California Department of Transportation Office of Business … · 2017-10-25 · California Department of Transportation Office of Business and Economic Opportunity ... (total) 1598**

Cal i fornia Depar tment of Transporta t ion

Office of Business and Economic Opportunity

Annual Element Report

Disadvantaged Business Enterprise

2017

DBE Annual Element Report 2017

This publication will be made available in alternative formats: Braille, large print, computer

disc, audio version, or in a different language upon request. To discuss how to receive a copy of

this publication in an alternative format, please contact:

California Department of Transportation

Office of Business and Economic Opportunity

1823 14th Street

Sacramento, CA 95811

(916) 324-0449

711 (TTY)

[email protected]

mailto:[email protected]

Table of Contents:

INTRODUCTION......................................................................................................................... 1

I. Statistical Data .....................................................................................................................1

II. Organizational Structure ......................................................................................................1

III. Accomplishments ................................................................................................................2

OBEO .................................................................................................................................. 2

Districts ............................................................................................................................... 9

Headquarters ..................................................................................................................... 13

IV. Goals ..................................................................................................................................16

OBEO ................................................................................................................................ 16

Districts ............................................................................................................................. 19

Headquarters ..................................................................................................................... 23


Disadvantaged Business Enterprise 1

INTRODUCTION

The Disadvantaged Business Enterprise (DBE) annual element report includes information

regarding program accomplishments in federal fiscal year (FFY) 2017, as well as goals for

FFY 2018.

This report was prepared in accordance with 49 Code of Federal Regulations, Part 26

(49 CFR 26).

I. Statistical Data

DBE Program and DBE Supportive Services (DBE/SS)

Number of highway-related DBE construction firms (total) 1598**

Number of highway-related firms active on federal-aid highway contracts 237**

Total approved DBE/SS funding $1,187,643**

Number of DBE firms receiving supportive services benefits 68**

African American 20**

Hispanic/Latino 18**

Native American 0**

Asian-Pacific American 14**

Subcontinent-Asian American 2**

Non-Minority Women 14**

2 or more ethnicities Unknown**

*Data for the period of 10/1/2016-6/30/2017.

**Data for the period of 9/28/2016-5/31/2017.

II. Organizational Structure

There were no organizational changes in FFY 2017 to the California Department of

Transportation (Caltrans), Office of Business and Economic Opportunity (OBEO). The

OBEO consists of the following seven branches: Training and Outreach, Policy and Reports,

Certification, Contract Evaluation, Compliance and Title VI, Program Operations, and

Americans with Disabilities Act.

Janice Salais is the Assistant Director of the OBEO. She was appointed on 9/12/2016.

Assistant Director, OBEO

Training and Outreach & Policy

and Reports

Certification & Contract Evaluation

Compliance and TitleVI & Program

Operations

Americans with Disabilities Act



III. Accomplishments

OBEO

A. Contract Goal Setting

Overall DBE Goal

Achieved 13.15 percent commitment and surpassed Caltrans’ overall DBE goal of

12.5 percent for Federal Highway Administration (FHWA)-funded contracts, as

reported in the 12/1/2016, “Uniform Report of DBE Commitments/Awards and

Payments in FFY 2016.”

DBE Contract Goal Setting and Goal Reviews

Set DBE contract goals on over 200 major construction projects, as reported to the

FHWA on a monthly basis.

Reviewed DBE contract goals set on over 130 local agency projects.

B. Policy and Reports Branch

Developed a Decision Document for a DBE contract goal setting methodology on

Architectural and Engineering (A&E) contracts, which utilizes a goal setting matrix

categorized by type of service.

Developed the OBEO Policy Bulletin template on 11/8/2016, which will be used to

communicate DBE policy and policy-related information to internal stakeholders.

Initiated a process to collect data on apprentices required on Caltrans contras on

7/27/2017.

Held partnering meetings with Division of Procurement and Contracts on 4/7, 6/27,

8/21, and 9/11//2017.

Revised the Federal Transit Administration (FTA) DBE Program Plan on 11/30/2016

per FTA’s recommendations.

Revised the FHWA/DBE Program Plan on 8/3/2017 to include FHWA’s

recommendations.

Prepared and published OBEO’s monthly DBE commitment-at-award reports.

Reports included a summary of DBE commitment at award by awarding division

and/or district, including the number of awards to DBE primes, as well as a breakdown

of DBE commitment at award by ethnicity and gender.

Initiated a new monthly report on 5/12/2017 to identify certified DBE firms awarded

state-funded emergency force account contracts.



C. Training and Outreach Branch

Conducted training for prime contractors who bid Caltrans construction contracts in

6 districts (D3, D4, D6, D7, D10, and D11 on 4/7, 3/10, 4/27, 1/13, 2/2, and 6/6/2017,

respectively) to a total of 67 participants. The objective of the training was to educate

prime contractors about Caltrans’ contracting requirements and expectations, including

DBE program requirements.

Launched a Subcontractor-Construction Contracts training module for subcontractors,

including DBEs, who are either performing on Caltrans contracts, or who are

interested in performing on Caltrans contracts, to educate participants about Caltrans’

contracting requirements and expectations. Conducted the training in 4 districts (D3,

D7, D10, and D11 on 5/10, 6/27, 7/25, and 6/5/2017, respectively) to a total of 72

participants.

Developed a training module in October 2016 that provides an overview of Caltrans’

overarching Small Business (SB) program, which includes the DBE program, to

educate Caltrans staff about opportunities for increasing participation on Caltrans’

contracts and procurements. Presented the training to OBEO staff on 11/22/2016 and

12/7/2016.

Conducted 4 DBE certification workshops in 3 districts [2 in D7 (1/12 and 6/26/2017),

1 each in D10 (7/25/2017) and D11 (2/9/2017)] to a total of 71 participants.

Presented at 3 Resident Engineer meetings in District 4 [1 in Petaluma (3/16/2017 and

2 in Pleasanton (3/23 & 29/2017)] to promote awareness of DBE program

requirements.

Developed and hosted 2 “Meet the Primes” events in Sacramento (Headquarters)—1

for construction contractors on 12/2/2016, and 1 for A&E consultants on 2/9/2017—to

facilitate networking among prime contractors/consultants and small businesses,

including DBEs. Partnered with District 10 to deliver a 3rd “Meet the Primes” event

on 5/12/2017 in Stockton.

Hosted quarterly teleconferences (1/24, 4/27, and 7/27/2017) with Calmentor program

leads in an effort to standardize procedures across all 5 district/regional programs, and

identify opportunities to increase participation for small businesses, including DBEs.

In addition, implemented procedures for collecting data to track mentor/protégé

pairings within the program.

Hosted bimonthly District Small Business Liaison (DSBL) conference calls

(11/10/2016, 1/12, 3/9, 5/11, 7/13, and 9/14/2017) to disseminate DBE, Disabled

Veteran Business Enterprise (DVBE), and SB program updates, including policy and

procedure changes, proposed legislation, etc.

Developed and/or updated 8 informational handouts geared toward assisting certified

DBEs and potential DBEs such as the DBE Brochure and outreach handouts

(8/18/2017 and 4/5/2017, respectively). The reference materials offered tips and

instructions on how to effectively use the California Unified Certification Program

database, where to find additional information on DBE certification, where to locate



contracts, where to access program regulations, how to market and engage with other

businesses, and online tools available to certified firms.

Updated (May 2017) the Training and Outreach Branch’s intranet presence, including

DBE program information, by redesigning and rewriting content for multiple pages.

The update included adding links to program regulations, legislation, informational

handouts, and charts that contained historical participation data.

Edited, automated, and standardized the reporting templates and processes that are

used to gather and disseminate DBE program participation data on a monthly basis to

improve efficiency and accuracy in January 2017.

Updated the Construction Mandatory Pre-Bid Guide on 11/17/2016.

Developed and published (5/26/2017) on the OBEO’s Web site a procurement fair

“FAQ” to educate vendors, including DBEs, about the purpose and scope of

procurement fairs.

Developed a draft Pre-Award Outreach Guide on 8/1/2017 to provide guidance to

Caltrans staff regarding the delivery of pre-bid meetings and pre-proposal conferences

to increase DBE, DVBE, and SB participation on Caltrans’ contracts.

Developed a draft outreach plan on 6/9/2017 for increasing the dollar value of

contracts awarded to DBEs, DVBEs, and SBs, as required by California’s Senate Bill

1 (SB 1).

Added links to the OBEO website for easier access to Caltrans contracting

opportunities (Division of Engineering Services-Office Engineer, Division of

Procurement and Contracts, and Department of General Services’ Cal eProcure).

Disadvantaged Business Enterprise Supportive Services (DBE/SS)

Awarded the DBE/SS Southern Region contract, 88A0104, to GCAP Services, Inc. on

9/28/2016. This contract provides services to DBEs and potential DBEs in Caltrans

Districts 7, 8, 11, and 12. The table below highlights selected contract

accomplishments for the period of 9/28/2016 - 5/31/2017:

DBE/SS Southern Region Contract: 88A0104

Performance Measures: 9/28/2016 - 5/31/2017 Number

DBEs enrolled in the Business Development Program 51

DBEs with completed and/or updated business plans 8

DBEs who submitted bids/proposals 59

DBEs awarded contracts 17

Developed pay-for-performance-based scopes of work for the proposed Northern

Region, Central Region, and Southern Region DBE/SS contracts. Submitted contract

documents to the Division of Procurement and Contracts on 8/2/2017.

On-The-Job Training Supportive Services (OJT/SS)

Submitted to the FHWA an OJT/SS statement of work for FFY 2017 in January 2017.



Executed an OJT/SS contract for the Northern Region (Districts 1, 2, 3, and 4) on

5/23/2017. The contract was subsequently terminated on 6/23/2017.

National Summer Transportation Institute (NSTI)

Received 5 proposals on 11/9/2016 from institutions of higher education for the 2017

NSTI program. On 2/11/2017, selected 2 host sites: (1) San Jose State University

(SJSU) and (2) California State University, Los Angeles (CSULA). The SJSU

program focused on high school students and ran from 6/12-30/2017; the CSULA

program focused on middle school students and ran from 6/19-30/2017.

Calmentor/Mentor-Protégé

The Calmentor program encourages and supports volunteer partnerships between small

businesses (protégés) and larger Architectural and Engineering (A&E) firms (mentors) in

order to increase the participation of small businesses on A&E transportation projects.

The Mentor-Protégé program encourages increased participation of SB, DVBE, and DBE

firms in procurement and contracting opportunities, specifically related to public works

projects.

Events FFY 2017 Events

Calmentor-North Region: Districts 1, 2, and 3 2

Calmentor-District 4 1

Calmentor-Central Region: Districts 5, 6, 9, and 10 4

Calmentor-Southern California Alliance: Districts 7, 8, and 12 2

Calmentor-San Diego and Imperial counties: District 11 0

Mentor-Protégé-District 4 0

TOTAL 9

D. Certification Branch

Over a period of 9 months (10/1/2016-7/31/2017):

o Received 295 new DBE Applications.

o Certified/Approved 238 new DBE Applications.

o Denied 51 new DBE Applications.

o Conducted 271 on-sites.

o Processed annual updates totaling 1,402.

Partnered with Information Technology Division to analyze options for upgrading the

California Unified Certification Program database, including use and cost of third-

party vendors, AASHTOWare and B2GNOW.

Participated in the Annual FHWA Risk Assessment, 2/28/2017.

Participated in the 6/29/2017 Civil Rights Summit with FHWA to address the risk

assessment on 2/28/2017.

Led the DBE Participation Committee’s Task Group C quarterly meetings on

6/22/2017 and 9/21/2017. Task Group C focuses on pre-award issues.



Completed the California Unified Certification Program’s Fourth Annual Mandatory

Training Workshop held 9/6-7/2017 in San Diego, California. The purpose of the

training was to provide updates to certifying agencies, updates to the certification and

compliance process, as well as to promote consistent interpretation of the regulations.

The Certification Office Chief and 3 Certification Analysts attended.

Attended and participated in the Western Association of State Highway Transportation

Officials (WASHTO) annual Civil Rights Training Symposium, “Going Beyond the

Typical Training,” February 2017.

E. California Unified Certification Program (CUCP)

Caltrans’ OBEO, Assistant Director holds the position of Chair to the CUCP

Executive Committee.

Revision to the CUCP Memorandum of Agreement (MOA) is 80 percent complete.

This MOA has not been updated since 2006. The MOA is an official agreement

between all of the CUCP certifying agencies throughout the state and provides

structure, consistency, and guidance to all certifying agencies, including Caltrans, in

administering the DBE certification program.

Revision to the DBE Site Visit Questionnaire is 70 percent complete. Based on

49 CFR 26, it is mandatory to conduct an on-site visit as part of the DBE certification

process. This document is used by all of the CUCP certifying agencies, including

Caltrans.

Between 2016 and 2017, the Caltrans Certification Branch staff worked with the

Information Technology (IT) staff to develop a new CUCP database. However, a

decision was made to use an off-the-shelf system. Caltrans staff will continue to work

with IT and vendors. Staff are looking at AASHTOWare as an alternative.

Completed CUCP DBE training procedures for all new CUCP certifying members to

ensure they are properly mentored and trained on the DBE certification standards set

forth in 49 CFR 26.

FHWA Resource Center conducted on-site training for CUCP certifying members in

Sacramento, California, on 1/31/2017 with 8 certifying agencies represented, including

Caltrans. On 2/1/2017 a follow-up meeting with certifying members was conducted to

discuss the information they learned at the previous day’s training and discuss

improvements to the Site Visit Questionnaire.

FHWA, along with Caltrans, conducted a compliance review at the Los Angeles

County Metropolitan Transit Authority (METRO) on 1/23-25/2017. Approximately

23 DBE certification files were reviewed to see if they were in compliance with

certification standards in 49 CFR 26. FHWA issued their findings and

recommendations directly to METRO.

F. Compliance Branch

Reviewed 15 DBE firms, approximately 50 contracts, for program compliance, based

on complaints and internally identified criteria.



Developed standard format and procedures for submitting final investigative reports,

notifying Division of Construction resident engineers and labor compliance managers.

Served, when needed, as a resource for questions regarding DBE investigations and

OBEO’s partnership processes to district labor compliance managers at their annual 2-

day Labor Compliance meeting.

G. Contract Evaluation Branch (CEB)

Evaluated 302 federally funded contracts for the Division of Engineering Services-

Office Engineer (DES-OE).

Evaluated 56 federally funded contracts for the Division of Procurement and Contracts

(DPAC).

Evaluated 60 bid submittals in which the DBE participation goal was not met. CEB

evaluated the bidder’s good faith effort (GFE) documentation to meet the goal.

Reviewed 20 decisions of local agencies based on pilot with Division of Local

Assistance to award a contract based on the GFE of the bidder to meet the DBE

contract goal.

CEB Branch Chief participated in weekly non-awarded contract meetings with the

Chief, Office of Construction Contract Awards, to discuss non-awarded contract

priorities and deadlines.

Attended and participated in the WASHTO annual Civil Rights Training Symposium,

“Going Beyond the Typical Training,” February 2017.

Attended FHWA’s GFE training, 3/15/2017.

Participated in 2017 Civil Rights Virtual Symposium on 5/18/2017.

H. Program Operations Branch

Small Business Council (SBC)

The purpose of the Caltrans SBC is to encourage the participation of small businesses

with Caltrans and to provide a forum for small business trade associations to comment

and provide feedback on Caltrans’ policies and practices that affect or impact small

business utilization and participation in Caltrans’ contracts and projects. The SBC will

be a significant partner in the development and implementation of Caltrans’ outreach

plan associated with the new funding generated by the Senate Bill 1, Road Repair and

Accountability Act (SB 1).

Held 6 Caltrans SBC meetings:

o Headquarters, Sacramento (11/18/2016).

o District 11, San Diego (1/20/2017).





o District 8, San Bernardino (7/22/2017).

o District 12, Santa Ana (9/15/2017).

DBE Participation Committee

Caltrans’ DBE Participation Committee was instrumental in pursuing issues impacting

prime and subcontractors:

Joint checks–the Joint Check Agreement form and revised standard specifications

were completed and posted on 9/13/2017; the Caltrans Division of Construction is

developing a Construction Policy Bulletin.

Work codes–a new standing committee was formed on 3/28/17 to address the pros

and cons of using work codes within the context of DBE certification and

contracts.

DBE database accuracy–this is an ongoing issue that Caltrans has been addressing

through a time-consuming verification process. Accuracy in current contact

information and type of license held is a major concern for committee members

representing prime contractors, who utilize the database as a main source for DBE

contractors.

To better inform Caltrans response to the 2016 Disparity Study and its

recommendations related to DBE participation goals and race-conscious groups,

committee membership was expanded by 8 more members in March 2017 to increase

representation from the prime and DBE communities, whom these changes will impact

directly.



I. Statewide Outreach Events

The totals below represent each district’s efforts to host and/or participate in outreach

events to increase the participation of small businesses, including DBEs, on Caltrans’

contracts and procurements. Sample outreach events include: “Meet the Primes,” “How

to Do Business With Caltrans,” pre-bid/pre-proposal meetings, Small Business/Disabled

Veteran Business Enterprise/Disadvantaged Business Enterprise (SB/DVBE/DBE)

certification workshops, contracting workshops, and procurement fairs.

Name FFY 2017 Outreach Events

District 1 4

District 2 15

District 3 11

District 4 20

District 5 3

District 6 26

District 7 22

District 8 13

District 9 2

District 10 36

District 11 46

District 12 4

HQ-OBEO 39

TOTAL 241

Districts

The following are district accomplishments made in addition to the outreach events included

in the table above.

A. District 1

Partnered with Northern California Procurement Technical Assistance Center (NorCal

PTAC) to host:

o “Gain Access to Federal Contracts with HUBZone” (12/14/2016).

o “Secrets to Navigating the DBE Certification” (1/31/2017).

o “How to Qualify for SBA’s 8(a) Program” (2/14/2017).

Hosted the “Federal-Aid Series” training (1/30-2/3/2017).

B. District 2

Provided 1-on-1 technical assistance to women-owned small businesses (11/5/2016,

6/28/2017, 7/7/2017, and 7/13/2017).

C. District 3

Provided brochures on how to become certified as a DBE firm and the benefits of

being certified at each outreach event held.



Hosted a “Building Connections Construction Expo,” 11/3/2017. It was a forum for

contractors, designers, construction professionals and suppliers to learn directly from

Caltrans, the Department of General Services (DGS), Small Business Administration

(SBA), Regional Transit, High Speed Rail (HSR), Sacramento Municipal Utility

District (SMUD), and local Chambers of Commerce about increasing opportunities

associated with public works projects.

Attended the “2017 Winter Business Showcase” held by DGS on 2/22/2017. The

purpose of the showcase was to provide small businesses an opportunity to meet and

provide business cards and capability statements to 50 state representatives who buy

goods and services for the State of California. Over 170 business owners participated

in business presentations and 1-on-1 matchmaking sessions.

Hosted a table at the “Connecting Points” event on 5/4/2017 along with SMUD,

Sacramento City and Sacramento County to give small businesses the opportunity to

connect with government agencies in efforts to grow their businesses. This event was

attended by 290 small business owners and over 50 agencies.

Participated in the “Bringing Government Contracting Opportunities to You” panel on

7/26/2017, with SMUD, Sacramento County, the Hispanic Chamber, Sacramento

Black Chamber, SETA, U.S. SBA, DGS, Asian Pacific Chamber and Metro-Chamber.

D. District 4

The one-of-a-kind pilot program, “Prime-DBE Cooperative,” which started in FFY

2016, is a voluntary partnership between Caltrans, CPM Logistics, and 4 prime

contractors (Flatiron, Ghilotti Bros, Shimmick, and Teichert). The purpose of the

program is to encourage and facilitate relationships between prime contractors and

DBE companies. A current survey showed that approximately 33 percent of the DBEs

who participated in the program received contracts with one or more of the prime

members.

Held 3 “Prime-DBE Cooperative” workshops: 10/27/2016, 12/8/2016, and 2/23/2017.

Hosted 6 bimonthly District 4 SBC meetings: October 2016, December 2016,

February 2017, April 2017, June 2017, and August 2017.

Attended 5 of the 12 monthly Labor Compliance meetings.

E. District 5

Attended the Caltrans DBE-SS Training Workshop, “Business Opportunities” webinar

on 7/28/2017.

F. District 6

Partnered with the HSR Authority and the DGS to provide hands-on online

certification workshops for SB/DVBE certifications and informational presentations

on the DBE program.

Played a strong role in developing meetings and planning networking mixers, and

providing A&E informational workshops prior to the meetings and mixers.



Strengthened relationships with the Central California Hispanic Chamber and the

Fresno Metro Black Chamber of Commerce by speaking at meetings on the

advantages of DBE certification.

G. District 7

Launched a new small business Web page featuring helpful information on

certification, contracting opportunities, training, assistance programs, and upcoming

events.

Hosted an “Understanding Cash Flow Management Workshop” on 7/11/2017 with our

DBE Supportive Services team.

Created a small business directory, updated and revised bimonthly, for District 7 CAL-

Card purchasers to encourage utilization of small businesses for CAL-Card

procurements.

Hosted the 7/12/2017, Southern California Regional SBC meeting.

H. District 8

Sponsored the Kramer Junction Project DBE Outreach on 6/13/2017.

Attained 55.5 percent (5 of 9) of district’s FFY 2017 goal to host 9 Mandatory Pre-Bid

meetings.

Hosted the Southern California Regional SBC on 2/7/2017.

Hosted the Statewide SBC meeting on 7/21/2017.

Made preparations, created meeting notes, and maintained records for the 7/12/2017

Southern California Regional SBC meeting hosted by partner district, District 7.

Created and provided 6 district DBE summary updates to the Statewide SBC at their

bimonthly meetings.

Upgraded district’s interactive small business Web site. The Web site highlights

upcoming DBE workshops, mandatory pre-bid meetings, educational opportunities,

and displays a map of pending projects.

I. District 9

District 9’s Director represented Caltrans’ SB/DVBE/DBE programs at the City of

Bishop’s Town Hall meeting held 3/21/2017.

Collaborated with other local agencies’ SB/DVBE/DBE participation in

procurement/contracting at the Bishop Procurement Fair, 9/19/2017.

J. District 10

Recruited 2 local agencies to increase membership in the San Joaquin Public Agency

Consortium (PAC) and local agency participation. Membership to the San Joaquin

PAC and participating expo exhibitors now totals 151 agencies.



Partnered with local agencies (City of Stockton, San Joaquin County Public Works,

Employment Development Department, San Joaquin County Hispanic Chamber, and

Regional Transit District) to increase local small business outreach and utilization.

Delivered keynote speech and held an informational table on 4/6/2017, at the Public

Works and Purchasing Showcase and Get Connected Event in San Joaquin County.

Prepared Director’s speaking points covering all topics requested for SBC meetings:

11/18/2016, 1/20/2017, 3/17/2017, 5/19/2017, and 7/21/2017.

Participated in 6 Statewide SBC meetings held bimonthly.

Developed resources (pamphlets, guides) for SBC members, as needed.

Assisted 49 small businesses for certifications and re-certifications.

Conducted 3 certification and networking events for SB/DVBE and DBE: San

Joaquin County, 4/18/2017; Tuolumne County, 2/28/2017; and Stanislaus County,

6/7/2017.

Utilized labor market information to assist 27 local businesses to become SB/DVBE

and DBE certified (2 DBEs and 25 SBs).

Developed a survey to track District 10 small business and minority business

utilization and assess the District’s commitment to SB/DVBE and DBE participation.

Approximately 10 percent of SBs surveyed had received government contracts.

Increased outreach events from 7 to 12 (or by 42 percent) from previous FFY. There

were 685 participants in Caltrans’ hosted events in FFY 2017.

K. District 11

Hosted a District SBC meeting on 12/8/2016, 2/22/2017, 4/28/2017, 6/28/2017, and

8/23/2017. The meetings included Construction and Commodities Committee and

Professional Services Committee meetings.

Attended 5 San Diego PAC meetings: 12/8/2016, 2/8/2017, 4/12/2017, 6/14/2017, and

8/9/2017.

Increased the district’s SBC membership and attendance at District SBC meetings.

There are now 7 members, up from 6.

Held a Special Session meeting on 6/28/2017, with the District 11 SBC members to

determine goals for the upcoming year and discuss improvements that could be made

to the current meeting format.

Hosted a Subcontractor Training on 6/5/2017, and a Prime Contractor Training on

6/6/2017.

Hosted 1 Statewide SBC and Committee meetings 1/19-20/2017 and attended 5 via

phone.

Hosted 5 workshops (DBE Program Requirements and Reporting, Labor Compliance

and Certified Payroll, Billing and Invoicing Requirements, Work Planning and Short

Term Scheduling, Workplace Safety and Quality Control) on 4/18-19/2017 for



Flatiron, Skanska, Stacy and Witbeck, our prime contractor on the I-5 North Coast

Corridor project.

L. District 12

Participated in 1 DBE outreach event conducted August 2017 by another state agency.

Participated in the North Orange County Small Business Resource Fair, August 2017.

Developed in July 2017, a new primary relationship with the Director of the Orange

County Small Business Developmental Center for future outreach events.

Observed a pre-bid meeting. After the meeting, assisted managers with DBE

improvements while offering specific DBE talking points. Utilized constant contact to

improve the quality of our event material.

Headquarters

A. Division of Construction and Labor Compliance

Updated DBE requirements listed on Pre-job Checklists for Federal-Aid Contract,

Federal-Aid Maintenance Contract, and Federal-Aid A&E Contract. These checklists

are reviewed at district pre-construction meetings to confirm contractor receipt and

understanding of each line item.

Provided support for investigation and complaints to district and HQ staff on resolving

substitution issues, prompt payment investigations, and complaints.

Attended DBE workgroup meetings and various meetings related to the DBE program

throughout the year.

Presented trainings that incorporated DBE subject matter: Labor Compliance for

Resident Engineers and Inspectors. A total of 15 Resident Engineers, Inspectors, and

District Labor Compliance Administrators and Officers attended.

Developed the Construction Policy Bulletin 15-2: Submission of Good Faith Efforts

and Uniform Report of DBE Awards/Payments and implemented via the Construction

Manual, Sections 5-1 and Sections 8-3.

Created a task group to provide feedback to OBEO regarding failure to perform a

Commercially Useful Function on construction projects.

Updated the 2015 Revised Standard Specifications to include Section 5-1.13B(3) Use

of Joint Checks. Created Form CEM 2407 – Disadvantaged Business Enterprises

(DBE) Joint Check Agreement Request.

B. Division of Engineering Services-Office Engineer

Partnered with OBEO to improve the processes/practices concerning good faith

evaluations and contract evaluations.

Streamlined external reporting processes by creating electronic submission versions.

To date, there have been no reporting issues using the current E-submittal process.

Converted the Award Tracker Report to an electronic reporting tool. The testing phase

was completed, and the tool went live 8/1/2017.



C. Division of Local Assistance

The Civil Rights Branch Manager, Office of Policy Development & Quality Assurance,

Division of Local Assistance (DLA) developed a work plan for the DBE program for FFY

2016-17, to ensure compliance with federal regulations by the local agencies delivering

federal-aid projects statewide. This contributes to the overall statewide DBE contract goal

of 12.5 percent. The DLA, Civil Rights Branch established goals and implemented the

work plan by providing guidance and outreach, as well as conducting oversight of the

local agencies shown below. As reported on the OBEO Monthly Contract Award Report,

the DBE commitment on local agency contracts at award, for the period 11/1/2016-

6/31/2017 was 10.73 percent.

Participated in 18 Reconsideration Hearings.

Hosted 6 District DBE Coordinator conference calls.

Conducted 4 DBE compliance reviews of the following local agencies:

o Orange County Transportation Agency (10/19-21/2016).

o City of Redding (6/21-23/2017).

o Monterey County (7/19-21/2017).

o Napa County (9/9-11/2017).

Hosted 4 Federal-Aid Series Trainings in:

o Marysville (10/17-21/2016).

o Eureka (1/30-2/3/2017).

o San Luis Obispo (3/13-17/2017).

o Los Angeles (6/12-16/2017).

Hosted 6 Local Agency Resident Engineer Academy Training classes in:

o Folsom (10/3-6/2016).

o Fresno (12/12-15/2016).

o Redding (2/6-9/2017).

o San Jose (4/24-27/2017).

o San Francisco (5/22-25/2017).

o Los Angeles (6/5-8/2017).

Hosted 3 A&E Procurement Training classes in:

o Los Angeles (3/9-10/2017).

o Stockton (3/28-29/2017).

o Camarillo (5/24-25/2017).

Prepared 2 Semi-annual Uniform Reports of Awards/Commitments and Payments on

October 2016 and April 2017.



As required by OB 14-06, reviewed 15 GFE documents for comment.

Prepared 12 Monthly Contract Award Reports.

Attended 2 DBE Participation Committee meetings: 3/28/2017 and 6/27/2017.

Attended 6 SBC meetings and 6 Local Agency Committee meetings in:

o Sacramento (11/17-18/2016).

o San Diego (1/19-20/2017).

o Sacramento (3/16-17/2017).

o Sacramento (5/18-19/2017).

o San Bernardino (7/20-21/2017).

o Irvine (9/14-15/2017).

Attended the WASHTO Civil Rights conference, 2/20-23/2017, San Diego.

D. Division of Procurement and Contracts

Added New and Upcoming A&E Advertisements at the top of the A&E Web site to

further assist DBEs to find upcoming A&E solicitations.

Participated in A&E contract-specific outreaches held in districts to provide contract

scope information and a networking opportunity for DES and prime contractors.

Maintained a Look Ahead Report which anticipated future A&E contract

advertisements. The Look Ahead Report provided the DBE contractor community an

advanced opportunity to plan and network with their community in preparation of

upcoming contracting opportunities with Caltrans.

Partnered with OBEO to ensure specific contract boilerplates provide an updated DBE

Bidders List link to potential contractors.

Updated 56 contract and solicitation boilerplates with DBE participation and

utilization information.

Participated in the reconsideration hearing process.

E. Division of Rail and Mass Transportation

Trained 2 employees (a Senior Transportation Planner and a student assistant) on DBE

requirements.

Facilitated a webinar in completion of the DBE semi-annual report in partnership with

OBEO on 7/18/2017.

Facilitated a webinar, 8/23/2017, in DBE contract goal setting and evaluating GFEs in

partnership with OBEO.

Served as moderator at the February 2017 WASHTO Civil Rights Training

Symposium for the workshop, “Beyond the Basics – A Conversation with FTA

(Special Focus on DBE).”



Updated and maintained the Division of Rail and Mass Transportation’s Web site with

DBE program requirements.

Collected subrecipients’ semi-annual reports on contract awards/commitments and

payments on DBE participation and submitted reports to OBEO.

F. Division of Transportation Planning–Office of Regional Planning

Updated the Regional Planning Handbook in 2017 with DBE assurance language and

assisted Metropolitan Planning Organizations (MPOs) and Regional Transportation

Planning Agencies (RTPAs) with adding the proper federal regulation language and

state contracting codes.

Coordinated the biannual FTA Uniform Report of DBE Commitments/Awards and

Payments and updated the Office of Regional Planning DBE Web site with designated

DBE contacts for reporting from transportation planning agencies.

Ensured all MPOs and RTPAs signed the FY 2017/18 FHWA and FTA Metropolitan

Transportation Planning Process Self-Certification that the transportation planning

process is being carried out in accordance with all applicable requirements including:

49 CFR 26 regarding the involvement of DBEs in USDOT funded projects.

IV. Goals

OBEO

A. Contract Goal Setting

2019-2021 Overall DBE Goal and Methodology

On or before 8/1/2018, submit a new overall DBE goal and methodology for FFYs

2019 through 2021 based on data from Caltrans 2016 Disparity Study.

DBE Goal Setting On A&E Contracts

Implement the Decision Document within 60 days of Caltrans Executive Management

approval.

B. Policy and Reports Branch

Develop and publish a fact sheet to educate internal and external stakeholders

regarding DBE reporting requirements no later than 3/31/2018.

Develop and implement a communication plan for sharing DBE policy and policy-

related information with internal stakeholders no later than 7/1/2018.

Develop and publish tutorials to increase awareness and understanding of reports

posted on the OBEO Web page no later than 7/1/2018.

Include commitment-at-award comparison for closed contracts reported on the Final

Utilization Report no later than 12/1/2018, and annually thereafter.



Increase frequency of Data Coordinators Workgroup meetings beginning 1/1/2018, to

4 each year and include data coordinators from the Divisions of Construction, DPAC,

and DES-OE for the purpose of improving reporting efficiency and accuracy.

Partner with DPAC and OE to update DBE program-related bid and contract forms to

align with Disparity Study recommendations beginning 7/1/2018.

C. Training and Outreach Branch

Conduct training for prime contractors and subcontractors in all 12 Caltrans districts

beginning 10/1/2017.

Conduct DBE certification workshops in all 12 Caltrans districts beginning 10/1/2017.

Host 4 “Meet the Primes” events, one per quarter, to provide opportunities for small

businesses to network with prime contractors beginning 11/1/2017.

Develop and deliver a survey beginning 7/1/2018, that attempts to glean the benefits of

getting DBE certified from firms that are currently certified, using those firms

currently listed in the CUCP’s DBE database as a starting point.

Develop a training webinar for prime contractors and subcontractors that is accessible

on the OBEO Web site beginning 1/1/2018.

DBE/SS

Ensure the metrics set in the 1/31/2018 advertised and executed DBE/SS

agreements, which include pay-for-performance components, for the Northern,

Central, and Southern Regions are met.

OJT/SS

Develop and advertise, by 12/31/2017, OJT/SS agreements for the Northern

Region and Central Region that include pay-for-performance components.

NSTI

Ensure outreach to all US Department of Education accredited institutions of

higher education in the state to potentially expand Caltrans NSTI program to 6 host

sites by summer 2018.

Calmentor/Mentor-Protégé

Increase Mentor-Protégé program partnerships 25 percent by 2/1/2018.

Increase Calmentor mentor and protégé pairings 25 percent by 11/1/2019.

D. Certification Branch

Update Web site domain for the CUCP by 10/31/2017.

Review random sampling of certified DBE firms for potential graduates from the DBE

program by 6/30/2018.

Align certification application processing times with 49 CFR 26 by 1/1/2018.



Create and implement a customer service training program for the Certification Branch

staff by 1/2/2018.

Institute succession planning and knowledge transfer processes for Certification

Branch managers by 6/1/2018.

Revise the Work Code Template to reflect changes in the North American Industry

Classification System codes and licensing requirements by 3/30/2018.

Develop procedures to improve oversight of most used construction suppliers as part

of ongoing certification by 6/30/2018.

E. CUCP

Draft a 2017-19 CUCP Strategic Management Plan by December 2017 for the CUCP

Executive Committee’s review and approval. If approved, the plan will be

implemented 1/1/2018.

The CUCP Executive Committee will approve whether to move forward with the

Reconsideration Pilot by October 2018. Previously, certifying agencies used a

reconsideration official from their own agency to handle DBE certification appeals.

The pilot created a panel that conducted reconsideration hearings for certifying

agencies in Northern California. If it is decided to move forward with the pilot, the

panel will conduct reconsideration for Southern California certifying agencies.

Complete the MOA revisions by December 2017, which will provide structure,

consistency, and guidance in administering the DBE Certification Program among all

CUCP certifying agencies. At this time, chairs of the various CUCP standing

committees will share their list of proposed procedures with the CUCP Executive

Committee at the December meeting.

Complete the revisions for and disseminate the Site Visit Questionnaire for use by all

CUCP certifying agencies to ensure consistent on-site visits are being conducted in the

DBE certification process by December 2017.

Prioritize and assign top CUCP certification procedures to be drafted by specific

CUCP members by March 2018. This will assist seasoned and new certifying

members by clarifying the details needed in various processes to ensure consistency

among certifying members.

Conduct research to identify any training through the FHWA Resource Center that

could benefit CUCP certifying members by October 2017.

Caltrans to continue to work with a vendor to develop a new CUCP database to create

a user-friendly system for CUCP certifying agencies and DBE applicants.

Begin, by April 2018, to prepare for the fifth mandatory CUCP Annual Training

Workshop in 2018.



F. Compliance Branch

Resolve 25 investigative case files.

Educate field staff (resident engineers, etc.) on how to monitor DBE participation on a

jobsite.

G. Contract Evaluation Branch

Develop and implement new construction training for CEB analysts.

Finalize the CEB desk manual by December 2018, including revising templates and

checklists.

Review and revise clarification letters to bidders regarding items claimed as DBE

participation by 10/1/2017.

Reduce processing time for contracts with GFE from 15 calendar days to 14 calendar

days by 1/2/2018.

All CEB staff attend FHWA GFE training by 10/4/2017.

Reduce processing time for contracts with the DBE participation goal met from 7

calendar days to 5 calendar days by 1/2/2018.

Establish a meeting, by 11/1/2017, with DPAC to address federally funded contract

issues.

Update GFE analysis memorandum template by 12/1/2017.

Propose revisions to the Standard Specifications to clarify counting of DBE

participation when a quote documentation and/or DBE Commitment form are/is

missing from the bid form submittal by 10/30/2017.

Develop and implement a truck declaration form for bulk suppliers by 10/15/2017.

Improve contract evaluation efficiency by establishing a tracking system for contract

evaluations by 11/1/2017.

H. Program Operations Branch

DBE Participation Committee

Address the elevated need—due to the passage this year of SB 1—for well prepared,

informed primes and DBE firms, and how Caltrans can assist in that process by

October 1, 2018.

Districts

A. District 1

Increase local community partnering on events with NorCal PTAC, Humboldt

Builders Exchange, Small Business Development Center, and the Chamber of

Commerce.

Hold “Caltrans District 1/Associated General Contractors Industry” meeting.



Host OBEO workshops: “How to Become Certified as a DBE,” “Prime Contractor

Training,” and “Subcontractor Training” in Eureka.

B. District 2

Jointly share with the Shasta Venture Club notifications concerning upcoming

events/workshops, and find topics that would be mutually beneficial for both our

clienteles.

Work with the Shasta Builders Exchange to build a solid partnership, co-host events,

and determine how we can provide excellent quality service to contractors.

Increase participation in the DBE program by hosting more events that have topics of

interest for all small businesses, in addition to DBEs, who want to work with Caltrans.

Partner with the California Public Utilities Commission to bring an event to Northern

California for the first time.

Host a workshop on “Trucking Requirements/Labor Compliance” presented by

Caltrans HQ.

C. District 3

Invite DBEs to attend mandatory pre-bid meetings for new construction projects.

Partner with local cities and counties to host the annual District 3 Procurement Fair.

Host a table at the Sacramento PAC events, the City and County of Sacramento,

SMUD, and Sacramento area Chambers of Commerce to encourage businesses about

the benefits of becoming a certified DBE.

Conduct a “How To Become Certified As a DBE” workshops.

Work with local businesses in the District 3 area to provide information about the

benefits of becoming a DBE, the process, and assist small businesses in one-on-one

sessions to navigate the database and how to look for contracts with Caltrans.

D. District 4

Attend 8 local agency events.

Attend 6 of the 12 monthly Labor Compliance meetings.

Host 6 SBC meetings.

E. District 5

Host quarterly Central Region Calmentor meetings, via VTC for local A&E firms that

are participating or interested in participating in the Calmentor program.

Outreach to the community of disadvantaged businesses to enhance their knowledge of

and possible certification as DBE firms.

Partner with local cities and counties in producing another Procurement Event in the

spring 2018.



Participate in all mandatory pre-bid meetings in partnership with Central Region

Construction.

Work with Santa Maria Valley Contractors Association and the San Luis Obispo

(SLO) Builder’s Exchange to host outreach events to increase knowledge of the DBE

program and encourage DBE certifications.

Revise the District 5 Web site to make the SB/DBE program more prominent and easy

to navigate.

Coordinate training with DGS to host a “How To Do Business With The State” event

in the SLO area to encourage DBE certification.

Work with the SLO County Builders Exchange, Chamber of Commerce, and Cal Poly

Small Business Development Center to schedule a “Meet the Primes” event to assist

subcontractors in understanding the contracting process.

F. District 6

Develop a PowerPoint presentation with mock applications that covers the DBE

process step by step. In partnership with the city of Fresno (a DBE certifying

partnering agency) deliver the presentation at one workshop every 3 months.

Develop a series of 3 workshops that will improve businesses’ knowledge of where to

look for contract opportunities and increase DBE participation in contracts. The first

workshop will cover, “Certification,” the second, “How to Market Your Business to

The State and Caltrans,” and the third, “Where to Find Contracting Opportunities on

The Internet.” The third workshop will also cover, “How to Utilize Caltrans’ Web

sites For Contracting Opportunities.”

Expand our partnerships with the SBA, HSR Authority, Central Valley SCORE,

Fresno Economic Development Corporation, Kern Minority Contractors Association

and the various other state and local agencies and chambers of commerce, giving

District 6 Small Business the opportunity to reach out to a broader small business

community audience.

G. District 7

Coordinate 1 “Meet the Buyers” event.

Host one “Primes Panel” event.

Host 1 bonding workshop.

Attend 24 outreach events targeting SB, DVBE, and DBE firms. As part of this effort,

staff will solicit invitations from event sponsors and organizations that serve minority

business owners.

Provide 4 presentations addressing certification and contracting opportunities to

professional associations, chambers of commerce, SBA workshops, etc.

Host 3 training workshops with OBEO staff as the workshop facilitator.



Partner with 2 Small Business Development Centers to educate small businesses on

certification and contracting opportunities.

Host 1 Southern California Regional SBC meeting.

Attend 3 continuing education events to improve DSBL’s knowledge of certification

and contracting.

Improve functionality of the District 7 Small Business Outreach Program Web site by

including more event, training, and resource links.

Increase presence of Small Business Outreach Program on social media.

H. District 8

Increase the pool of DBE-certified firms in the district 3 percent.

Conduct 7 Mandatory Pre-Bid meetings.

Hold 1 DBE Certification Workshop in summer of 2018.

Develop relationships with 3 prime contractors and host 1 “Meet the Primes”

workshop.

Provide a quarterly newsletter for DBE firms on small business activities within the

district.

Partner with the local Small Business Development Center to hold 2 small business

workshops that include DBEs.

Attend 4 local chamber of commerce meetings.

I. District 9

Collaborate with local agencies to hold an annual outreach event to inform local

vendors and contractors about the benefits of DBE certification. For a DBE

Certification Workshop in the district, consider using video teleconference to

accommodate local businesses’ schedules.

Host 1 “Meet the Primes” outreach event.

Increase by 2 the number of DBE Certified contractors located in District 9.

J. District 10

Coordinate with District 10 Division of Construction to recruit prime contractors as

mentors in Construction Mentor Protégé Program.

Assemble the Steering Committee for Construction Mentor Protégé for District 10 to

mimic District 4’s program.

Host bimonthly certification workshops 2 hours at a time on as-needed basis at

computer labs and public libraries in the district’s 8 counties: Stanislaus, San Joaquin,

Merced, Mariposa, Tuolumne, Calaveras, Alpine, and Amador to assist women-

owned, minority-owned, and DBE eligible firms.



Encourage district-wide efforts to boost small DBE firms to become involved and

knowledgeable about Caltrans’ contracting opportunities.

Utilize Local Labor Market information, the Contractor’s State License Board list,

and/or other business lists to reach out to small businesses to encourage them to

become certified as an SB/DVBE and/or DBE.

Attend the Business Team San Joaquin meeting.

K. District 11

Hold a Special Session meeting, 6/28/2018, with the District 11 SBC members to

determine goals for the upcoming FFY 2019.

Work with our Labor Compliance Unit to ensure listed DBEs are being utilized in a

manner consistent with the contractor’s original commitment.

Update District 11 Small Business Web site to highlight all upcoming events and links

to the OBEO’s Web page of Caltrans’ events.

Host a Prime Contractor’s Awards Ceremony.

Attend 6 San Diego PAC meetings.

Host Statewide SBC meeting in January 2018.

Host 5 District SBC meetings.

Increase Council membership and meeting attendance at our District SBC meetings.

Improve information flow to Small Business in partnership with our Public

Information Officer utilizing social media.

Host DBE Goal and Methodology Public Comment meeting.

L. District 12

Attend 3 external events lead by organizations involving DBEs.

Build on a relationship with the Orange County Small Business Development Center

(OCSBDC) by attending at least 1 OCSBDC event per quarter.

Offer outreach support to Orange County small businesses by assembling a package of

Caltrans’ Small Business Outreach materials and supportive services for elected

officials to share with small business constituents.

Headquarters

A. Division of Construction and Labor Compliance

Create online training of subcontractor substitution procedures:

o SB/DVBE/DBE.

o CUF verification.



Develop new procedures and guidelines for field staff to better monitor and meet DBE

CUF requirements.

Enforce current CEM 2406 – Monthly Disadvantage Business Enterprises (DBE)

Payment requirements to increase compliance.

Create new policies as needed to reflect changes in law.

Partner with OBEO to develop prompt payment guidelines for subcontractors,

including SBs/DVBEs/DBEs.

B. Division of Engineering Services, Office Engineer

Enhance the electronic bidding process to accommodate submittal of the GFE

documentation through Bid Express.

C. Division of Local Assistance (DLA)

Represent DLA in Reconsideration Hearings.

Host 6 District DBE Coordinators conference calls.

Conduct 6 DBE Compliance Reviews.

Host 4 Federal-Aid Series training classes.

Host 6 Local Agency Resident Engineer Academy Training classes.

D. Division of Procurement and Contracts

Participate in small business outreach, including the Caltrans SBC Construction

Committee, Local Assistance Committee/Professional Services Committee, and

Commodities Committee events.

Review policy and procedures to ensure DBEs have opportunities to participate on

Caltrans’ contracts.

Partner with OBEO to implement a process for gathering Bidders List data.

Participate in the reconsideration hearing process.

E. Division of Rail and Mass Transportation

Initiate the DBE availability and disparity study.

Provide training to new and existing subrecipient staff on their responsibilities in the

DBE program.

Collect subrecipients’ semi-annual reports on contract awards/commitments and

payments on DBE participation, and submit reports to OBEO.

F. Division of Transportation Planning–Office of Regional Planning (ORP)

Update the Master Fund Transfer Agreements for Metropolitan Planning

Organizations and Regional Transportation Planning Agencies with DBE assurance

contract language.



Implement measures for spot checking subrecipients of federal funds during the

office’s existing Risk-Based Approach for documentation of transportation planning

agency’s processes—specifically for assurance of work acceptance, prompt payment,

and completion in accordance with DBE standards.

Upon the transition to a race-conscious program from race neutral for recipients of

federal funds, ORP will work with the OBEO to fully implement new measures.

Documents

California Department of Transportation Office of Business … · 2017-10-25 · California Department of Transportation Office of Business and Economic Opportunity ... (total) 1598**