HomeMy WebLinkAboutState of California Department of Transportation (Caltrans) 2022-06-27Local Assistance Procedures Manual EXHIBIT 9-B
Local Agency DBE Annual Submittal Form
Exhibit 9-B: Local Agency DBE Annual Submittal Form
TO: CALTRANS DISTRICT ________
District Local Assistance Engineer
The information for Exhibit 9-B presented herein is in accordance with Title 49 of the Code of Federal Regulations
(CFR), Part 26, and the State of California Department of Transportation (Caltrans) Disadvantaged Business
Enterprise (DBE) Program Plan.
The City/County/Region of
submits our annual 9-B information for the Federal Fiscal YHDU/ , beginning on 2FWREHUDQGHQGLQJ
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Disadvantaged Business Enterprise Liaison Officer (DBELO)
Planned Race-neutral Measures
Prompt Pay
49 CFR 26.29(b) requires one of three methods be used in federal-aid contracts to ensure prompt and full
payment of any retainage kept by the prime contractor or subcontractor to a subcontractor.
Prompt Pay Enforcement Mechanism
49 CFR 26.29(d) requires providing appropriate means to enforce prompt payment. These means may include
appropriate penalties for failure to comply with the terms and conditions of the contract. The means may also
provide that any delay or postponement of payment among the parties may take place only for good cause with
the Local Agency’s prior written approval.
(Signature) (Date)
(Print Name and Title) (Phone Number)
ADMINISTERING AGENCY
(Authorized Governing Body Representative)
(Signature of Caltrans District Local Assistance Engineer) (Date)
Distribution: (1) Original – DLAE
(2) Signed copy by the DLAE – Local Agency
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September 2020
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Ukiah
2022 2023
(Please provide the name, address, phone number, fax number, and electronic mail address of the DBELO for
the coming Federal Fiscal Year.)
(Please detail the race-neutral measures your Local Agency plans to implement for the upcoming Federal
FiscalYear per 49 CFR 26.51 and Section V of the Caltrans DBE Program Implementation Agreement for Local
Agencies.)
Attached is a listing of the three methods. On the attachment, please designate which prompt payment provision
the Local Agency will use.
Please briefly describe the monitoring and enforcement mechanisms in place to ensure that all subcontractors,
including DBEs, are promptly paid.
Sage Sangiacomo, City Manager (707)463-6221
Jun 27, 2022
Local Assistance Procedures Manual EXHIBIT 9-B
Local Agency DBE Annual Submittal Form
(Attachment)
Prompt Payment of Withheld Funds to Subcontractors
Federal regulation (49 CFR 26.29(b)) requires one of the following three methods be used in federal-aid
contracts to ensure prompt and full payment of any retainage kept by the prime contractor or subcontractor to a
subcontractor.
Please check the box of the method chosen by the Local Agency to ensure prompt and full payment of
any retainage.
Method 1: No retainage will be held by the agency from progress payments due to the prime
contractor. Prime contractors and subcontractors are prohibited from holding retainage from
subcontractors. Any delay or postponement of payment may take place only for good cause and with
the agency’s prior written approval. Any violation of these provisions shall subject the violating
contractor or subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5
of the California Business and Professions Code and Section 10262 of the California Public Contract
Code for construction contracts, and Section 3321 of the California Civil Code for consultant contracts.
This requirement shall not be construed to limit or impair any contractual, administrative or judicial
remedies, otherwise available to the contractor or subcontractor in the event of a dispute involving late
payment or nonpayment by the contractor, deficient subcontractor performance and/or noncompliance
by a subcontractor. This clause applies to both DBE and non-DBE subcontractors.
Method 2: No retainage will be held by the agency from progress payments due to the prime
contractor. Any retainage kept by the prime contractor or by a subcontractor must be paid in full to the
earning subcontractor in seven (7) days for construction contracts and fifteen (15) days for consultant
contracts after the subcontractor’s work is satisfactorily completed. Any delay or postponement of
payment may take place only for good cause and with the agency’s prior written approval. Any
violation of these provisions shall subject the violating contractor or subcontractor to the penalties,
sanctions, and remedies specified in Section 7108.5 of the California Business and Professions Code
and Section 10262 of the California Public Contract Code for construction contracts, and Section 3321
of the California Civil Code for consultant contracts. This requirement shall not be construed to limit or
impair any contractual, administrative or judicial remedies, otherwise available to the contractor or
subcontractor in the event of a dispute involving late payment or nonpayment by the contractor,
deficient subcontractor performance and/or noncompliance by a subcontractor. This clause applies to
both DBE and non-DBE subcontractors.
Method 3: The agency shall hold retainage from the prime contractor and shall make prompt and
regular incremental acceptances of portions, as determined by the agency of the contract work and
pay retainage to the prime contractor based on these acceptances. The prime contractor or
subcontractor shall return all monies withheld in retention from all subcontractors within seven (7) days
for construction contracts and fifteen (15) days for consultant contracts after receiving payment for
work satisfactorily completed and accepted including incremental acceptances of portions of the
contract work by the agency. Any delay or postponement of payment may take place only for good
cause and with the agency’s prior written approval. Any violation of these provisions shall subject the
violating prime contractor or subcontractor to the penalties, sanctions, and other remedies specified in
Section 7108.5 of the California Business and Professions Code and Section 10262 of the California
Public Contract Code for construction contracts, and Section 3321 of the California Civil Code for
consultant contracts. This requirement shall not be construed to limit or impair any contractual,
administrative or judicial remedies otherwise available to the contractor or subcontractor in the event
of a dispute involving late payment or nonpayment by the contractor; deficient subcontractor
performance and/or noncompliance by a subcontractor. This clause applies to both DBE and non-DBE
subcontractors.
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September 2020
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