City of Lodi;
(b) Contractors will be encouraged to consider subcontractors for
components of the work for which there is a know supply of ready,
City of Lodi Disadvantaged Business Enterprise Program
-10-
willing and able subcontractors, including DBE subcontractors, in
preparing their bids;
(c) Assisting the 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 City of Lodi'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
DBE's and other small businesses.
Race- Conscious Measures Goals (Section 26.51)
The City of Lodi will annually consider various factors to project levels of DBE
participation to be met through 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 City of Lodi shall monitor and adjust the estimated
utilization of race -neutral and race -conscious measures as required in accordance
with regulatory guidelines.
Process
Starting with Federal Fiscal Year 2007, the City of Lodi 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. An exception to this will be if FTA or FAA
recipients are required by FTA or FAA to submit the annual information to them or a
designee by another date.
FHWA recipients will follow this process:
Once the DLAE has responded with preliminary comments and the comments have been
incorporated into the draft overall goal analysis, the City of Lodi will publish a notice of
the proposed overall goal, informing the public that the proposed goal and its rationale
are available for inspection during normal business hours at the City of Lodi's principal
office for 30 days from the date of the notice, and informing the public that the City of
Lodi 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 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 City of Lodi's responses and a determination on the impact the public comments has
on the overall goal, if any. This will be due by September 1 to the Caltrans DLAE. The
City of Lodi Disadvantaged Business Enterprise Program
-11-
DLAE will have a month to perform a final review enabling the City of Lodi to
implement the new overall annual goal by October 1 of each year.
XV. Contract Goals (§ 26.51)
The City of Lodi will use contract goals to meet any portion of the overall goal the City
of Lodi 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 those DOT -assisted contracts that have
subcontracting possibilities. Contract goals need not be established on every such
contract, and the size of the contract goals will be adapted to the circumstances of each
such contract (e.g., type and location of work, availability of DBE's to perform that
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 performed 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 a DOT -assisted contract.
XVI. Transit Vehicle Manufacturers (§ 26.49)
If DOT- assisted contracts will include transit vehicle procurements, the City of Lodi 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 City of Lodi will direct the transit
vehicle manufacturer to the subject requirements located on the Internet at
htlp://osbuweb.dot.goy/proarams/dbe/dbe.htm.
XVII. Good Faith Efforts (§ 26.53)
Information to be Submitted
The City of Lodi 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
bidders/offerors to submit the following information to: City of Lodi, P.O. Box 3006,
Lodi, CA 95241, 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;
City of Lodi Disadvantaged Business Enterprise Program
-12-
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 submits to meet a contract goal;
5. Written and signed confirmation from the DBE that is participating in the
contract as provided in the prime contractor's commitment; 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 been 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.
The following personnel 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: Ms. Rebecca Areida.
The City of Lodi 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/offereor is made.
Administrative Reconsideration
Within 10 days of being informed by the City of Lodi that it is not responsive because it
has not been documented sufficient good faith efforts, a bidder/offeror may request
administrative reconsideration. Bidder/ offerors should make this request in writing to the
following Reconsideration Official:
Blair King, City Manager
City of Lodi
P.O. Box 3006
Lodi, CA 95241
Telephone: (209) 333-6700
E -Mail: bkin lodi.zov
The Reconsideration Official will not have played any role in the original determination
that the bidder/offeror did not make/document sufficient good faith efforts.
As part of this reconsideration, the bidder/offeror will have the opportunity to provide
written documentation or argument concerning the issue of whether it met the goal or
made adequate good faith efforts to do so. The bidder/offeror will have the opportunity
to meet in person with the Reconsideration Official to discuss the issue of whether it met
the goal or made adequate good faith efforts to do so. The City of Lodi will send the
bidder/offeror a written decision on reconsideration, explaining the basis for the finding
that the bidder did or did not meet the goal or make adequate good faith efforts to do so.
City of Lodi Disadvantaged Business Enterprise Program
-13-
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 City of Lodi 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 goal. 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 City of Lodi'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 City of Lodi'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 termination for default proceeding.
XVIII. Counting DBE Participation (§ 26.55)
The City of Lodi 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 materials and supplies. See
Caltrans' Sample Boiler Plate Contract Documents previously mentioned. Also, refer to
XIII: "After Contract Award."
XIX. Certification (§ 26.83 (a))
The City of Lodi ensures that only DBE firms currently certified on the Caltrans'
directory will participate as DBE's in out program.
XX. Information Collecting and Reporting
Bidders List
The City of Lodi will create a bidders list, consisting of information 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
the firm and annual gross receipts of the firms.
The City of Lodi has incorporated a Bidders List form, identified as Appendix C, into the
City of Lodi's solicitation documents, which requires that bidders/offerors provide all
required information.
City of Lodi Disadvantaged Business Enterprise Program
-14-
Monitoring Payments to DBE's
Prime contractors are required to maintain records and documents of payments to DBE's
for three years following the performance of the contract. These records will be made
available for inspection upon request by any authorized representative of the City of
Lodi, Caltrans or FHWA. This reporting requirement also extends to any certified DBE
subcontractor.
Payments to DBE subcontractors will be reviewed by the City of Lodi 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 Caltrans
The City of Lodi will report final utilization of DBE participation to the DLAE using
Exhibit 17-F of the Caltrans LAPM.
Confidentiality
The City of Lodi will safeguard from disclosure to third parties information that may
reasonably be regarded as confidential business information, consistent with Federal,
State and local laws.
Date:
Blair King
City Manager
City of Lodi
This Disadvantaged Business Enterprise Program is accepted by:
Date:
Signature of DLAE
City of Lodi Disadvantaged Business Enterprise Program
-15-
APPENDIX A
APPENDIX A TO PART 26
GUIDANCE CONCERNING GOOD FAITH EFFORTS
I. When, as a recipient, you establish a contract goal on a DOT -assisted contract, a
bidder must, in order to be responsible and/or 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 for 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.
II. 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 whether 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 pro forma efforts are
not good faith efforts to meet the DBE contract requirements. We emphasize,
however, that your determination 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 and/or 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
City of Lodi Disadvantaged Business Enterprise Program
-16-
allow the DBEs to respond to the solicitation. The bidder must determine
with certainty if the DBEs are interested by taking appropriate steps to
follow up initial solicitations.
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. Not rejecting DBEs as being unqualified without sound reasons based on a
thorough investigation of their capabilities. The contractor's standing
within its industry, membership in specific groups, organizations, or
associations and political or social affiliations (for example union vs. non-
union employee status) are not legitimate causes for the rejection or
nonsolicitation 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.
City of Lodi Disadvantaged Business Enterprise Program
-17-
G. Making efforts to assist interested DBEs in obtaining necessary
equipment, supplies, materials, or related assistance or services.
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.
City of Lodi Disadvantaged Business Enterprise Program
-18-
APPENDIX B
CITY OF LODI
DBE PROGRAM
ORGANIZATIONAL CHART
City Manager
Reconsideration Official
Richard C. Prima, Jr. 11
Public Works Director 11
Rebecca Areida
DBE Liaison Officer
Resident Engineers/
Project Managers
Public Works Inspectors
Lyman Chang
Wes Fujitani
Jerry DeWalt
Tiffani Fink
Tom Hathaway
Mark Lindseth
Will McVicker
Gary Wiman
DBE Support Staff
DBE Support Staff
City of Lodi Disadvantaged Business Enterprise Program
-19-
APPENDIX C
CITY OF LODI
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 bid/proposal. The City of Lodi will use this information
to maintain and update a Bidders List to assist in the overall annual 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 part 26)
❑ Yes ❑ No
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 $15 Million
This form can be duplicated if necessary to report all bidders (DBE and non -DBE's) information.
City of Lodi Disadvantaged Business Enterprise Program
-20-
LODI TRANSIT SYSTEM
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
OVERALL ANNUAL DBE GOAL SETTING METHODOLOGY
FOR
FEDERAL FISCAL YEAR 2005/06
(Covering the period of October 1, 2005 through September 30, 2006)
I. DOT -ASSISTED CONTRACTING PROGRAM FOR FFY 2005/06
Table I serves to define Lodi Transit System's DOT -assisted (FTA) contracting program for FFY
2005/06 by contract type (i.e. Construction, Professional Services and respective federal dollar
amounts allocated). The fiscal year's contracting program includes three (3) DOT- (FTA) assisted
projects, which were assessed in preparing the Agency's Overall Annual DBE Goal -Setting
Analysis. All three (3) projects have viable subcontracting possibilities and are anticipated to be
awarded within the fiscal year 2005/06.
Table I
Table 2 provides a summary of work grouped into two primary categories: Construction and
Professional Services utilizing the CUCP 2002 North American Industry Classification System
(NAICS) work categories and comparable 2002 Census Business Patterns NAICS. Table 2 also
serves to identify the estimated Federal Dollar Share and the relative weighted percentage per
contract type, as follows:
Lodi Transit System
DBE Goal Analysis for FFY 2005/06
Page 2 of 6
Table 2
II. GOAL -METHODOLOGY
Step 1: Determination of a Base Figure (26.45)
To establish the Agency's Base Figure representing the relative availability of DBEs to all
comparable firms (DBEs and Non -DBEs) available to bid or propose on the Agency's federally
assisted contracts in FFY 2005/06, the Agency followed one of the five federally prescribed goal
setting methodologies. This was accomplished by accessing the California Unified Certification
Program (CUCP) Database of Certified Firms and the 2002 U.S. Census Bureau County
Business Patterns (CBP) Database. Comparisons were made by corresponding zip codes within
Lodi Transit System's market area (defined as San Joaquin, Calaveras, Stanislaus and Sacramento
Counties) and by the specified industries and types of businesses identified in Table 2. The
Agency's local market area represents where the substantial majority of the Agency's dollars are
expended and/or where the substantial majority of contractors and subcontractors' bids or quotes.
The Lodi Transit System made a concerted effort to ensure that the scope of businesses included
in the numerator was as close as possible to the scope included in the denominator.
* For the numerator. California UCP DBE Database of Certified Firms
* For the denominator: 2002 U.S. Census Bureau's Business Pattern Database (CBP)
To determine the relative availability of DBEs within the Lodi Transit System's market area, the
Agency divided the numerator representing the ratio of ready, willing and able DBE firms, by
the denominator representing all firms (DBEs and Non -DBEs) available for each of the work
categories. Application of this formula yielded the following baseline information:
Number of Ready, Willing, and Able DBEs = BASE FIGURE
Number of All Available Firms
(including DBEs and Non -DBEs)
Lodi Transit System
DBE Goal Analysis for IFFY 2005/06
Page 3 of 6
The Base Figure was further adjusted by weighting the relative availability of DBEs grouped
within the major work categories, giving more weight to the work categories/industries in which
the Agency projects to spend more DOT- (FTA) assisted dollars. The Base Figure resulting from
this weighted calculation is as follows:
Step I. Base Figure: (weighted by type of work to be performed and corresponding
contracting dollars)
Construction Professional Services
Base Figure = 87% BEs in 237310* 13% (DBEs in 237990*
gu (D )
CBPs in NAICS 234110** + CBPs in NAICS 234990**
Base Figure= 87 �) + 13 377,)
2913 503
Base Figure = I .87(.0611 )]
7(.0611)1 + C 13(.0736) 1
3(.0736)1
Base Figure = C05321 + 100961
Base Figure = C0.0627 1
Base Figure = (.0627) 100 = 6.27 = 6%***
* For all additional NAICS Codes from the California Unified DBE Directory, refer to Attachment I.
** For all additional NAICS Codes included in the analysis, refer to Attachment IT
*** Rounded to the nearest whole number.
Lodi Transit System
DBE Goal Analysis for FFY 2005/06
Page 4 of 6
Step 2: Adjusting the Base Figure
Upon establishing the Base Figure, Lodi Transit System reviewed and assessed other known
evidence potentially impacting the relative availability of DBEs within Lodi Transit System's
market area, accordance with prescribed narrow tailoring provisions set forth under Title 49 CFR
Part 26.45 Step II DBE Goal Adjustment guidelines.
Evidence considered in making an adjustment to the Base Figure included the Lodi Transit
System's Past DBE Goal Attainments on Similar Type Projects, Bidders List, Disparity Studies,
Other Agencies' DBE Goals and attainments within the Lodi Transit System's jurisdiction and
Other Evidence. A summary of these considerations follows:
A. Past DBE Goal Attainments on Similar Type Projects
While this is an important consideration in the overall goal setting analysis, Lodi Transit System
has no historical records of DBE attainment as this is the first year of FTA DOT -assisted
projects. Lodi Transit System will continue to capture such information and will utilize this data
in future goal -setting analysis.
B. Lodi Transit System's Bidders List
The Agency's Bidders List was considered in adjusting the base figure, however, the Agency's
data collection system does not provide for this type of assessment as this is the first year of
DOT -assisted projects. Accordingly, the Agency will not make an adjustment to the Step 1 Base
Figure based on the Bidders List. The Agency will automate its Bidders List and will capture
such information from all bidders at the time of bid/proposal submission and will utilize such
information in future goal -setting analysis.
C. Evidence from Disparity Studies
Lodi Transit System is not aware of any current disparity studies within Lodi Transit System's
jurisdiction and/or market area to consider in this step of the goal setting analysis.
D. Other Agencies DBE Goals
Lodi Transit System surveyed other DOT -recipients (local agencies) within its jurisdiction, with
similar contracting programs to assess their DBE goals and actual attainments toward making an
adjustment. Local agencies included in the survey were Stanislaus County and the City of Ripon.
Using the most current data available, the DBE Goal established for Stanislaus County (FFY
2005) was 7%, while the DBE Goal established for the City of Ripon (FFY 2005) was 5%. Since
the goal projections and attainments are in alignment with Lodi Transit System's Base Figure of
6%, no adjustment is recommended.
Lodi Transit System
DBE Goal Analysis for IFFY 2005/06
Page 5 of 6
E. Other Evidence
Lodi Transit System is not aware of any additional relevant data, including anecdotal evidence
over and above those factors considered that would sufficiently merit an adjustment to the Base
Figure at this time. However, the Agency will continue to explore and consider all available
evidence that could have a potential impact on the DBE goal setting process (i.e. relative
availability of DBEs within the Agency's market area in future goal setting analysis).
Overall Resultant Goal Adjustment
Based on Lodi Transit System's review and consideration of the above factors, particularly the
lack of historical DBE participation/attainment data, evidence considered does not merit an
adjustment to the Base Figure at this time.
III. OVERALL ANNUAL GOAL AND PROJECTION OF RACE -NEUTRAL AND
RACE -CONSCIOUS PARTICIPATION:
As there is no historical attainment data to determine Race -Neutral attainments, the Lodi Transit
System projects that the proposed Overall Annual DBE Goal for FFY 2005/06 of 6% will be
met utilizing Race -Conscious measures, including utilizing contract specific numeric goals, as
necessary to achieve the overall goal and 0% will be achieved utilizing Race -Neutral Measures.
However, in accordance with Title 49 CFR Part 26.5 1, the Agency will continue to prioritize the
use of race -neutral measures to the extent feasible to meet its overall annual DBE goal including:
arranging timely solicitations, times for the presentation of bids, quantities, specifications, and
delivery schedules in ways that facilitate DBE, and other small business participation and by
requiring or encouraging prime contractors to subcontract portions of work that they might
otherwise perform with their own forces. The application of race -conscious goals on the Agency's
DOT -assisted contracts will continue to be used only to the extent necessary to achieve the
Agency's approved DBE overall annual goal. Should the initial contract's actual DBE
commitments exceed projections, adjustments will be made accordingly.
Lodi Transit System
DBE Goal Analysis for IFFY 2005/06
Page 6 of 6
IV. PUBLIC PARTICIPATION AND FACILITATION
In accordance with Public Participation Regulatory Requirements of 49 CFR Part, minority,
women, local business chambers, and community organizations within Lodi Transit System's
market area will be provided an opportunity to review this goal analysis. The Agency will prepare
an Outreach Consultation Letter advising the aforementioned business community of the
proposed DBE goal analysis and availability for review.
Lodi Transit System will also issue a Public Notice in general circulation media and in at least
one other minority focused media publishing the Agency's proposed Overall Annual Goal for
FFY 2005/06 DOT -assisted contracts. Such Notice will inform the public that the proposed goal
and its rationale is available for inspection at Lodi Transit System's offices (from 8:30 a.m. to
4:00 p.m., Pacific Standard Time, Monday through Friday) for 30 days following the date of the
Public Notice and that Lodi Transit System will accept comments on the goal analysis for 45 days
from the date of the Public Notice. The required public participation provisions will be fully
satisfied prior to submitting the Lodi Transit System's Overall Annual DBE Goal to the Federal
Transit Administration for final review and approval.
ATTACHMENT I
CITY OF LODI
DBE OVERALL ANNUAL GOAL ANALYSIS FOR FFY2005/2006
# OF ESTABLISHED DBE FIRMS BY WORK CATEGORY WITHIN THE CITY OF LODI'S
MARKET AREA ( DEFINED AS SAN JOAQUIN, CALAVERAS, STANISLAUS AND
SACRAMENTO COUNTIES 1 )
CONSTRUCTION:
BY CORRESPONDING ZIP CODES
COUNTY
BUSINESS
PATTERNS
USING 00
NAICS 2002 NAICS NAICS DESCRIPTION
942 952 953 956 957 958 TOTAL
Highway, Street and Bridge
237310
234110
Construction
0
0
8
16
5
9
38
Other Heavy and Civil Engineering
237990
237990
Construction
0
1
1
1
2
1
6
Poured Concrete Foundation and
238110
235710
Structure Contractors
0
1
5
6
6
4
22
238140
235410
Masonry Contractors
0
0
1
2
0
0
3
238160
235610
Roofing Contractors
0
1
1
1
0
0
3
238210
235310
Electrical Contractors
0
0
3
2
1
0
6
Painting and Wall Covering
238320
235210
Contractors
0
1
0
2
0
2
5
All Other Specialty Trade
238990
235710
Contractors
0
6
7
26
10
13
62
Asphalt Paving, Roofing, and
324121
324121
Saturated Materials Manufacturing
0
0
2
0
0
0
2
Brick and Structural Clay Tile
327121
327121
Manufacturing
0
0
0
0
0
0
0
327332
327332
Concrete Pipe Manufacturing
0
1
0
0
1
1
3
Fabricated Structural Metal
332312
332312
Manufacturing
0
0
1
0
0
0
1
334290
334290
Other Communications Equipment
0
0
0
0
0
0
0
335999
335999
All Other Miscellaneous Electrical
0
0
0
1
0
1
2
484110
484110
General Freight Trucking, Local
0
3
7
5
0
2
17
Specialized Freight (except Used
484220
484220
Goods) Trucking, Local
0
1
0
1
0
1
3
561730
561730
Landscaping Services
0
0
0
1
0
2
3
561990
561990
All Other Support Services
01
0
0
0
1
2
•
•
�=
0
16
36
1 64
1 25
37
1 178
PROFESSIONAL SERVICES:
ATTACHMENT
DATA SOURCE: California UCP DBE Database of Certified Firms.
CITY OF LODI DBE OVERALL ANNUAL GOAL ANALYSIS FOR FFY2005/06 ATTACHMENT II
# OF ALL ESTABLISHED FIRMS (DBEs and Non DBEs) BY WORK CATEGORY WITHIN THE CITY OF LODI'S
MARKET AREA (DEFINED AS SAN JOAQUIN, CALAVERAS, STANISLAUS AND SACRAMENTO COUNTIES)
CONSTRUCTION:
Major
Category:
NAICS CODE NAICS DESCRIPTION
234110 Highway, Street and Bridge Construction
San Joaquin
19
Calaveras
6
Stanislaus
17
Sacramento
34
Total
76
237990 Other Heavy and Civil Engineering Construction
0
0
0
0
0
235710 Poured Concrete Foundation and Structure Contractors
65
6
65
131
267
235410 Masonry Contractors
14
5
17
44
80
235610 Roofing Contractors
59
8
44
153
264
235310 Electrical Contractors
97
12
73
228
410
235210 Painting and Wall Covering Contractors
81
14
69
202
366
235710 All Other Specialty Trade Contractors
65
6
65
131
267
Asphalt Paving, Roofing, and Saturated Materials
324121 Manufacturing
4
0
65
4
73
327121 Brick and Structural Clay Tile Manufacturing
0
0
0
1
1
327332 Concrete Pipe Manufacturing
2
0
2
2
6
332312 Fabricated Structural Metal Manufacturing
10
0
7
9
26
334290 Other Communications Equipment
0
1
0
2
3
335999 All Other Miscellaneous Electrical
1
0
0
0
1
484110 General Freight Trucking, Local
87
1
46
61
195
484220 Specialized Freight (except Used Goods) Trucking, Local
98
7
75
76
256
561730 Landscaping Services
120
14
101
279
514
561990 All Other Support Services
19
2
16
71
108
• •
741
82
662
1428
2913
PROFESSIONAL SERVICES:
ATTA¢HMENT II
ry: 23411: Highway & Street Construction San Joaquin I Calaveras I Stanislaus I Sacramento II Total
NAICS CODE I NAICS DESCRIPTION
541330 Engineering Services 53 8 49 255 365
541310 Architectural Design Services 19 3 18 98 138
• • 72 11 67 353 503
1: DATA SOURCE: 2001 U.S. Census Bureau: County Business Patterns, NAICS Work Category Codes.
RESOLUTION NO. 2005-259
A RESOLUTION OF THE LODI CITY COUNCIL APPROVING THE
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
AND ADOPTING THE ESTABLISHED OVERALL ANNUAL DBE
GOAL OF 6% FOR FEDERAL TRANSIT ADMINISTRATION -
ASSISTED PROJECTS FOR FEDERAL FISCAL YEAR 2005-06
WHEREAS, the City of Lodi is required to develop and submit an Overall Annual Goal
for Disadvantaged Business Enterprise (DBE) participation for U. S. Department of
Transportation (DOT) -assisted contracts as a condition of federal financial assistance, pursuant
to revised regulations set forth under Title 49 CFR Part 26; Participation by Disadvantaged
Business Enterprises in Department of Transportation Programs; and
WHEREAS, in accordance with DBE regulations, the City of Lodi has established an
Overall Annual DBE Goal for federal fiscal year 2005-06 for Federal Transit Administration
(FTA) -assisted projects to ensure full compliance with relevant regulatory requirements; and
WHEREAS, the City of Lodi has established a goal of 6% for DOT -assisted projects for
federal fiscal year 2005-06; and
WHEREAS, City Council adoption is required to ensure compliance with DOT's federal
funding requirements, provisions, and financial responsibilities.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby approve
the DBE Program and adopt the Established Overall Annual DBE Goal of 6% for FTA -assisted
projects for federal fiscal year 2005-06 and submission to the California Department of
Transportation for funding authority approval on behalf of the City of Lodi.
Dated: December 21, 2005
I hereby certify that Resolution No. 2005-259 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held December 21, 2005, by the following vote:
AYES: COUNCIL MEMBERS — Beckman, Hansen, Johnson, Mounce,
and Mayor Hitchcock
NOES: COUNCIL MEMBERS -- None
ABSENT: COUNCIL MEMBERS — None
ABSTAIN: COUNCIL MEMBERS — None
SUSAN J. BLACKSTON
City Clerk
2005-259