Resolution Number 01-09-18-01RESOLUTION NO. 01-09-18-01
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SAN JUAN CAPISTRANO, CALIFORNIA, TO UPDATE THE
CITY DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM FOR FISCAL YEAR 2001/2002.
WHEREAS, the City of San Juan Capistrano does periodically apply for
Federal Program funding; and,
WHEREAS, on the 6T" day of February 2001, the City of San Juan
Capistrano approved the implementation of a City Disadvantaged Business Program by
Resolution 01-02-06-02; and,
WHEREAS, such program now is required to be updated; and,
WHEREAS, the City of San Juan Capistrano is required to establish a City
Disadvantaged Business Enterprise (DBE) Program prior to authorization of work for
projects which require contracting.
WHEREAS, the City of San Juan Capistrano adopts 12% as its annual
goal for Fiscal Year 2001/2002; and,
WHEREAS, Attachment "A" to this resolution provides the supportive
information in determining the City of San Juan Capistrano's DBE goal; and,
WHEREAS, the City of San Juan Capistrano's DBE program goals were
duly noticed in the Capistrano Valley News, and the Los Angeles Times.
NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City
of San Juan Capistrano, does hereby update the City Disadvantaged Business
Enterprise (DBE) Program for Fiscal Year 2001/2002.
2001.
ATTEST:
PASSED, APPROVED, AND ADOPTED this 18`h day of September,
WY*AHART, O.
E`RK .
M R ARET R. MONAHAN, CITY CLERK
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO )
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano,
do hereby certify that the foregoing Resolution No. 01-09-18-01 was duly adopted by
the City Council of the City of San Juan Capistrano at a regular meeting thereof, held
the 18th day of September 2001, by the following vote:
AYES: COUNCIL MEMBERS
NOES COUNCIL MEMBERS
ABSTAIN: COUNCIL MEMBERS
�-
ET R. MONAHAN, Cit
lerk
Bathgate, Campbell, Gelff, Swerdlin and Mayor
Hart
None
None
ATTACHMENT"A"
Local Assistance Procedures I .ual EXHIBIT 9-A
Model DBE Program for Local Agencies
DISADVANTAGED BUSINESS
ENTERPRISE (DBE)
PROGRAM
FOR CITY OF
SAN JUAN CAPISTRANO
FOR FFY 2001/2002
This Program is in accordance with Title 49 of the Code of Federal Regulations Part 26.
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MODEL DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
City of San Juan Capistrano
I Definitions of Terms
The terms used in this program have the meanings defined in 49 CFR §26.5.
II Objectives /Policy Statement (§§26.1, 26.23)
The City of San Juan Capistrano has established a Disadvantaged Business Enterprise (DBE) program in
accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The City
of San Juan Capistrano has received federal financial assistance from the DOT, and as a condition of
receiving this assistance, the City of San Juan Capistrano will sign an assurance that it will comply with
49 CFR Part 26.
It is the policy of the City of San Juan Capistrano to ensure that DBEs, as defined in part 26, have an
equal opportunity to receive and participate in DOT -assisted contracts. It is also our policy:
To ensure nondiscrimination in the award and administration of DOT -assisted contracts;
To 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 law;
To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to
participate as DBEs;
To help remove barriers to the participation of DBEs in DOT -assisted contracts; and
To assist the development of firms that can compete successfully in the market place outside the
DBE Program.
Mr. Bill Huber, Director of Engineering has been delegated as the DBE Liaison Officer. In that capacity,
Mr. Huber 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 San Juan Capistrano in its financial assistance agreements with the California Department of
Transportation (Caltrans).
City of San Juan Capistrano has disseminated this policy statement to the City Council and all the
components of our organization. We have distributed this statement to DBE and non -DBE business
communities that perform work for us on DOT -assisted contracts.
III Nondiscrimination (§26.7)
City of San Juan Capistrano will never exclude any person from participation in, deny any person the
benefits of, or otherwise discriminate against anyone in connection with the award and performance of
any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin.
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In administering its DBE program, the City of San Juan Capistrano 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)
City of San Juan Capistrano will continue to carry out this program until the City of San Juan Capistrano
has established a new goal setting methodology or until significant changes to this DBE Program are
adopted. City of San Juan Capistrano will provide to Caltrans a proposed overall goal and goal setting
methodology and other program updates by June 1 of every year.
V Quotas (§26.43)
City of San Juan Capistrano will not use quotas or set asides in any way in the administration of this
DBE program.
VI DBE Liaison Officer (DBELO) (§26.25)
City of San Juan Capistrano has designated the following individual as the DBE Liaison Officer: Mr.
Bill Huber, Director of Engineering, City of San Juan Capistrano 32400 Paseo Adelanto San Juan
Capistrano, CA, 92675 (949)493-1171 bhuber@sanjuancapistrano.org. In that capacity, Mr. Huber is
-- responsible for implementing all aspects of the DBE program and ensuring that the City of San Juan
Capistrano complies with all provisions of 49 CFR Part 26. This is available on the Internet at
osdbuweb.dot.gov/main.cfm. Mr. Huber has direct, independent access to Mr. George Scarborough, City
Manager concerning DBE program matters. The DBELO has a staff of 2 professional employees
assigned to the DBE program on a full-time basis and one support personnel who devotes a potion of
their time to the program. An organization chart displaying the DBELO's position in the organization is
found in Attachment A to this program.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination 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.
4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner.
5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race -
neutral methods and contract specific goals) and monitors results.
6. Analyzes City of San Juan Capistrano's progress toward goal attainment and identifies ways to
improve progress.
7. Participates in pre-bid meetings.
8. Advises the CEO/goveming body on DBE matters and achievement.
9. Chairs the DBE Advisory Committee.
10. Participates with the legal counsel and project director to determine contractor compliance with good
faith efforts.
11. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance.
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12. Plans and participates in DBE training seminars.
13. Provides outreach to DBEs and community organizations to advise them of opportunities.
VII Federal Financial Assistance Agreement Assurance (§26.13)
City of San Juan Capistrano 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 recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and
per'-)nnance of any DOT -assisted contract or in the administration of its DBE Program or the
requirements of 49 CFR part 26. The recipient 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 recipient'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 recipient 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.).
VIII DBE Financial Institutions
It is the policy of the City of San Juan Capistrano 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 Directory (§26.31)
City of San Juan Capistrano will refer interested persons to the DBE directory available from the
Caltrans Disadvantaged Business Enterprise Program website at www.dot.ca.gov/hq/bep.
X Overconcentration (§26.33)
City of San Juan Capistrano has not identified any types of work in DOT -assisted contracts that have a
overconcentration of DBE participation. If in the future City of San Juan Capistrano identifies the need
to address overconcentration, measures for addressing overconcentration will be submitted to the DLAE
for approval.
XI Business Development Programs (§26.35)
City of San Juan Capistrano does not have a business development or mentor -protege program. If the
City of San Juan Capistrano identifies the need for 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.
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XII Required Contract Clauses (§§26.13, 26.29)
Contract Assurance
City of San Juan Capistrano 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 rack, 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.
Proml)t Payment
City of San Juan Capistrano ensures that the following clauses or equivalent will be included in each
DOT -assisted prime contract:
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 City of San Juan Capistrano. 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 San Juan
Capistrano. This clause applies to both DBE and non -DBE subcontractors
Release of Retainage
The 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 City of
San Juan Capistrano. This clause applies to both DBE and non -DBE subcontractors.
XIII Monitoring and Enforcement Mechanisms (§26.37)
The City of San Juan Capistrano 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 San Juan Capistrano 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.
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Preconstruction Conference
A preconstruction conference will be scheduled between the RE and the contractor or their
representative to discuss the work each DBE subcontractor will perform.
Before work can begin on a subcontract, the local agency will require the contractor to submit a
completed "Subcontracting Request," Exhibit 16-B of the LAPM or equivalent. When the RE receives
the completed form it will be checked for agreement of the first tier subcontractors and DBEs. 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. The
"Subcontracting Request" will not be approved until any 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 "Local Agency Bidder DBE Information" will be
compared to those listed in the completed Exhibit 16-I of the 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. The 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 Exhibit 17-F, "Final Report Utilization of Disadvantaged
Business Enterprises, First Tier Subcontractors" 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 to the 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.
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,.iodel DBE Program for Local Agencies
If the contract requires the submittal of a monthly truck 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.
Providing evidence of DBE payment is the responsibility of the contractor.
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 reason for the request is explained. If
the RE/Contract+Aanager agrees to the substitution, 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.
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 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
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 the form "Final Report -Utilization of
Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors" (Exhibit 17-F) and will be
submitted to the DLAE attached to the Report of Expenditures. The RE will compare the completed
"Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors" form
to the contractor's completed "Local Agency Bidder -DBE -Information" (Exhibit 15-G) and, if
applicable, to the completed "Subcontracting Request" (Exhibit 16-13). The DBEs shown on the
completed "Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier
Subcontractors" form 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 subcontractors, the work items or dollar figures are different from what was
originally shown on the completed "Local Agency Bidder -DBE -Information" form when:
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• There have been no changes made by the RE.
• The contractor has not provided a sufficient explanation in the comments section of the completed
"Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors"
form.
The explanation will be attached to the completed "Final Report -Utilization of Disadvantaged Business
Enterprises (DBE), First -Tier Subcontractors" form for submittal. The RE will file this in the project
records.
The local agency's Liaison Officer will keep track of the DBE certification status on the Internet at
www.dot.ca.gov/hq/bep 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 the City of San Juan Capistrano's commitment to
require bidders list information to be submitted to the City of San Juan Capistrano 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.
City of San Juan Capistrano 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 §26.109.
City of San Juan Capistrano also will consider similar action under our own legal authorities, including
responsibility determinations in future contracts.
XIV Overall Goals (§26.45)
Amount of Goal
City of San Juan Capistrano's overall goal for the federal fiscal year FY 2001/2002 is the following:
12% race -conscious and 0% race -neutral components.
Methodoloev
Before working on this section, refer to the two step process and choice of methods in Section 9.4 of this
Chapter in the LAPM.
Breakout of Estimated Race -Neutral and Race -Conscious Participation
Before working on this section, refer to race -neutral and race -conscious in Section 9.4 of this Chapter in
the LAPM.
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Process
Starting with the federal fiscal year 2002, the amount of overall goal, the method to calculate the goal,
and the breakout of estimated race -neutral and race -conscious participation will be required annually by
June 1 in advance of the federal fiscal year beginning Octobez 1 for DOT -assisted contracts. Submittals
will be to the Caltrans' DLAE. 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 ^nd the comments have been incorporated
into the draft overall goal information, the City of San Juan Capistrano 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 San Juan Capistrano's principal office for 30 days
following the date of the notice, and informing the public that comments will be accepted on the goals
for 45 days following the date of the notice. The notice must be published in general circulation media
and available minority -focused media and trade association publications. The notice will include
addresses to which comments may be sent and addresses (including offices and websites) where the
proposal may be reviewed.
The overall goal resubmission to the Caltrans DLAE, will include a summary of information and
comments received during this public participation process and City of San Juan Capistrano's responses.
This will be due by September 1 to the Caltrans DLAE. The DLAE will have a month to make a final
review so the City of San Juan Capistrano may begin using the overall goal on October 1 of each year.
If there is a design build please refer to Appendix B of this Model DBE Program.
XV Contract Goals (§26.51)
City of San Juan Capistrano will use contract goals to meet any portion of the overall goal City of San
Juan Capistrano 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 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
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.
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XVI Transit Vehicle Manufacturers (§26.49)
If DOT -assisted contracts will include transit vehicle procurements, City of San Juan Capistrano 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. City of San Juan Capistrano will direct the transit vehicle manufacturer to the subject requirements
located on the Internet at httn://osdbuweb,dot.Vov/programs/dbe/dbe,htm.
XVII Good Faith Efforts (§26.53)
Information to be Submitted
City of San Juan Capistrano 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 San Juan Capistrano 32400 Paseo Adelanto San Juan
Capistrano, CA 92675 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 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 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 are 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: Mr. Bill Huber,
Director of Engineering, City of San Juan Capistrano, 32400 Paseo Adelanto, San Juan Capistrano, CA
92675, (949) 493-1171, bhuber@sanjuancapistrano.org.
City of San Juan Capistrano 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.
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Administrative Reconsideration
Within 10 days of being informed by City of San Juan Capistrano that it is not responsive because it has
not 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 Mr. Bill Huber, Director of Engineering, City of San Juan Capistrano, 32400 Paseo Adelanto,
San Juan Capistrano, CA 92675 (949) 493-1171, bhuber@sanjuancapistrano.org. 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 San Juan Capistrano will send the bidder/offeror a written decision on reconsideration,
explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith
efforts to do so. The result of the reconsideration process is not administratively appealable to Caltrans,
FHWA or the DOT.
Good Faith Efforts when a DBE is Replaced on a Contract
City of San Juan Capistrano 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 City of San Juan Capistrano 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, City of San Juan
Capistrano 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)
City of San Juan Capistrano 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 the Caltrans' Sample Boiler Plate Contract
Documents. Also, refer to XIII. "After Contract Award."
XIX Certification (§26.83(a))
City of San Juan Capistrano ensures that only DBE £inns currently certified on the Caltrans' directory
will participate as DBEs in our program.
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XX Information Collection and Reporting
Bidders List
The City of San Juan Capistrano will create and maintain 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, and annual gross receipts of firms.
Monitoring Payments to DBEs
Prime contractors are required to maintain records and documents of payments to DBEs for three years
following the performance of the contract. These records will be made available for inspection upon
request by any authorized representative of the City of San Juan Capistrano, Caltrans, FHWA, or DOT.
This reporting requirement also extends to any certified DBE subcontractor.
Payments to DBE subcontractors will be reviewed by the City of San Juan Capistrano 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
City of San Juan Capistrano - Final utilization of DBE participation will be reported to the DLAE using
Exhibit 17-F of the Caltrans' LAPM.
Confidentiality
City of San Juan Capistrano will safeguard from disclosure to third parties information that may
r�onably b� uegarded as confidential business information, consistent with federal, state, and local
Manager Date: -I 1
This Disadvantaged Business Enterprises Program is accepted by:
Alan Williams, DLAE — District 12 Date:
Page 9-38
March 15, 2001 LPP O1-04
Local Assistance Procedures N aal
EXHIBIT 9-A
Model DBE Program for Local Agencies
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, coula .easonably 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
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.
Page 9-39
LPP 01-04 March 15, 2001
EXHIBIT 9-A
Model DBE Program for Local Agencies
Loc ssistance Procedures Manual
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. Howev--, 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 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.
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.
Page 9-40
March 15, 2001 LPP 01-04
Local Assistance Procedures D aal EXHIBIT 9-A
Model DBE Program for Local Agencies
APPENDIX B
TO BE USED FOR DESIGN -BUILD CONTRACTS
The following are hereby incorporated into the Agency's Disadvantaged Business Enterprise (DBE)
Program:
II Objectives /Policy Statement (§§26.1, 26.23)
At the end of the first paragraph, add the following:
The Agency recognizes that certain modifications are necessary to adapt the program
for use in connection with design -build contracts, and has therefore established certain procedures
applicable to design -build DBE contracts under the DBE Program. Public Contract Code Section
4109 requires subcontractors to be identified by the prime contractor for the subletting or
subcontracting of any portion of the work in excess of one-half of 1 percent of the prime contractor's
total bid. Exceptions are only in the cases of public emergency or necessity, and then only after a
finding reduced to writing as a public record of the awarding authority setting forth the facts
constituting the emergency or necessity. The written public record of the awarding
authority/Agency as to either emergency or necessity is attached hereto (See Appendix C for sample).
XIII Monitoring and Enforcement Mechanisms (§26.37)
At the end of the first paragraph below "After Contract Award", add the following paragraph:
After Design -Build Contract Award
As described in the Section entitled "GOOD FAITH EFFORTS" below, each proposer for an Agency
design -build contract will be required to submit a DBE Performance Plan as part of a responsive
proposal. Following award of a design -build contract and during both the design and construction
portions of the project, the design -build contractor will be required to submit documentation, in the
form of progress reports described below, to show that the design -build contractor is meeting the
contract goal for the project, or if the goal is not being met, the design -build contractor must submit
satisfactory evidence that it has made good faith efforts, in accordance with that Section, to meet the
goal. Evidence of good faith efforts, as described in 49 CFR Part 26 Section 26.5349 and Appendix
A, will be monitored by the Agency throughout the duration of the design -build project.
At the end of the first paragraph below "Preconstruction Conference", add the following
sentence:
The contractor will promptly provide the Agency with the information required by the
form entitled "Local Agency DBE Information" upon selection of any DBE or other subcontractor
not previously identified by the design -build contractor. During the course of the contract,
differences must be explained and resolved by either making corrections or requesting a substitution.
Page 9-41
LPP 01-04 March 15, 2001
EXHIBIT 9-A Loc .ssistance Procedures Manual
Model DBE Program for Local Agencies
At the end of the fourth paragraph below "Construction Contract Monitoring", add the following
paragraph: —
The contractor will provide DBE Progress Reports to the Agency with each invoice and
will provide an annual report on or before August I of each year of the design -build contract. Each
report must also include a narrative summary stating whether the contractor is on target with respect
to the DBE goal set forth in the design -build contract, whether the goal has been exceeded (stating
the amount of the excess), or whether the contractor is behind target (stating the amount of the
deficit).
XVII Good Faith Efforts (§26.53)
At the end of the third paragraph below "Information to be Submitted", add the following items:
7. A DBE Performance Plan containing a detailed description of the design -build
contractor's planned methodology for achieving the DBE goal stated in the contract,
including a description of the good faith efforts the design -build contractor intends to
undertake to achieve that goal.
8. A design -build proposal must also include an affidavit that the proposer will either
attain the DBE goals for the design -build contract or will exercise good faith efforts to
do so.
At the end of the first paragraph below 'Demonstration of Good Faith Efforts", add the
following sentence:
. If it is a design -build contract, each contractor proposing will be required to submit a
DBE Performance Plan as part of a responsive proposal and good faith efforts.
[Signature of Local Agency Recipient's Chief Executive Officer] Date:
This Disadvantaged Business Enterprise Program for design -build contracts is accepted by:
[Signature of DLAE]
Page 9-42
March 15, 2001
Date:
LPP O1-04
Local Assistance Procedures N. aal - EXHIBIT 9-A
Model DBE Program for Local Agencies
- APPENDIX C
RESOLUTION OF THE ( Agency Name) REGARDING NECESSITY
OR EMERGENCY FOR SUBSEQUENT SUBCONTRACTOR
IDENTIFICATION AND SELECTION FOR DESIGN -BUILD CONTRACTS
(REQUIRED BY PUBLIC CONTRACT CODE SECTION 4109
ENTITLED "Public Emergency Grounds For Change")
A. EXPLANATION OF PUBLIC NECESSITY OR EMERGENCY:
B. FACTS CONSTITUTING THE PUBLIC NECESSITY OR EMERGENCY:
C. FINDINGS:
D. RESOLUTION FOR SUBSEQUENT IDENTIFICATION OF
SUBCONTRACTORS:
E. ADOPTION OF PROCEDURE TO BE USED BY DESIGN -BUILD
CONTRACTOR FOR SUBSEQUENT IDENTIFICATION OF SUBCONTRACTORS:
F. CERTIFICATE OF SECRETARY
1. MOTION MADE AND DATE
2. VOTING RESULTS
3. SIGNATURES:
(a) (Secretary)
(b) (Chairperson)
Page 9-43
LPP O1-04 March 15, 2001
EXHIBIT 9-A Lo assistance Procedures Manual
Model DBE Program for Local Agencies Procedures
(Agency Letterhead)
ANNUAL OVERALL GOAL INFORMATION
TO: CALTRANS DISTRICT 12
District Local Assistance Engineer
The amount of overall goal, methodology, breakout of estimated race -neutral and race -conscious participation,
and any DBE program updates are presented herein in accordance with Title 49 of the Code of Federal
Regulations Part 26, and as described in the Local Assistance Procedures Manual, latest edition.
The City of San Juan Capistrano submits our annual overall goal information (and any needed updates of our
DBE program) for your review and comment. We propose an annual overall DBE goal of 12% for the Federal
Fiscal Year (FFY) 2001/2002, beginning on October 1, 2001 and ending on September 30, 2002.
CITY OF SAN JUAN CAPISTRANO
OVERALL ANNUAL DBE GOAL AND METHODOLOGY
The City of San Juan Capistrano established a goal of 12% for FFY 2000/2001. This goal was approved by
Caltrans.
1. DOT — ASSISTED CONTRACTING PROGRAM FOR FEDERAL FISCAL YEAR 2001/2002
The following represents the City of San Juan Capistrano's projected FHWA funded contracts and
expenditures by Caltrans Work Category Code (WCC) and corresponding 1999 North American
Classification System: United States (NAICS) for Federal Fiscal Year (FFY) 2001/2002.
2. GOAL METHODOLOGY
Step 1: Determination of a Base Figure
To establish the City of San Juan Capistrano's base figure of the relative availability of DBEs in relation to
all comparable firms available for the City of San Juan Capistrano's FFY 2001/2002 DOT -assisted
Page 9-44
March 15, 2001 LPP 01-04
ESTIMATED FEDERAL
% OF FEDERAL
WORK CATEGORY
NAICS CATEGORY
DOLLAR VALUE
FUNDING BY
WORK CATEGORY
Highway & Street
2341
$2,833,400
100%
Construction
TOTAL
$2,833,400
100%
2. GOAL METHODOLOGY
Step 1: Determination of a Base Figure
To establish the City of San Juan Capistrano's base figure of the relative availability of DBEs in relation to
all comparable firms available for the City of San Juan Capistrano's FFY 2001/2002 DOT -assisted
Page 9-44
March 15, 2001 LPP 01-04
EXHIBIT 9-A Local Assistance Procedures Manual
Model DBE Program for Local Agencies
contracting program, the City of San Juan Capistrano has elected to utilize Caltrans DBE Directory of
certified firms (filtered to represent only DBE firms within the City of San Juan Capistrano's relevant market
area for calculating the numerator) and the Orange County Census Bureau Data within the same geographical
market area to calculate the denominator, as follows:
➢ For the Numerator: Caltrans' DBE 0 -rectory
➢ For the Denominator: Census Bureau's Business Pattern Database (CBP)
To derive at the relative availability of DBEs the number of DBEs available in Caltrans' DBE Directory was
divided by the number of all comparable CBP firms' available. Application of this formula yielded the
following baseline information:
Number of Ready, Willing and Able DBEs
Number of All Ready, Willing and Able Firms —Base Figure
The base figure resulting from this calculation is as follows:
Numerator
The Caltrans DBE Directory for all Area Codes 714 and 949 indicates the following DBE Contractors ready,
willing and able to perform work in applicable Caltrans Work Category Codes:
WCC #C0700
WCC #C 1201
WCC #C 1901
WCC #C1910
WCC #C2000
WCC #C2700
WCC #C3901
WCC #C3910
WCC #C4010
WCC #C5620
WCC #C5105
WCC #07301
WCC #C8406
WCC #C8602
WCC #C9774
Denominator
Construction Staking.........................................................4
3
Traffic Control Systems....................................................2
4
Roadway Excavation.......................................................
10
Grading..............................................................................
3
HighwayPlanting..............................................................
6
Cement Treated Base ........................................................
1
Asphalt Concrete...............................................................
3
PavingAsphalt..................................................................
4
Portland Cement & Concrete Pavement ............................
5
RoadsideSign....................................................................0
Minor Concrete Structure ..................................................
8
Concrete Curb & Sidewalk ...............................................
3
Paint Traffic Stripe & Marking .........................................
2
Signal & Lighting..............................................................
2
Trucker.........................................................................
5
TOTAL =58
The 1999 US Census Bureau NAICS County Business Patterns for Orange County in California indicates
the following Highway and Street Contractors:
NAICS #2314 — Highway and Street Construction.................................................... 76
TOTAL = 76
Page 9-45
LPP 01-04 March 15, 2001
EXHIBIT 9-A Lot 4ssistance Procedures Manual
Model DBE Program for Local Agencies Procedures
Calculating Base Figure
Base Figure =1.00
Base Figure =1.00 {
Base Figure =.763
Step 2: Adjusting the Base Figure
DBEs in NAICS 2314 l
CBPs in NAICS 2314 )
58 }76
Upon establishing the base figure, the City of San Juan Capistrano reviewed and assessed other known relevant
evidence to determine what additional adjustments, if any, were needed to narrowly tailor the Base Figure to City
of San Juan Capistrano's marketplace. Factors considered in determining the City of San Juan Capistrano's DBE
participation that can be expected, absent discrimination, included in the following:
A. Current Capacity of DBEs Measure by Actual Attainments
The City of San Juan Capistrano adopted the City of Laguna Niguel's Approved Overall Annual DBE Goal of
12% in Federal Fiscal Year 2000/2001. This was a result of the City of San Juan Capistrano not having a recent
history of DBE utilizations on DOT assisted contracting.
The City of San Juan Capistrano does not have a DOT -assisted contract in FFY 2000/2001.
In developing the numerator for the bare figure, it was discovered that DBE firms identify themselves as ready,
willing, and able to perform work in multiple Work Category Codes (WCC) in the Caltrans DBE Directory. This
action creates an erroneous numerator and thereby an inflated base figure.
The City of San Juan Capistrano noted this disparity to Caltrans HQ and District 12 staff during the
development of the City's Base Figure in FFY 2000/2001. The City further noted that the US Census
Bureau data provides one entry per firm.
B. City of San Juan Capistrano's Bidders List
The City of San Juan Capistrano has not collected sufficient data to date to merit consideration for an adjustment.
However, the City of San Juan Capistrano will continue to capture such information from bidders at the time of
bid/proposal submission and will utilize such information in future goal -setting analysis.
C. Evidence from Disparity Studies
The City of San Juan Capistrano is not aware of any current disparity studies within the City of San Juan
Capistrano's jurisdiction for consideration in the goal setting analysis and/or adjustment.
Page 9-46
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EXHIBIT 9-A Local Assistance Procedures Manual
Model DBE Program for Local Agencies
D. Other Agencies DBE Goals
The City of San Juan Capistrano surveyed other DOT -recipients (local agencies) within its jurisdiction, with
similar contracting programs, to assess their DBE goals and attainments toward making an adjustment
E. Resultant Goal Adjustment
The impact of these factors resulted in a downward adjustment of the base figure from 76.3% to 12% for
DBE participation in the City of San Juan Capistrano's DOT assisted contracts projected to be expended
in FFY 200112002.
3. UTILIZATION OF RACE -NEUTRAL AND RACE -CONSCIOUS METHODS.
Of the overall annual 12% goal for DBE participation, the City projects meeting 0% of the goal utilizing race -
neutral methods. This is a result of the City of San Juan Capistrano to award three DOT -assisted contracts for
IFFY 2001/2002. The City shall make efforts to assure that bidding and contract requirements facilitate
participation by DBEs and other small businesses; unbundling large contracts to make them more accessible to
small businesses; encouraging prime contractors to make them more accessible to small businesses; encouraging
prime contractors to subcontract portions of the work that they might otherwise perform themselves; providing
notification of upcoming contracts on the City's web site and providing technical assistance and other support
services to facilitate consideration of DBEs and other small businesses.
The City of San Juan Capistrano has not previously maintained records of potential M/W/DBE attainments on
their State and Locally funded contracts, due to the abolishment of race -based contracting preferences. The City
of San Juan Capistrano projects that the proposed Overall Annual DBE Goal of 12% for IFFY 2001/2002 shall be
achieved through the use of numeric goals (race -conscious participation). The City will, however, continue to
make efforts to employ race -neutral measures whenever possible to ensure that bidding and contract requirements
facilitate participation by DBEs and other small businesses in conformance with new regulatory requirements.
4. PUBLIC PARTICIPATION AND FACILITATION
In accordance with Public Participation Regulatory Requirements of 49 CFR Part 26 and Caltrans Local
Assistance Procedures Manual, this goal analysis will he reviewed by minority, women, local business chambers,
and community organizations within the City of San Juan Capistrano's market area.
The City of San Juan Capistrano will also publish a Public Notice in general circulation media announcing the
City of San Juan Capistrano's proposed Overall Annual Goal for the IFFY 2001/02 DOT -assisted contracts. Such
Notice will inform the public that the proposed goal and its rationale is available for inspection at the City of San
Juan Capistrano's Public Works Department during normal business hours for 30 days following the date of the
Public Notice and that the City of San Juan Capistrano 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 City of San Juan Capistrano's Overall Annual DBE Goal to Caltrans for final review and
approval.
DBE Program Updates
To be determined, if any.
�� O
William H. Huber to
DBE Liason Officer
Page 9-47
LPP 01-04 March 15, 2001
Local Assistance Procedures Manual EXHIBIT 9-C
Guidelines foe Civil Rights Compliance Reviews of Location Procedures
GUIDELINES FOR CIVIL RIGHTS COMPLIANCE REVIEWS OF LOCATION
PROCEDURES
GENERAL
In accordance with Title VI and Title VIII of the Civil Rights Act of 1964 and 1968, local
agencies are required to follow certain location procedures on federal -aid highway
projects. This guideline may be used to suggest areas for review.
As a result of the choice of highway locations or the procedures used in arriving
at the choice, has the Agency, State, or Federal Highway Administration received
any civil rights complaints? If so, what were the complaints and what has been
done to resolve them?
2.a. To what extent does the agency employ minority staff personnel in the location
program under review? Are these personnel involved in the following:
Developing and comparing alternatives,
Assessing impacts, and
When used, operating through consultant contracts?
Are they involved in any other related areas? If not, what is being done to recruit
and hire minority personnel?
2.b. What training or education sessions are conducted to increase the skills of
minorities as well as non -minorities? Are promotional opportunities available for
minorities? Does the Agency fill professional as well as nonprofessional
positions with minorities? If not, what is being done to rectify these situations?
Does the Agency choose consultant firms without discrimination on the basis of
race, sex, color, or national origin? Is there evidence that minority consultant and
consultants with minority staffs offered equal employment opportunity? How
many of these firms have contracts and what type are they?
4. Does the process for preparation of Environmental Impact Statements, or do the
Environmental Impact Statements themselves, reflect any indication of a violation
of any of the provisions of Title VI or Title VIII? If so, elaborate.
LOCATION DETERMINATION
When reviewing the process leading to location determination on a specific project, the
following questions are to be used:
La. To what extent has the agency or consultant compiled the following information
for use in the location determination?
Lb. The racial character of the portion of the area through which the alternate locations
pass, including the approximate number by race of persons and families affected
by each alternate (affected means all persons directly displaced or located in areas
Page 9-48
March 15, 2001 LPP 01-04
EXHIBIT 9-C Local Assistance Procedures Manual
Guidelines for Civil Rights Compliance Reviews of Location Procedures
directly adjoining the road.)
I.e. The social and economic character of the area through which alternates pass,
including levels of income, whether the area is commercial or residential, and the
approximate number of minority and non -minority owners of businesses and
residences in the area.
l.d. The racial character of the people employed in the area affected by each alternate.
2. How was the racial and ethnic data used to identify possible problem areas and
adverse impacts, such as relocation difficulties or possible changes in minority
income capabilities, mobility, or community cohesion? What efforts have been
made to rectify these problem areas and minimize the adverse impacts?
3. Will a minority area be bypassed or separated from contiguous areas by an of the
alternatives, and if so, what effect will this have on the minority community? To
what extent will it perpetuate patterns of segregation?
4. How will each of the alternates affect the use of various community facilities and
services such as hospital, libraries, shopping areas, fire stations, police
installations, schools, churches, parks and recreation centers by minority groups
in the area?
5. To what extent will each of the locations produce an adverse effect of residential,
commercial and industrial development existing or planned within minority
communities?
6. What attempt has the Agency made to satisfy minority community planning goals
and needs? To what extent were the goals and needs determined utilizing input
from the minority community?
7. Have the gradeline, safety considerations, cross -street treatment, pedestrian
overpasses, and other design features been established for alternatives to the same
degree in minority areas as in nonminority areas?:
8. Is access to and from the various alternates provided without discrimination?
9. Would the alternates have an effect on traffic volumes on adjacent streets within
minority communities? To what extent has the Agency studied the effect of
increased or decreased traffic on residences and businesses?
10. To what extent have aesthetics, noise, and air quality been considered within
minority communities?
11. Has all the above information been adequately tabulated and mapped for use in
the location determination?
Page 9-49
LPP 01-04 March 15, 2001
Local Assistance Procedures Manual EXHIBIT 9-C
Guidelines for Civil Rights Compliance Reviews of Location Procedures
COMMUNITY PARTICIPATION
In any review of projects, a determination should be made that the minority groups have
had an opportunity to provide meaningful input into the decision-making process
regarding their goals and needs as they pertain to the location determination. The
following questions should be used:
1. To what extent do the Agency's procedures provide for consultation with and
dissemination of information to minority community and groups?
2. Where non-English speaking minorities are involved, what provisions are made to
overcome language barriers?
3. _1Iow are the minority leaders identified and encouraged to provide suggestions and
ask questions about locations?
4. To what extent are informal hearings and meetings held with the affected minority
communities and groups?
5. To what extent does the Agency respond to questions asked and consider comments
made by minorities?
6. To what extent are minority community and groups represented on the various
councils, boards, and committees, etc., that provide input to the location
determination? How were these representatives selected and have they been given an
equal voice?
PUBLIC HEARINGS
When reviewing the conduct of public hearings, the following questions should be used:
1. Are hearing(s) held at a place and time convenient to minority community and
groups?
2. Are advertisements of the hearing(s) (i.e., newspapers, posters, radio, etc.) adequate
to provide notification to minorities?
3. Where non-English speaking minorities are involved, what provisions are made to
overcome language barriers both in advertisements and at the hearing(s) ?
4. Are minority leaders specifically invited to attend and present their views? Do they
attend? Do they make comments?
5. To what extent does the Agency respond to questions asked and consider comments
made by minority persons at the hearing(s)?
6. To what extent are fair housing requirements and the availability of hardship
acquisition discussed at public hearings when minorities are to be relocated.
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March 15, 2001 LPP O1-04