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96 APPENDIX F Good Faith Effort Systems CALIFORNIA GOOD FAITH EFFORT ANALYSIS H) Considered DBEs a) Did low bidder provide copies of quotes? (Note: Original was not suitable for reproduction; subject b) Did low bidder provide copies of accepted quotes? headings are provided below.) (Space provided for descriptions of the Action of the Bid- der, Analysis of the Action, Reviewer's Findings.) A) Advertisement (for each publisher) I) Additional Data Supporting GFE a) Did the firm advertise? b) Were copies of the ads included? IOWA DEPARTMENT OF TRANSPORTATION'S c) Did ads include the bid date, contract number, and DISADVANTAGED BUSINESS ENTERPRISE work items that were available? PROGRAM d) Was assistance with bonding, equipment, and sup- plies described? September 2, 1999 e) Contact person listed? (REVISED June 19, 2000) (Space provided for descriptions of the Action of the Bid- der, Analysis of the Action, Reviewer's Findings.) Good Faith Efforts (49 CFR 26.53) B) Solicitation a) Solicitation copies included? The proposal will specify if the proposed contract has an b) Does solicitation include bid date, contract num- established DBE goal or has no established DBE goal. The ber, and items of work available? established DBE goal will be shown on the proposal as a per- c) Was assistance with bonding, equipment, and sup- cent of the total amount bid. The proposal may also designate plies described? the items that are overutilized by DBE firms and cannot be d) Contact person listed? used for DBE commitments. (Space provided for descriptions of the Action of the Bid- der, Analysis of the Action, Reviewer's Findings.) A. It is the bidder's responsibility to determine the level C) Items of Work Made Available of professional competence and financial responsi- a) Was enough made available? bility of any proposed DBE subcontractor. The bidder shall ascertain that the proposed DBE subcontractor b) Items listed in solicitation; advertisement? has suitable experience and equipment to perform a c) Did low bidder break down items? commercially useful function for work that is common (Space provided for descriptions of the Action of the Bid- industry practice in the Iowa highway construction der, Analysis of the Action, Reviewer's Findings.) industry. Subcontractor expenditures, which may be D) Rejected DBEs counted towards the DBE commitment, will include a) Did low bidder list rejected DBEs? DBE trucking, purchase of materials from a DBE man- b) Did low bidder provide copies of quotes? ufacturer or supplier, or off-site services provided by a c) Did low bidder provide copies of accepted quotes? certified DBE firm. (Space provided for descriptions of the Action of the Bid- der, Analysis of the Action, Reviewer's Findings.) B. For contracts with established project goals the bidders E) Assistance with Bonding will be required to complete the form "STATEMENT a) Referenced in advertisement, solicitation? OF DBE COMMITMENTS," number 102115, which b) Was assistance requested? is included in the bidding documents and in the com- (Space provided for descriptions of the Action of the Bid- puter software provided by the Department. der, Analysis of the Action, Reviewer's Findings.) The bidder shall list the following information on F) Assistance with Equipment or Supplies the Statement of DBE Commitments form that is sub- a) Referenced in advertisement, solicitation? mitted with their bid: b) Was assistance requested? (Space provided for descriptions of the Action of the Bid- Certified DBE firms contacted. der, Analysis of the Action, Reviewer's Findings.) Date that each DBE firm was first contacted con- G) Agencies, Organizations, and Groups Contacted cerning quoting on the proposal to be bid. a) Did bidder contact any agencies, organizations, or Whether each DBE firm submitted a quote on the groups? proposal to be bid. (Space provided for descriptions of the Action of the Bid- If the DBE firm is being used as part of the bid- der, Analysis of the Action, Reviewer's Findings.) der's DBE commitment.

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97 If used as part of the bidder's DBE commitment, of the average of the percentages of the DBE com- the work items that the DBE will be used for on mitments submitted by all bidders on the contract. the contract. If used as part of the bidder's DBE commitment, 3. Contractors with History of Utilizing DBEs--Bid- the "Quote Amount" that has been committed ders who have demonstrated their ability to utilize to each DBE firm, which will be used on the DBE firms on both federal-aid and non-federal- contract. aid projects let by the Department in the previous fis- If the DBE firm is being used as a supplier (in which cal years will be assumed to have made a Good Faith case, only 60% of the dollars paid to the DBE firm Effort to achieve the project goal. will count toward the DBE commitment). The "Net Dollar Commitment" of each DBE 4. Administrative Reconsideration of Project-Specific firm, which will be counted towards the DBE Good Faith Efforts--Contractors who have not met commitment. any of the previous three Administrative Recon- sideration criteria for being responsive for demon- The percent of DBE participation of each bidder will strating a Good Faith Effort to utilize DBE firms be calculated by the Office of Contracts by dividing the may request an Administrative Reconsideration of sum of the commitments to each DBE firm by the total their Good Faith Efforts. The Department's Admin- of the contract amount as defined by Article 1102.10. istrative Reconsideration Committee, who was not Each bidder's DBE participation commitment will be involved in the previous three steps, will perform calculated to the nearest tenth of a percent. If two or the Administrative Reconsideration. This com- more projects are combined on one proposal, the DBE mittee consists of the Department's Contract Engi- neer, Assistant Contracts Engineer, and the EEO/ commitment will be calculated using the sum of DBE AA Administrator. The determination made by the commitments and the sum of the project totals. Only Administrative Reconsideration Committee shall be DBE firms listed in the directory for the current letting considered final. may be used. E. Good Faith Efforts when a DBE is replaced on a C. The successful bidder shall be selected on the basis of contract. having submitted the lowest responsive bid. Contrac- If a DBE, committed for a goal on a contract, has tors who have met or exceed the proposed contract been terminated or has otherwise failed to complete goal will be assumed to have made Good Faith Effort work on a contract, the contractor must make Good to utilize DBE firms. DBE firms who bid as prime con- Faith Efforts to replace the DBE, to the extent needed tractors will be considered to have met the goal. to meet the goal on the contract, with another certified DBE. The prime contractor must immediately notify D. If a goal has been established for a contract, the Iowa the project engineer of the DBE's inability or unwill- DOT will award the contract to the lowest bidder mak- ingness to perform, providing reasonable documenta- ing good faith efforts to meet the contract goal. The tion to support the notice. The project engineer will following is the Department's process used to judge then notify the Civil Rights Administrator in the Iowa the Good Faith Efforts of bidders who have not met DOT's Office of Contracts and will obtain the admin- the established DBE goal: istrator's approval of any substitution that is made. When requesting approval of a substitution, the 1. Eighty Percent of the Goal--Bidders who have prime contractor must provide the Civil Rights Admin- achieved 80% of the established goal will be istrator with copies of new or amended subcontract assumed to have made a Good Faith Effort to requests, along with documentation of Good Faith achieve the goal. Efforts to continue meeting the original contract goal. If the contractor fails or refuses to provide the required 2. Eighty Percent of the Average Commitment--The information, the contractor will be penalized, dollar for Department has utilized an objective measurement dollar, for any work committed to DBEs but performed of good faith effort since October 31, 1988, where by non-DBEs. Repeated violations may result in sus- Good Faith Effort is determined by calculating 80% pension of the contractor's bidding privileges.