Corona City Council
May 21, 2025

DISADVANTAGED

BUSINESS

ENTERPRISE
PROGRAM City of Corona Transit Service
Program Update: MayOctober 20235
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Table of Contents
Disadvantaged Business Enterprise Objectives and Policy Statement............... 43 SUBPART A – GENERAL REQUIREMENTS ............................................................................ 54 DBE Program Objectives/Policy Statement (§ 26.1, 26.23) .......................................................... 54 Applicability (§ 26.3) ............................................................................................................................. 54 Definitions (§ 26.5) ............................................................................................................................... 54 Non-discrimination Requirements (§ 26.7) ....................................................................................... 54 Record Keeping, Reporting and Bidder’s List Requirements (§ 26.11 (b)(c)) ............................ 54 Reporting § 26.11 (b) .......................................................................................................................... 54 Bidder’s List § 26.11 (c) ....................................................................................................................... 65 Federal Financial Assistance Agreement and Contract Assurance (§ 26.13 (a)(b)) ................. 75 Federal Financial Assistance Agreement Assurance § 26.13 (a) ......................................................... 75 Contract Assurance § 26.13 (b) ........................................................................................................... 86 SUBPART B - ADMINISTRATIVE REQUIREMENTS ........................................................... 86 DBE Program Updates (§ 26.21) ....................................................................................................... 86 Policy Statement (§ 26.23) ................................................................................................................. 86 DBE Liaison Officer (DBELO) (§ 26.25) ........................................................................................... 96 DBE Financial Institutions (§ 26.27) ................................................................................................ 107 Prompt Payment Mechanisms (§ 26.29 (a)(b)) ............................................................................. 107 Prompt Payment §26.29(a) ............................................................................................................... 107 Retainage §26.29(b) .......................................................................................................................... 108 Monitoring and Enforcement §26.29(d) ........................................................................................... 118 Directory (§ 26.31) ............................................................................................................................. 129 Overconcentration (§ 26.33) ............................................................................................................. 129 Business Development Programs (§ 26.35) .................................................................................. 139 Monitoring and Enforcement Mechanisms (§ 26.37) .................................................................... 139 Small Business Participation (§ 26.39) ......................................................................................... 1713 SUBPART C - GOALS, GOOD FAITH EFFORTS, AND COUNTING .......................... 1814 Set-asides or Quotas (§ 26.43) ...................................................................................................... 1814 Overall Goals (§ 26.45) ................................................................................................................... 1914 Goal Setting and Accountability (§ 26.47) .................................................................................... 2115 Transit Vehicle Manufacturers Goals (§ 26.49) ........................................................................... 2215 City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 2 of 65
Breakout of Estimated Race-Neutral & Race-Conscious Participation (§ 26.51(a-c)) .......... 2216 Contract Goals (§ 26.51(d-g)) ........................................................................................................ 2416 Good Faith Efforts Procedures (§ 26.53)...................................................................................... 2517 Demonstration of good faith efforts (§ 26.53(a) & (c)) ................................................................... 2517 Information to be submitted (§ 26.53(b)) ....................................................................................... 2617 Administrative reconsideration (§ 26.53(d)) ................................................................................... 2618 Good Faith Efforts when a DBE is replaced on a contract (§ 26.53(f))............................................ 2818 Sample Bid Specification: ................................................................................................................ 3019 Counting DBE Participation (§ 26.55) ............................................................................................. 3119 SUBPART D and E - CERTIFICATION STANDARDS and PROCEDURES ............ 3120 DBE Certification Procedures (§ 26.61 - 26.91) .......................................................................... 3120 SUBPART F - COMPLIANCE AND ENFORCEMENT ....................................................... 3120 Information, Confidentiality, Cooperation (§ 26.109) .................................................................. 3120 Monitoring Payments to DBEs ....................................................................................................... 3220 ATTACHMENTS .............................................................................................................................. 3322 Attachment A – Organizational Chart............................................................................................ 3423 Attachment B – Bidders List Form ................................................................................................. 3625 Attachment C – Statement of Compliance-Self Certification ..................................................... 3928 Attachment D – DBE Utilization Attainment Report .................................................................... 4130 Attachment E – Overall DBE Goal and Methodology ................................................................. 4332 Attachment F – Transit Vehicle Manufacturer’s Certification .................................................... 5750 Attachment G – Roster of Certifying Agencies ............................................................................ 6152 Attachment H – Code of Federal Regulations: Title 49 CFR Part 26....................................... 6556

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City of Corona Transit Service
Background
The Code of Federal Regulations (CFR) Title 49, Part 26 sets forth the requirements for Participation by Disadvantaged Business Enterprises in Department of Transportation Programs.

To ensure firms are not disadvantaged when competing for U.S. Department of Transportation (DOT) assisted contracts, the Disadvantaged Business Enterprise (DBE) Program was established under the authority of Title VI of the Civil Rights Act of 1964 and other nondiscrimination statutes that apply to DOT financial assistance programs.

The DBE program is intended to ensure a “level playing field,” foster equal opportunity in DOTassisted contracts, improve the flexibility and efficiency of the DBE program, and reduce burdens on small businesses.

The Federal Transportation Administration (FTA) is one of the three DOT operating administrations with DBE program responsibilities and, as such, may provide additional guidance for program matters that are specific to their programs. The FTA requires that every recipient that has received Federal financial assistance from the Department of Transportation, and as a condition of receiving continued assistance, the recipient must sign an assurance that it will comply with 49 CFR Part 26.

In preparing the DBE Program, staff chose to very closely match a DBE sample program provided by the DOT. The General Counsel of the Department of Transportation reviewed the DOT sample program and approved it as consistent with the language and intent of 49 CFR Part 26, the DOT DBE rule. The sample DBE Program was obtained by downloading it along with the DBE regulations themselves, and other DOT guidance from DOT’s DBE website located at: Sample Disadvantaged Business Enterprise Program | US Department of Transportation According to DOT and FTA requirements, CCTS has revised its DBE Program according to the DBE final rule (April 9, 2024, 89 FR 24898).

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Disadvantaged Business Enterprise Objectives and Policy Statement The City of Corona, City of Corona Transit Service (CCTS) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 Code of Federal Regulation Part 26. The City of Corona Transit ServiceCCTS has will received Federal financial assistance from the Department of TransportationDOT, and as a condition of receiving this assistance, the City of Corona will signhas signed an assurance that it will comply with 49 CFR Part 26.

The City of Corona assures equal opportunity in the award and performance of any contract to all persons without regard to race, color, national origin, or sex. The intent of the DBE Program is to eliminate discriminatory practices, ensure discrimination is not occurring, increase participation of DBEs in all contracting activities to the maximum extent feasible, and meet the overall annual DBE participation goal, in compliance with 49 CFR Part 26. Adhering to this policy will ensure a level playing field and foster equal opportunity to receive and participate in DOTassisted contracts. It is also our policy:

1. To ensure nondiscrimination in the award and administration of DOT - assisted contracts;

2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;

3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law;

4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs;

5. To help remove barriers to the participation of DBEs in DOT- assisted contracts;

6. To promote the use of DBEs in all types of federally assisted contracts and procurement activities conducted by recipients;

6.7. To assist the development of firms that can compete successfully in the market place outside the DBE Program; and.

7.8. To provide appropriate flexibility to Facilitate the implementation of the DBE Program using race-neutral measures to the maximum extent feasiblerecipients of federal financial assistance in establishing and providing opportunities for DBEs.

This policy applies to all City of Corona employees in administering 49 CFR Part 26, and to contractors, bidders/offerors and subcontractors. To ensure adherence to this policy, the responsibilities of the DBE Liaison Officer have been delegated to the Transit Program Manager, who is responsible for implementing all aspects of the DBE program.

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Jacob Ellis, City Manager Date
SUBPART A – GENERAL REQUIREMENTS
DBE Program Objectives/Policy Statement (§ 26.1, 26.23) The objectives are found in the policy statement on the first second page of this program.

Applicability (§ 26.3)
The City of Corona, City of Corona Transit System (CCTS) is the recipient of Federal Transit Administration (FTA) funds authorized by Federal transit laws in Title 49, U.S. Code. Under Title 49 CFR Part 26 the City of Corona is required to establish a Disadvantaged Business Enterprise Program. This document sets forth the policies and procedures to be implemented by the City of Corona to ensure that DBEs have an equitable opportunity to participate in the City's U.S. DOTassisted contracting opportunities Definitions (§ 26.5)
The City of Corona will adopt the definitions contained in 49 CFR Section 26.5 for this program.

Non-discrimination Requirements (§ 26.7)
The City of Corona 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.

In administering its DBE program, the City of Corona 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.

Record Keeping, Reporting and Bidder’s List Requirements (§ 26.11 (b)(c)) Reporting § 26.11 (b)
The City of Corona will report DBE participation to DOT as follows:

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Report DBE participation to the relevant operating administration at the Federal Transit Administration using the Uniform Report of DBE Awards or Commitments and Payments, found in the DBE regulation. The report will be submitted at the intervals required by and in the format acceptable to the concerned Operating Administration. The report will cover all information described in the Uniform Report.

Report data about its DBE program to the Department as directed by DOT Operating Administrations.

The report due June 1 will cover data from October 1 to March 31 and the report due December 1 will cover data from April 1 to September 30. All dollar amounts reported will reflect the federal share of such contracts. The report will separate the dollar amount awarded to certified DBEs through the use of race conscious methods and race neutral methods.

Bidder’s List § 26.11 (c)
City of Corona will maintain information about all DBE and non-DBE firms that bid or quote on DOT-assisted contracts and enter it into a system designated by the Department. The bidders list will include the following information about all DBE and non-DBEs who bid as prime contractors and subcontractors on every federally-assisted contract:
i. Firm name;
ii. Firm address including ZIP code;
iii. Firm’s status as a DBE or non-DBE;
iv. Race and gender information for the firm’s majority owner; v. NAICS code applicable to each scope of work the firm sought to perform in its bid; vi. Age of firm; and
vii. The annual gross receipts of the firm. The City may obtain this information by asking each firm to indicate into what gross receipts bracket they fit (e.g., less than $ million; $1-3 million; $3-6 million; $6-10 million; etc.) rather than requesting an exact figure from the firm.

City of Corona will collect this information from all bidders for all federally assisted contracts by requiring the information in this section to be submitted with the their bids or initial responses to negotiated procurements. See Attachment B – Bidders List Form. City of Corona will enter this data in the Department’s designated system no later than December 1 following the fiscal year in which the relevant contract was awarded. In the case of a “design-build” contracting situation where subcontracts will be solicited throughout the contract period as defined in a DBE Commented [SP1]: Include attachment.

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Performance Plan, the data must be entered no later than December 1 following the fiscal year in which the design-build contractor awards the relevant subcontract(s).

City of Corona will create a bidders list, consisting of information about all DBE and non-DBE firms that bid or quote on DOT-assisted contracts. The purpose of this requirement is to allow use of the bidders list approach to calculating overall goals. The bidder list will include the name, address, DBE non-DBE status, age, and annual gross receipts of firms.

We will collect this information in the following ways:
 City of Corona Transit Service will require all bidders and proposers to identify their DBE status and identify all DBE subcontractors. See Attachment B – Bidders List Form.

Federal Financial Assistance Agreement and Contract Assurance (§ 26.13 (a)(b))
Federal Financial Assistance Agreement Assurance § 26.13 (a) Each financial assistance agreement the City of Corona signs with a DOT operating administration (or a primary recipient), must include the following assurance statement verbatim:

City of Corona will provide the following assurances statement verbatim on each federal finance assistance agreement it obtains:

City of Corona shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT assisted contract or in the administration of its DBE Program or the requirements of 49 CFR part 26. The 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 City of Corona its failure to carry out its approved program, the Department may impose sanction 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.).

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Contract Assurance § 26.13 (b)
Each contract that the City of Corona signs with a contractor (and each subcontract the prime contractor signs with a subcontractor) will include the following assurance:

City of Corona will ensure that the following assurance clause is placed verbatim in every federally-assisted contracts and subcontract:

The contractor, sub-recipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT- assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but not limited to:, (1) withholding monthly progress payments; , (2) assessing sanctions; , (3) liquidated damages;, and/or (4) disqualifying the contractor from future bidding as non-responsive.

SUBPART B - ADMINISTRATIVE REQUIREMENTS
DBE Program Updates (§ 26.21)
Since the City of Corona Transit Service is an FTA Tier I recipient expecting to receive a grant of $670,000 or more in FTA planning capital and/orSince the City of Corona Transit Service expects to receive a grant of $250,000 or more in FTA planning capital, and or operating assistance in a federal fiscal year, City of Corona will carry out the program until all funds from DOT financial assistance have been expended. The City of Corona will provide updates to the DOT, updates representing significant changes in the program.

Policy Statement (§ 26.23)
The City of Corona will have a signed and dated policy statement that expresses our commitment to the DBE program, states its objectives, and outlines responsibilities for its implementation.

The City will circulate the statement throughout the organization and the DBE and non-DBE business communities that perform work on DOT-assisted contracts.

The Policy Statement is elaborated on the first page of this program.

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DBE Liaison Officer (DBELO) (§ 26.25)
The City of Corona has designated the following individual as the DBE Liaison Officer:

Sudesh Paul, Transit Program Manager
[email protected] Phone: (951) 279-3763
In this capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that City of Corona Transit Service complies with all provision provisions of 49 CFR Part

26. The DBELO reports to the Public Works Director concerning DBE program matters. 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 with other appropriate officials. The DBELO may assign other personnel who will be responsible for any portion of developing, implementing, and monitoring the DBE program in coordination with the DBELO. The DBELO has a staff of one (1) to assist in the administration of the program. The duties and responsibilities include the following:

1. Gathers and reports statistical data and other information as required by DOT.

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 attainment and identifies ways to improve progress.

6. Analyzes City of Corona Transit Service’s progress toward attainment and identifies ways to improve progress.

7. Participates in pre-bid meetings.

8. Advises the CEO\governing body on DBE matters and achievement.

9. Participates with the legal counsel and project director to determine contractor compliance with good faith efforts.

10. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance.

11. Plans and participates in DBE training seminars.

12. Provides outreach to DBEs and community organizations to advise them of opportunities.

13. Maintains the City of Corona Transit Service's updated directory on certified DBEs.

Commented [SP2]: Add Attachment; confirm the order of
the attachment is still “A”
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DBE Financial Institutions (§ 26.27)
City of Corona will investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, and to make reasonable efforts to use these institutions. The City will also , and to encourage prime contractors on DOT-assisted contract to make use of these institutions. We will make the following efforts to identify and use such institutions:
 The DBELO will periodically review the availability of such financial institutions from the US DOT, Office of Small and Disadvantaged Business Utilization website at:
https://www.state.gov/s/dmr/sdbu/index.htm
Prompt Payment Mechanisms (§ 26.29 (a)(b))
Prompt Payment §26.29(a)
The City of Corona has established as part of its DBE program, the following contract clause to require prime contractors to pay subcontractors for satisfactory performance of their contract no later than 30 days from receipt of each payment made to the prime contractor:

The City of Corona will include the following clauses in each DOT-assisted prime contract:

The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contract receives from the City of Corona. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of City of Corona. This clause applies to both DBE and non-DBE subcontracts. For Public Works projects the payment shall occur no later than 7 days after payment to the prime contractor.

Retainage §26.29(b)
The City of Corona has established the following contract clause to ensure prompt and full payment of retainage from the prime contractor to the subcontractors within 30 days after the subcontractor's work is satisfactorily completed:

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The prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractors 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 City of Corona.

This clause applies to both DBE and non-DBE subcontracts.

The City will use one of the following methods to comply with this requirement:
1) The City may decline to hold retainage from prime contractors and prohibit prime contractors from holding retainage from subcontractors. 2) The City may decline to hold retainage from prime contractors and require a contract clause obligating prime contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed.
3) The City may hold retainage from prime contractors and provide for prompt and regular incremental acceptances of portions of the prime contract, pay retainage to prime contractors based on these acceptances, and require a contract clause obligating the prime contractor to pay all retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after your payment to the prime contractor.

Monitoring and Enforcement §26.29(d)
City of Corona Transit Service may perform interim audits of contract payments to DBEs. The audit will review payments to DBEs to ensure that the actual amount paid to DBEs equals or exceeds the dollar amounts stated in the schedule of DBE participation.

Evidence of payment made to subcontractors must be provided to verify compliance. Credit toward overall or individual contract goals will only be given upon satisfactory evidence that payments were actually made to DBEs. Such evidence shall be provided by the prime contractor through the submission of a progress report on DBE utilization to the City of Corona Transit Service directed by the City of Corona Transit Service staff. The information collected includes:

1. Name of each DBE and Subcontractor.

2. Type of work assignment for each DBE or Subcontractor.

3. The dollars committed to each firm.

4. The dollars paid to each firm during the reporting period.

5. The dollars paid to the firm as a result of a change order or other cost modification.

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6. Contractor signature under penalty of perjury that it has complied with all prompt payment requirements per State laws and 49 CFR 26.29.

If City of Corona determines that the prime contractor has failed to comply with the prompt payment provisions set forth, City of Corona may give written notice to the prime contractor and the prime contractor’s surety that, if the default is not remedied within a specified period of time (at least 10 days), the contract may be terminated. The contract may be terminated for cause in accordance with the contract terms and conditions for failing to meet the prompt payment provisions.

Directory (§ 26.31)
City of Corona is a non-certifying member of the California Unified Certification Program (CUCP) , therefore, will utilize the California Unified Certification Program (CUCP) DBE Directory to identify certified DBEs eligible to participate as DBEs on federal assisted projects. City of Corona will make certain it identifies in the contract specification the availability of the CUCP DBE Directory for prime contractors to use in soliciting DBE subbids. The CUCP DBE Directory can be found at California Unified Certification Program (dbesystem.com). The CUCP directory lists the firm’s name, address, phone number, fax number, on-site visit date, North American Industry Classification System (NAICS) code, ethnicity and gender of ownership, and the type of work the firm has been certified to perform as a DBE under which the firm has been certified to perform as a DBE. A listing in the DBE directory does not in any way guarantee a firm’s capacity or ability to perform specific tasks or services, nor does a listing in the DBE directory pre-qualify the identified DBE firms with respect to licensing, bonding ability, competence, or financial responsibility. Users of DBE directory information are advised to conduct their own due diligence when engaging DBE-listed entities.

Overconcentration (§ 26.33)
While the City of Corona has not identified that overconcentration exists in the types of work that DBE’s perform, staff will monitor and analyze the type of contracts/subcontracts awarded to DBE’s to determine if there is an overconcentration in particular fields. If overconcentration is found to exist, the City of Corona will inform the FTADOT operating administration. The City will also take measures to encourage DBEs within the area of overconcentration to expand into other fields, and enhance its communication with its prime contractors and its outreach within the network of DBE vendors to address the overconcentration.

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Business Development Programs (§ 26.35)
City of Corona has not established a business development program. However, if City of Corona identifies the need for such a program in the future, the rationale for adopting such a program and a comprehensive description of the program, will be submitted as a significant update to the DBE Program Plan.

Monitoring and Enforcement Mechanisms (§ 26.37)
City of Corona will implement appropriate mechanisms to ensure compliance with the requirements in this part by all program participants.

City of Corona will implement monitoring and enforcement mechanism to ensure that work committed, or in the case of race-neutral participation, the work subcontracted, to all DBEs at contract award or subsequently is performed by the DBEs to which the work was committed or subcontracted to, and such work is counted according to the requirements of §26.55. The mechanism will include a written verification that the City has reviewed contracting records and monitored the work site to ensure the counting of each DBE's participation is consistent with its function on the contract.

City of Corona will implement the following running tally mechanisms:
1) With respect to achieving the overall goal, City of Corona will use a running tally that provides for a frequent comparison of cumulative DBE awards/commitments to DOTassisted prime contract awards to determine whether the current implementation of contract goals is projected to be sufficient to meet the annual goal. This mechanism will inform the City’s decisions to implement goals on contracts to be advertised according to the City’s established contract goal-setting process.
2) With respect to each DBE commitment, the City will use a running tally that provides for a frequent comparison of payments made to each listed DBE relative to the progress of work, including payments for such work to the prime contractor to determine whether the contractor is on track with meeting its DBE commitment and whether any projected shortfall exists that requires the prime contractor's good faith efforts to address to meet the contract goal pursuant to § 26.53(g).

See Attachment C – Monitoring and Enforcement Mechanisms for details.

City of Corona will implement appropriate mechanisms, including sanctions, suspension, debarment, and application of legal and contractual remedies available under Federal, state, and local laws, as deemed appropriate and necessary, to ensure compliance with the requirements City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 14 of 65
by all program participants. Specifically, City of Corona will take the following monitoring and enforcement steps to ensure compliance with 49 CFR Part 26:
 Bring to the attention of the Department of Transportation 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. Consider similar action under our own legal authorities, including responsibility determinations in future contracts.  Implement enforcement and monitoring processes/procedures outlined in DBE Contract Provisions contained in all engineering design/professional services, construction, transit and DOT-assisted contracts and this DBE Program Plan. This includes processes for Good Faith Efforts review and approval, counting DBE participation, monitoring and enforcing prompt payment, review and approval of substitutions and termination of DBEs on projects, requiring payment certifications from DBEs and Prime contractors attesting to total amounts paid to DBE firms, and contract closeout procedures that evaluate whether DBE goals have been met on each contract.
 Implement procedures to verify that work committed to DBEs at contract award is actually performed by the DBEs. This will be accomplished by document reviews of contracting records, project onsite visits and interviews conducted by CCTS staff and construction inspectors, review of payroll records for public work activity and a thorough review of invoices provided for services, as applicable. This will occur for each contract/project on which DBE’s are participating.
 Compile and maintain a report of awards/commitments and attainment, which is reported semi-annually to FTA.
 Keep a running tally of DBE utilization/attainment, including race-neutral DBE participation, as well as payments to DBE firms for work committed to them at the time of contract award. See Attachment D – DBE Utilization Attainment Report.  Track and delineate state/federal funding split to ensure that only the federal share is reported on Uniform Reports to US. DOT. This information is tracked in Excel spreadsheet and compared to City of Corona’s OneSolution System.
 Compare DBE commitment submitted at the beginning of each project with Written Certification at the end of the project to determine if DBE goal was met.

Written Certification
The mechanism includes a written certification that City of Corona has reviewed contracting records and monitored work sites for DBE participation. The City of Corona Transit Staff will monitor every contract with DBE requirements, on paper and in the field and will include a City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 15 of 65
written certification that this compliance monitoring effort took place in accordance with the Contract Close-Out Report. Refer to Attachment C – Self Certification Statement of Compliance.

The mechanisms include comparing the DBE commitments to actual DBE attainments.

Procedures to Monitor Compliance
Monitoring will occur after contract award and will be assigned to the City of Corona Transit Staff to monitor actual DBE participation through contractor and subcontractor reports. After the contract award, City of Corona Transit Staff will review the award documents for the portion of work each DBE and/or subcontractor will be performing and the dollar value of that work. With these documents, City of Corona Transit Staff will be able to determine the work to be performed by the listed DBE’s or subcontractors.

Construction Contract On-Site Monitoring
City of Corona will ensure that City of Corona Transit Staff and inspectors know what items of work each DBE is responsible for performing. Inspectors will notify City of Corona Transit Staff immediately of apparent violations. When a firm other than the listed DBE subcontractor is found performing the work, the City of Corona Transit Staff will notify the Contractor of the apparent discrepancy and potential loss of payment. Based on the Contractor’s response, City of Corona will take appropriate action. 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.

This monitoring effort is fully incorporated into DBE On-site Monitoring process. The observed work will be reconciled against the DBE commitment.

Record Keeping and Final Utilization Report of DBE
The Contractor shall maintain records showing each listed DBE and first-tier subcontractor. These records will be made available for inspection upon request by any authorized representative of City of Corona, or FTA. The records shall include:

1. Contract number, DBE goal commitment and brief description of the work.

2. Name and address of each DBE listed and certifications held.

3. The dollar amount of each subcontract, including supplies and services.

4. Reports from Contractor with an accounting of actual expenditures to DBEs and the progress to date in meeting the DBE participation commitment.

5. Evidence to support subcontractor substitution requests, where appropriate.

6. Evidence to support prompt payments made, with date of payment and total dollar figure paid to each DBE, subcontractor and suppliers.

7. 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.

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Contract Close-Out Report
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 ReportUtilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors" will be submitted to City of Corona. City of Corona Transit Staff will compare the completed form to the contractor’s completed "Designation of Subcontractors". The DBE’s 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 DBE’s and they were added. The dollar amount should reflect any changes made in planned work done by the DBE. The Contractor will be required to explain in writing why the names of the subcontractors, the work items or dollar figures are different from what was originally shown on the completed "Designation of Subcontractors" form when:
 There have been no changes made by the RE.
 The Contractor has not provided a sufficient explanation in the comments section of the completed "Final Report-Utilization of Disadvantaged Business Enterprises (DBE), FirstTier 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 City of Corona staff will file this report in the project records. The "Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors" form is available on the California Department of Transportation, Local Agency Program Manual Forms, Chapter 17 website at Forms | Caltrans.

Administrative Remedies for Non-Compliance
A Contractor deemed to be in non-compliance shall be informed in writing, by certified mail, by the DBELO or designee, that administrative remedies shall be imposed for failure to meet DBE committed goal and/or submit evidence of good faith efforts to the satisfaction of the City of Corona. The Contractor shall be given five (5) working days from the date of the notice to file a written appeal to the DBELO. Failure to respond within the five (5) day period shall constitute a waiver of appeal. The notice shall state the specific administrative remedy to be imposed.

The City of Corona may schedule an informal hearing to gather additional facts and evidence and shall issue a final determination on the matter within five (5) working days of receipt of the written appeal. The written decision of the CITY OF CORONA TRANSIT SERVICE or designee is final and there is no further appeal.

The CITY OF CORONA TRANSIT SERVICE reserves the right to initiate Administrative Remedies, which may include but are not limited to:

City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 17 of 65
 Withholding of payments due equivalent to the difference between the actual DBE attainment and the overall project and/or contract specific DBE goal.  Suspension of payment to the Contractor of any other monies held by the City of Corona; and
 Termination of the Contract in part or in whole.

The Administrative Remedies shall not apply if the Contractor is able to demonstrate to the satisfaction of the City of Corona that it exercised good faith efforts in an attempt to meet the contract-specific DBE goal, where applicable.

The City of Corona will bring to the attention of the FTA any false, fraudulent, or dishonest conduct in connection with the program, so that FTA can take the steps (e.g., referral to the U.S.

Department of Justice for criminal prosecution, referral to the USDOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in §26.109.

The City of Corona will also consider similar action under its own legal authorities, including responsibility determinations in future contracts.

The requirements of this section equally apply to a DBE operating as a prime contractor.

Fostering Small Business Participation (§ 26.39)
City of Corona’s DBE program includes an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors.

This element will be submitted to the appropriate DOT operating administration for approval as part of the City’s DBE program. As part of this program, the City may include, but is not limited to, the following strategies:
1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1 million).
2) In multi-year design-build contracts or other large contracts (e.g., for “megaprojects”) requiring bidders on the prime contract to specify elements of the contract or specific City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 18 of 65
subcontracts that are of a size that small businesses, including DBEs, can reasonably perform.
3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved. 4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts.
5) To meet the portion of the City’s overall goal, the City will project to meet through raceneutral measures, ensuring that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform.

The City will actively implement its program elements to foster small business participation to ensure the City meets the requirement of good faith implementation of its DBE program.

City of Corona will incorporate the following non-discriminatory element to its DBE program, in order to facilitate competition on DOT-assisted public works projects by small business concerns (both DBEs and non-DBE small businesses):
 Breaking out procurements or unbundling procurement actions to provide greater opportunities for Disadvantaged Business Enterprises (DBEs), small and minority firms, and women’s business enterprises to participate.
 For procurements that require competition, City of Corona will seek out small businesses to compete for these procurement actions by actively including DBE and non-DBE small business firms on the solicitation lists.
 For micro purchases that do not require competition, seeking out DBE and non-DBE small business firms to satisfy these requirements.

For the purpose of this program, small businesses are as defined in the Code of Federal Regulations, Title 49, Part 26.65 (Attachment I) and the Small Business Act and Small Busines Administration regulations under Title 13, part 121

SUBPART C - GOALS, GOOD FAITH EFFORTS, AND COUNTING
Set-asides or Quotas (§ 26.43)
City of Corona does will not use quotas in any way in the administration of this DBE program.

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City of Corona will not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited and extreme circumstances, the City may use set-asides when no other method could be reasonably expected to redress egregious instances of discrimination.

City of Corona may consider establishing a Small Business set-aside program as allowed in §26.39 – Foster Small Business Participation. If City of Corona selects to implement a small business setaside program, it will follow the requirements under §26.21 - DBE Program Updates.

Overall Goals (§ 26.45)
A description of the methodology to calculate the overall goal and the goal calculations can be found on the City’s website at: in Attachment E – Overall DBE Goal and Methodology, to this program. Public Transit | City of Corona
In accordance with Section 26.45(f), City of Corona will submit its Triennial DBE overall goal by August 1 at three (3) year intervals, based on the FTA schedule. The City of Corona will express the overall contract goal as a percentage of the total amount of the federal assistance received.

The process generally used to establish the overall DBE goal is as follows:

1. The overall DBE goal represents the amount of FTA-assisted funds the City anticipates expending over three Federal Fiscal year;, therefore, tThe City establishesd a reasonable estimate of FTA- funded contracting activities for the covered federal fiscal years.

2. Thethe two-step goal setting process required by the 49 CFR Part 26; Section 26.45 will be used to determine the City’s base figure. The two steps for setting an overall goal are:
i. Step One: Establish a base figure for the relative availability of DBEs. The base figure is intended to be a measurement of the current ready, willing and able DBEs as a percentage of all ready, willing and able businesses to perform the Citys anticipated FTA-assisted contracts in the City’s market area. The City uses the following method to determining the base figure:

1. City categorized these contracting opportunities by NAICS Code.

2. The City reviewed its contracting database and established the Counties of Riverside, San Bernardino & Orange as its market area, where the majority of contracting occurs.

3. The City then developed an estimate of ready, willing, and able DBE’s based on the State of California Unified Contracting Database for the Market Area.

4. The City developed the number of overall firms ready, willing, and available, by NAICS Code, utilizing US Census Data.

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5. When necessary, the City evaluated both DBE’s and Non-DBE’s to ensure the accuracy of the NAICS code area, and the firms ready, willing, and able, to satisfy the City’s requirements.

6. The City then multiplied the dollar value of the opportunities by the result of dividing the number of DBE firms by the number of total firms.

7. The City then totaled these amounts to arrive at the step one goal. ii. Step Two: Determine the base figure adjustment, if necessary. During this step, the City will examine relevant and reliable data in the City’s market area to determine if an adjustment to the base figure is warranted. The consideration of an adjustment is intended to account for any impact the relevant factors may have on DBEs contracting opportunities with the City. The following factors will be considered for the Step Two adjustment:

1. Past DBE goal attainment

2. Evidence from Disparity Studies

3. The City’s Bidder List

2. City categorized these contracting opportunities by NAICS Code.

3.1. The City reviewed its contracting database and established the Counties of Riverside, San Bernardino & Orange as its market area, where the majority of contracting occurs.

4.1. The City then developed an estimate of ready, willing, and able DBE’s based on the State of California Unified Contracting Database for the Market Area.

5.1. The City developed the number of overall firms ready, willing, and available, by NAICS Code, utilizing US Census Data.

6.1. When necessary, the City evaluated both DBE’s and Non-DBE’s to ensure the accuracy of the NAICS code area, and the firms ready, willing, and able, to satisfy the City’s requirements.

7.1. The City then multiplied the dollar value of the opportunities by the result of dividing the number of DBE firms by the number of total firms.

8.1. The City then totaled these amounts to arrive at the step one goal.

Before establishing the overall goal, the DBELO or staff designated by the DBELO City of Corona will consult with the various organizations in the market area, such as Chamber of Commerce, minority, women-owned and small business groups, community organizations, the U.S. Census Bureau, and the CUCP to obtain information concerning the relative availability of disadvantaged DBE and non-DBE firms, and non-disadvantaged businesses, the effects of discrimination on City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 21 of 65
opportunities for DBEs, and City of Corona’sthe City’s efforts to establish a level playing field for the participation of DBEs.

Following this consultation, City of Coronathe City 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 Clerk’s office for 30 days following the date of the notice.

The notice will be posted on City’s official Internet Website. The notice informs the public that the City and DOT will accept comments on the goals for 30 days from the date of the notice. If the proposed goal changes following review, the revised goal will be posted on the City’s official Internet Web site.

In accordance with Section 26.45(f), the City will submit its overall goal to DOT on August 1 at three-year intervals based on the schedule established by the FTA. City of Corona’s overall goal submission to DOT will include: the goal (including the breakout of estimated race-neutral and race-conscious participation, as appropriate); a copy of the methodology, worksheets, etc., used to develop the goal; a summary of information and comments received during the consultation period and proof of publication of the goal on the City’s website.

While the City is required to submit an overall goal to FTA every three years, the overall goal the provisions of Section 26.47© apply to each fiscal year during the three-year period. City of Corona will begin using the overall goal on October 1 of each year, unless we have received other instructions from DOT. If a project- based goal is established, then the goal will be utilized by the time of the first solicitation for a DOT-assisted contract for the project. The overall DBE goal will remain effective for the duration of the three-year period established and approved by the FTA.

Goal Setting and Accountability (§ 26.47)
If the awards and commitments shown on the City’s Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall goal applicable to that fiscal year, City of Corona staff will:

1. Analyze in detail the reason for the difference between the overall goal and the actual awards/commitments;

2. Establish specific steps and milestones to correct the problems identified in the analysis; and

3. Establish and implement a corrective action plan, and maintain information/records regarding the analysis and efforts made and make available to FTA on request for their review.

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Transit Vehicle Manufacturers Goals (§ 26.49)
City of Corona will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, to certify that it has complied with the requirements of this section. The City will not include FTA assistance used in transit vehicle procurements in the base amount from which the City’s overall goal was calculated.

Alternatively, City of Corona may, at its discretion and with FTA approval, establish projectspecific goals for DBE participation in the procurement of transit vehicles in lieu of the TVM complying with this element of the program.

Within 30 days of becoming contractually required to procure a transit vehicle, the City will report to FTA the following:

1. The name of the TVM that was the sucessful biddger; and

2. The Federal share of the contractual commitment at that time.

CCTS will submit within 30 days of making an award, the name of the successful bidder, and the total dollar value of the contract.

See Attachment DF: The TVM Certification is attached hereto Breakout of Estimated Race-Neutral & Race-Conscious Participation (§

26.51(a-c))
City of Corona will make efforts to meet the maximum feasible portion of the overall goal by using race-neutral means of facilitating race-neutral DBE participation. Race-neutral DBE participation includes any time a DBE wins a prime contract through customary competitive procurement procedures, or is awarded a subcontract on a prime contract that does not carry a DBE contract goal. , or even if there is a DBE goal, wins a subcontract from a prime contractor that did not consider its DBE status in making the award (e.g., a prime contractor that uses a strict low bid system to award subcontracts).

The City will implement the following race-neutral measures, which are aimed at increasing DBE and other small business participation:

1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate participation by DBEs and other small businesses and by making contracts more accessible to small businesses, by means such as those provided under § 26.39;
Commented [SP3]: Check order number
City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 23 of 65

2. Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing);

3. Providing technical assistance and other services;

4. Carrying out information and communications programs on contracting procedures and specific contract opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in languages other than English, where appropriate);

5. Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses;

6. Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency;

7. Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low;

8. Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors; and

9. Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media.

Each time the City submits the overall goal for review by the concerned operating administration, RTA will also submit its projection of the portion of the goal that it expects to meet through raceneutral means and the basis for that projection. This projection is subject to approval by the concerned operating administration, in conjunction with its review of the City’s overall goal.

Race-neutral measures, as described in City of Corona’s Overall DBE Goal and Methodology states, “In conformance with Title 49 CFR Part 26; “Participation by Disadvantaged Business Enterprises in Department of Transportation Programs” and in further response to FTA Notices issued to Public Transportation Providers regarding DOT’s DBE Program and Race-Neutral Policy Implementation Guidance, City of Corona is required to submit and implement a strictly RaceNeutral Overall DBE Goal for FFY 2018-2020, due to the absence of readily available evidence of discrimination and its effects in its marketplace. (Refer to Attachment E - Overall DBE Goal and Methodology for FFY 2018-2020).

This section of the program will be updated annually when and if the goal calculation is updated.

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Contract Goals (§ 26.51(d-g))
The City will use contract goals to meet any portion of the overall goal that the City does not project being able to meet using race-neutral means.

The following provisions apply to the use of contract goals:

1. The City may use contract goals only on those DOT-assisted contracts that have subcontracting possibilities.

2. The City is not required to set a contract goal on every DOT-assisted contract. The city is not required to set each contract goal at the same percentage level as the overall goal.

The goal for a specific contract may be higher or lower than that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. However, over the period covered by the overall goal, the City will set contract goals so that they will cumulatively result in meeting any portion of the overall goal that the City does not project being able to meet through the use of race-neutral means.

3. Operating administration approval of each contract goal is not necessarily required.

However, operating administrations may review and approve or disapprove any contract goal that the City establishes.

4. The City’s contract goals must provide for participation by all certified DBEs and must not be subdivided into group-specific goals.

Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of our overall goal that is not projected to be met through the use of race-neutral means. We will establish contract goals only on those DOTassisted contracts that have subcontracting possibilities. We need not establish a contract goal 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.) We will express our contract goals as a percentage of [total amount of a DOTassisted contract] or [the Federal share of a DOT-assisted contract]. [Note: Recipients can choose either approach; program should mention which choice the recipient made].

City of Corona will meet the maximum feasible portion of its overall goal using race-neutral means of facilitating DBE participation. In order to do so, City of Corona will participate in:

1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate participation by DBEs and other small businesses and by making contracts more accessible to small businesses

2.1. Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 25 of 65
requirements, eliminating the impact of surety costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing);

3.1. Providing technical assistance and other services;

4.1. Carrying out information and communications programs on contracting procedures and specific contract opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in languages other than English, where appropriate);

5.1. Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses;

6.1. Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency;

7.1. Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low;

8.1. Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors; and

9.1. Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media.

Good Faith Efforts Procedures (§ 26.53)
Demonstration of good faith efforts (§ 26.53(a) & (c))
When the City In the event the City of Corona Transit Service establishes an individual DBE contract goal, the City will not award the contract only to a bidder/offeror who makes good faith efforts to meet it. The City will determine that a bidder/offeror has made good faith efforts if the bidder/offeror does either of the following things:to a bidder who does not either: 1) meet the contract goal with verified, countable DBE participation; or 2) documents it has made adequate good faith efforts to meet the DBE contract goal. It is the obligation of the bidder/offeror to demonstrate it has made sufficient good faith efforts prior to submission of its bid. Examples of good faith efforts are found in Appendix A of 49 CFR Part 26 (Attachment H).

1. Documents that it has obtained enough DBE participation to meet the goal; or

2. Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in obtaining enough DBE participation to do so. If the bidder/offeror does document adequate good faith efforts, the City will not deny award of the contract on the City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 26 of 65
basis that the bidder/offeror failed to meet the goal. See Appendix A Title 49 Part 26 (Attachment E) for guidance in determining the adequacy of a bidder/offeror's good faith efforts.

The Department Coordinator will be 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.

City of Corona Transit Service staffThe City will ensure that all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before we committing to the performance of the contract by the bidder/offeror.

Information to be submitted (§ 26.53(b))
City of Corona Transit ServiceThe City treats bidder/offers' compliance with good faith efforts' requirements as a matter of responsivenessresponsibility.

Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the following information by the time the bid or proposal is due:

1. The names and addresses of 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 participating;

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.

Administrative reconsideration (§ 26.53(d))
If Within ten (10) days of being informed by the City of Corona Transit Servicedetermines that the apparent sucessful it is not responsive because it has not documented sufficient good faith efforts, a bidder/offeror failed to meet the requirements of good aith efforts, the City will, before awarding the contract, provide the bidder/offer an oopportunity for may request administrative reconsideration. Bidder/offerors should make this request in writing to the following Commented [SP4]: Reference attachment
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reconsideration official: Community Services Director, Community Services 400 S. Vicentia Ave., Corona, CA 92882. The reconsideration official will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts.

1. 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.

2. The City’s decision on the reconsideration must be made by an official who did not take part in the original determination that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so.

3. The bidder/offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do.

4. WeThe City 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.

5. The result of the reconsideration process is not administratively appealable to the Department of Transportation.

Bidder/offerors should make this request in writing to the following reconsideration official:

CommunityPublic Works Services Director, Community ServicesPublic Works, 400 S. Vicentia Ave. Suite 210, Corona, CA 92882. The reconsideration official will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts.

The bidder/offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. We 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 the Department of Transportation.

Design-Build (§ 26.53(e))
In a design-build contracting situation, in which the recipient solicits proposals to design and build a project with minimal-project details at time of letting, the recipient may set a DBE goal that proposers must meet by submitting a DBE Open-Ended DBE Performance Plan (OEPP) with the City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 28 of 65
proposal. The OEPP replaces the requirement to provide the information required in 26.53(b) of this section that applies to design-bid-build contracts. To be considered responsive, the OEPP must include a commitment to meet the goal and provide details of the types of subcontracting work or services (with projected dollar amount) that the proposer will solicit DBEs to perform.

The OEPP must include an estimated time frame in which actual DBE subcontracts would be executed. Once the design-build contract is awarded, the recipient must provide ongoing monitoring and oversight to evaluate whether the design-builder is using good faith efforts to comply with the OEPP and schedule. The recipient and the design-builder may agree to make written revisions of the OEPP throughout the life of the project, e.g., replacing the type of work items the design-builder will solicit DBEs to perform and/or adjusting the proposed schedule, as long as the design-builder continues to use good faith efforts to meet the goal.

Good Faith Efforts when a DBE is replaced on a contract (§ 26.53(f)) The City of Corona Transit Service will require a contractor require that a prime contractor not terminate a DBE or any portion of its work without the City’s prior written consent, unless the City causes the termination or reduction. A termination includes any reduction or underrun in work listed for a DBE not caused by a material change to the prime contract by the recipient. This requirement applies to instances that include, but are not limited to, when a prime contractor seeks to perform work originally designated for a DBE subcontractor with its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm. 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. We will require the prime contractor to notify the DBE Liaison officer immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation.

The City may provide such a written consent only if the City agrees that the prime contractor has good cause to terminate the listed DBE or any portion of its work.

Good cause does not exist if the prime contractor seeks to terminate a DBE or any portion of its work that it relied upon to obtain the contract so that the prime contractor can self-perform the work for which the DBE contractor was engaged, or so that the prime contractor can substitute another DBE or non-DBE contractor after contract award. For purposes of this paragraph , good cause includes the following circumstances:
i. The listed DBE subcontractor fails or refuses to execute a written contract; ii. The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal industry standards. Provided, however, that good cause does City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 29 of 65
not exist if the failure or refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or discriminatory action of the prime contractor; iii. The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable, nondiscriminatory bond requirements;
iv. The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;
v. The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment proceedings pursuant to 2 CFR parts 180 and 1200 or applicable State law;
vi. RTA has determined that the listed DBE subcontractor is not a responsible contractor; vii. The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice of its withdrawal;
viii. The listed DBE is ineligible to receive DBE credit for the type of work required; ix. A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its work on the contract; and
x. Other documented good cause that you determine compels the termination of the DBE subcontractor.

Before transmitting to the City a request to terminate a DBE subcontractor or any portion of its work, the prime contractor must give notice in writing to the DBE subcontractor, with a copy to the City sent concurrently, of its intent to request to terminate and the reason for the proposed request.

The prime contractor's written notice must give the DBE 5 days to respond, advising the City and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract/or portion thereof and why the City should not approve the prime contractor's request. If required in a particular case as a matter of public necessity (e.g., safety), the City may provide a response period shorter than 5 days.

In addition to post-award terminations, the provisions of this section apply to pre-award deletions or changes to DBEs or their listed work put forward by offerors in negotiated procurements
When a DBE subcontractor or any portion of its work is terminated by the prime contractor or the firm fails to complete its work on the contract for any reason, including when work committed to a DBE is not countable or reduced due to overestimations made prior to award, the prime contractor must use good faith efforts to include additional DBE participation to the extent needed to meet the contract goal. The good faith efforts shall be documented by the City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 30 of 65
contractor. If the City requests documentation under this provision, the contractor shall submit the documentation within 7 days, which may be extended for an additional 7 days, if necessary, at the request of the contractor, and the City shall provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated.

In this situation, CCTS will require the prime contractor to obtain 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, our 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.

The City will include in each prime contract the contract clause required by § 26.13(b) stating that failure by the contractor to carry out the requirements of this part is a material breach of the contract and may result in the termination of the contract or such other remedies set forth in that section the City deems appropriate if the prime contractor fails to comply with the requirements of this section.

Sample Bid Specification:

The requirements of 49 CFR Part 26, Regulations of the U.S. Department of Transportation, apply to this contract. It is the policy of the [Name of Recipient] to practice nondiscrimination based on race, color, sex, or national origin in the award or performance of this contract. All firms qualifying under this solicitation are encouraged to submit bids/proposals. Award of this contract will be conditioned upon satisfying the requirements of this bid specification. These requirements apply to all bidders/offerors, including those who qualify as a DBE. A DBE contract goal of ____ percent has been established for this contract. The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (Attachment HE), to meet the contract goal for DBE participation in the performance of this contract.

The bidder/offeror will be required to submit the following information: (1) the names and addresses of DBE firms that will participate in the contract; (2) a description of the work that each DBE firm will perform; (3) the dollar amount of the participation of each DBE firm participating; (4) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet the contract goal; (5) Written confirmation from the DBE that it is participating in the contract as provided in Commented [SP5]: Confirm attachment
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the commitment made under (4); and (5) if the contract goal is not met, evidence of good faith efforts.

Counting DBE Participation (§ 26.55)
City of Corona Transit ServiceThe City will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55.

SUBPART D and E - CERTIFICATION STANDARDS and

PROCEDURES
DBE Certification Procedures (§ 26.61 - 26.91)
In order to reduce administrative burden associated with determining the eligibility of firms to participate as DBEs in FTA-assisted contracts, City of Coronathe City will rely on the California Unified Certification Program (CUCP) to perform the DBE certification determinations.

City of Corona is a non-certifying member of the CUCP; and will utilize the CUCP certification directory (Caltrans - Disadvantaged Business Enterprise System (dbesystem.com)) to determine the eligibility of DBEs, their work codes, etc., in order to participate as DBEs on City of Corona Transit Service projects. . Information about the DBE certification process can be obtained from the following websites:

Information: Disadvantaged Business Enterprises (DBE) | Caltrans To apply for certification: Caltrans - Disadvantaged Business Enterprise System (dbesystem.com) See Attachment GF – CUCP Roster of Certifying Agencies.

SUBPART F - COMPLIANCE AND ENFORCEMENT
Information, Confidentiality, Cooperation (§ 26.109)
Confidentiality
The City of Corona will safeguard from disclosure ing to third parties, information that may reasonably be regarded as confidential business information, consistent with Federal, state, and Commented [SP6]: Confirm attachment
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local law. California Government Code §6250 provides for the disclosure of certain public information. Since the City of Corona is not a Certifying Entity, personal information is not routinely handled by the City.

Notwithstanding any contrary provisions of state or local law, the City of Corona will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than DOT) without the written consent of the submitter.

Monitoring Payments to DBEs(26.37)
The City of Corona will require prime contractors 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 Corona or DOT. This reporting requirement also extends to any certified DBE subcontractor.

The City will require reporting by the prime contractor of actual payments to DBE firms for work committed to them at the time of contract award.

The City of Corona will perform interim audits of contract payments to DBEs. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts states stated in the schedule of DBE participation.

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ATTACHMENTS
Attachment A City of Corona Transit Service - Organizational Chart with DBELO Attachment B Bidders List Form
Attachment C Monitoring and EnforcementStatement of Compliance – Self Certification
Attachment D DBE Utilization Attainment Report
Attachment E Overall DBE Goal and Methodology
Attachment DF TVM Certification
Attachment GE Regulations: 49 CFR part 26 Roster of Certifying Agencies Attachment HF Regulations: 49 CFR part 26CUCP Roster of Certifying Agencies City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 34 of 65
Attachment A – Organizational Chart
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Attachment B – Bidders List Form
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Attachment C – Statement of Compliance-Self CertificationMonitoring and Enforcement
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Disadvantaged Business Enterprise (DBE)
Self-Certification

STATEMENT OF COMPLIANCE
Project No: ____________
Project Name: ________________________
I, __________________________________, undersigned, have the authority to act for and on behalf of the CITY OF CORONA TRANSIT SERVICE, and certify under penalty of perjury that this federal-aided project has been monitored in conformance with Part 26 of Title 49 of the Code of Federal Regulations—DBE Regulations.

Date: _________________________ Signature: ___________________________________ Comments/Exceptions (Explanation):

Enclosures: Copies of the DBE Final Payment Record
Maintain in contract file.
(Name & Title)
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Attachment D – DBE Utilization Attainment Report
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Attachment E – Overall DBE Goal and Methodology
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Attachment C – Monitoring and Enforcement

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Attachment FD – Transit Vehicle Manufacturer’s Certification City of Corona Disadvantaged Business Enterprise Program FFY 2024-202Update May 20256 Page 59 of 65
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Attachment HE – Code of Federal Regulations: Title 49 CFR Part 26

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Attachment GF – Roster of Certifying Agencies
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Attachment H – Code of Federal Regulations: Title 49 CFR Part 26