Public Works Department 200 Lincoln Avenue Salinas, CA 93901

CITY OF SALINAS Public Works Department 200 Lincoln Avenue Salinas, CA 93901 Disadvantaged Business Enterprise (DBE) Program Updated January 2013 Submitted to the Federal Aviation Administration in fulfillment of: 49 Code of Federal Regulations Part 26

TITLE TABLE OF CONTENTS PAGE NUMBER CITY OF SALINAS... 1 OBJECTIVES/POLICY STATEMENT... 5 SUBPART A GENERAL REQUIREMENTS... 6 A. OBJECTIVES ( 26.1)... 6 B. APPLICABILITY ( 26.3)... 6 C. DEFINITIONS ( 26.5)... 6 D. NON-DISCRIMINATION REQUIREMENTS ( 26.7)... 6 E. RECORD KEEPING REQUIREMENTS ( 26.11)... 6 1. Reporting to DOT ( 26.11(b))... 6 2. Bidders List ( 26.11(c))... 6 F. FEDERAL FINANCIAL ASSISTANCE AGREEMENT ( 26.13)... 7 1. Assurance ( 26.13(a))... 7 2. Contract Assurance ( 26.13(b))... 7 SUBPART B - ADMINISTRATIVE REQUIREMENTS... 8 A. DBE PROGRAM UPDATES ( 26.21)... 8 B. POLICY STATEMENT ( 26.23)... 8 C. DBE LIAISON OFFICER (DBELO) ( 26.25)... 8 D. DBE FINANCIAL INSTITUTIONS ( 26.27)... 9 E. PROMPT PAYMENT MECHANISMS ( 26.29)... 9 F. DIRECTORY ( 26.31)... 10 G. OVER-CONCENTRATION ( 26.33)... 10 H. BUSINESS DEVELOPMENT PROGRAMS ( 26.35)... 11 I. MONITORING AND ENFORCEMENT MECHANISMS ( 26.37)... 11 J. SMALL BUSINESS ELEMENT ( 26.39)... 11 SUBPART C GOALS, GOOD FAITH EFFORTS, AND COUNTING... 12 A. SET-ASIDES OR QUOTAS ( 26.43)... 12 B. OVERALL GOALS ( 26.45)... 12 C. FAILURE TO MEET OVERALL GOALS ( 26.47)... 13 D. BREAKOUT OF ESTIMATED RACE-NEUTRAL & RACE-CONSCIOUS PARTICIPATION ( 26.51(ac))... 14 E. CONTRACT GOALS ( 26.51(d-g))... 14

F. GOOD FAITH EFFORTS PROCEDURES ( 26.53)... 14 1. Demonstration Of Good Faith Efforts ( s 26.53(a) & (c))... 14 2. Information To Be Submitted ( 26.53(b))... 15 3. Administrative Reconsideration ( 26.53(d))... 15 4. Good Faith Efforts When A DBE Is Replaced On A Contract ( 26.53(f))... 16 G. COUNTING DBE PARTICIPATION ( 26.55)... 18 SUBPART D CERTIFICATION STANDARDS... 18 A. CERTIFICATION PROCESS ( 26.61 thru 26.73)... 18 SUBPART E CERTIFICATION PROCEDURES... 18 A. UNIFIED CERTIFICATION PROGRAMS ( 26.81)... 18 B. PROCEDURES FOR CERTIFICATION DECISIONS ( 26.83)... 18 1. Re-Certifications ( 26.83(a) & (c))... 18 2. No Change Affidavits and Notices of Change ( 26.83(j))... 18 C. DENIALS OF INITIAL REQUESTS FOR CERTIFICATION ( 26.86)... 19 D. REMOVAL OF A DBE S ELIGIBILITY ( 26.87)... 19 E. CERTIFICATION APPEALS ( 26.89)... 19 SUBPART F COMPLIANCE AND ENFORCEMENT... 19 A. INFORMATION, CONFIDENTIALITY, COOPERATION ( 26.109)... 20 1. Monitoring Payments to DBEs... 20 APPENDIX A TO PART 26-GUIDANCE CONCERNING GOOD FAITH EFFORTS... 21 ATTACHMENT 1 - ORGANIZATIONAL CHART... 24 ATTACHMENT 2 BIDDERS LIST COLLECTION FORM... 25 ATTACHMENT 3 MONITORING AND ENFORCEMENT MECHANISMS... 26 ATTACHMENT 4 OVERALL GOAL CALCULATION ( 36.45)... 29 A. AMOUNT OF GOAL... 29 B. METHODOLOGY USED TO CALCULATE OVERALL GOAL... 29 Step 1. Establishing a Base Figure: ( 26.45(c)... 29 Step 2 Adjusting the Base Figure: 26.45(d)... 30 Step 3 Breakout of Estimated Race-Neutral & Race Conscious Participation... 31 Public Participation (both consultation and publish notice)... 32 ATTACHMENT 4(a d) GOAL CALCULATIONS... 33 ATTACHMENT 5 FORMS FOR DEMONSTRATION OF GOOD FAITH EFFORTS... 34 FORM 1 - LOCAL AGENCY BIDDER - DBE - INFORMATION SHEET... 34

FORM 2 -DBE INFORMATION GOOD FAITH EFFORTS... 36 ATTACHMENT 6 - REGULATIONS: 49 CFR PART 26... 38

A. OBJECTIVES ( 26.1) SUBPART A GENERAL REQUIREMENTS The objectives are found in the policy statement on the first page of this program. B. APPLICABILITY ( 26.3) The City of Salinas is the recipient of federal airport funds authorized by 49 U.S.C. 47101, et seq. C. DEFINITIONS ( 26.5) The City of Salinas will use terms in this program that have the meaning defined in Section 26.5. D. NON-DISCRIMINATION REQUIREMENTS ( 26.7) The City of Salinas 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 Salinas 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. E. RECORD KEEPING REQUIREMENTS ( 26.11) 1. Reporting to DOT ( 26.11(b)) We will report DBE participation to DOT as follows: We will report DBE participation to DOT/FAA as follows: We will transmit to FAA annually on December 1, the Uniform Report of DBE Awards or Commitments and Payments form, found in Appendix B to this part. We will also report the DBE Contractor firms contact information either on the FAA DBE Contractor s Form or other similar format. 2. Bidders List ( 26.11(c)) City of Salinas Disadvantaged Business Enterprise Program Page 6

The City of Salinas will create and maintain a bidders list. The purpose of the list is to provide as accurate data as possible about the universe of DBE and non-dbe contractors and subcontractors who seek to work on our DOT-assisted contracts for use in helping to set our overall goals. The bidders 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: All contract specifications will include a contract clause requiring prime bidders to report the names/addresses, and annual gross receipts of all firms who quote to them on subcontracts. This information will be required to be submitted to the City by the lowest and second lowest bidder within 5 business days of opening bids. F. FEDERAL FINANCIAL ASSISTANCE AGREEMENT ( 26.13) City of Salinas has signed the following assurances, applicable to all DOT-assisted contracts and their administration: 1. Assurance ( 26.13(a)) City of Salinas 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 [Recipient] of 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.). This language will appear in financial assistance agreements with sub-recipients. 2. Contract Assurance ( 26.13(b)) The City of Salinas will ensure that the following clause is placed in every DOT-assisted contract 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 City of Salinas Disadvantaged Business Enterprise Program Page 7

result in the termination of this contract or such other remedy as the City of Salinas deems appropriate. SUBPART B - ADMINISTRATIVE REQUIREMENTS A. DBE PROGRAM UPDATES ( 26.21) The City of Salinas will receive grants for airport planning or development totaling $250,000 or more in a Federal Fiscal year. We will continue to carry out this DBE Program until all funds from DOT financial assistance have been expended. We will provide to DOT updates representing significant changes in the program for approval The City of Salinas is not eligible to receive DOT financial assistance unless DOT has approved our DBE Program and we are in compliance with it and this part. We will continue to carry out our program until all funds from DOT financial assistance have been expended. B. POLICY STATEMENT ( 26.23) The Policy Statement is elaborated on the first page of this program. C. DBE LIAISON OFFICER (DBELO) ( 26.25) We have designated the following individual as our DBE Liaison Officer: Mr. Robert C Russell, City Engineer/Department Deputy Director Public Works Department City of Salinas 200 Lincoln Avenue, Salinas, CA 93901 Telephone: (831) 758-7241 E-Mail: robr@ci.salinas.ca.us In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the City of Salinas complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the City Manager concerning DBE program matters. An organization chart displaying the DBELO s position in the organization is found in Attachment 1 to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of two (2) 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. City of Salinas Disadvantaged Business Enterprise Program Page 8

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 the City of Salinas progress toward attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the governing body on DBE matters and achievement. 9. Participates in DBE training seminars. 10. Provides outreach to DBEs and community organizations to advise them of opportunities. 11. Maintains the City of Salinas updated directory on certified DBEs. 12. Determine contractor compliance with good faith efforts D. DBE FINANCIAL INSTITUTIONS ( 26.27) It is the policy of the City of Salinas to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions, and to encourage prime contractors on DOT-assisted contract to make use of these institutions. The City of Salinas currently has no minority or women-owned banks. City of Salinas will continue to investigate the availability of minority and women-owned banks. If through our investigation, minority and/or women-owned banks are found, City of Salinas shall, by letter, inform minority and women-owned financial institutions of the provisions contained in CFR 49 Part 26, relative to opportunities for their use in federally funded projects. City of Salinas shall request that minority and women-owned financial institutions provide the department with documents outlining the extent of the services offered by such institutions. City of Salinas shall disseminate information of the services offered by such institutions to the construction industry. Information on the availability of such institutions can be obtained from the DBE Liaison Officer. The Caltrans Disadvantaged Business Enterprise Program may offer assistance to the DBE Liaison Officer. E. PROMPT PAYMENT MECHANISMS ( 26.29) The City of Salinas has established, as part of its DBE Program, a contract clause to require prime contractors to pay subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment made to the prime contractor. City of Salinas Disadvantaged Business Enterprise Program Page 9

The City of Salinas will ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. We will use the following method to comply with this requirement: 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. The City of Salinas will include the following clause in each DOT-assisted prime contract: A prime Contractor or Subcontractor shall pay any Subcontractor not later than 7 calendar days of receipt of each progress payment in accordance with the Provision in ( 7108.5 of the California Business and Professions Code concerning prompt payment to Subcontractors. The 7 calendar days is applicable unless a longer period is agreed in writing between the Contractor and the City Engineer. Any delay or postponement of payment over 30 calendar days may take place only for good cause and with the City Engineer s prior written approval. Any violation of Section 7108.5 shall subject the violating Contractor or Subcontractor to the penalties, sanction, and other remedies of the Section. Federal law (49CFR26.29) require that any delay or postponement of payment over 30 calendar days of receipt of each payment may take place only for good cause and with the agency s prior written approval. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime Contractor or Subcontractor in the event of a dispute involving late payment or nonpayment by the prime Contractor, deficient subcontract performance, or noncompliance by a Subcontractor. This provision applies to both Contractors and Subcontractors. F. DIRECTORY ( 26.31) The City of Salinas uses the DBE directory available from the California Department of Transportation s (Caltrans) Disadvantaged Business Enterprise Program website at: www.dot.ca.gov/hq/bep, maintained by the State. The Directory lists the firm s name, address, phone number, date of the most recent certification, and the typ0e of work the firm has been certified to perform as DBE. In addition, the directory lists each type of work for which a firm is eligible to be certified by using the most specific NAICS code available to describe each type of work. The State revises this Directory daily. We make the Directory available via the City webpage: http://www.ci.salinas.ca.us/services/engineering/bids.cfm. Additionally, assistance is provided to firms seeking to bid on a Federally funded project at the pre-bid meeting. G. OVER-CONCENTRATION ( 26.33) City of Salinas Disadvantaged Business Enterprise Program Page 10

City of Salinas has not identified that over concentration exists in the types of work that DBEs perform. H. BUSINESS DEVELOPMENT PROGRAMS ( 26.35) City of Salinas has not established business development program. I. MONITORING AND ENFORCEMENT MECHANISMS ( 26.37) The City of Salinas will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26. 1. We will 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 26.107. 2. We will implement similar action under out own legal authorities, including responsibility determinations in future contracts. Attachment 3 lists the regulation, provisions, and contract remedies available to us in the events of non compliance with the DBE regulation by a participant in our procurement activities. 3. We will implement a monitoring and enforcement mechanism to ensure that work committed to DBEs at contract award or subsequently (i.e. as the result of modification to the contractor) is actually performed by the DBEs to which the work was committed. We will implement a mechanism that will provide for a running tally of actual DBE attainments (e.g. payment actually made to DBE firms), including a means of comparing these attainments to commitments. IN our reports of DBE participation to DOT, we will show both commitments and attainments, as required by the DOT uniform reporting form. J. SMALL BUSINESS ELEMENT ( 26.39) In accordance with the new section added to 49 CFR Part 26, the City of Salinas DBE Program has been revised to include a Small Business Element which will include ways to facilitate competition by small business enterprises (SBE). For the purpose of this program, an SBE is defined as a Small Business Concern that does not exceed the Business Size Standard as established by the U.S. Small Business Administration (SBA). The City of Salinas will rely upon the State s Department of General Services Office of Small Business & Disabled Veteran Business Enterprise Services (OSDS) database to verify SBE eligibility. City of Salinas Disadvantaged Business Enterprise Program Page 11

An important part of the City of Salinas small business element is its outreach activities. These outreach efforts include active, effective steps to increase small business participation by: 1. Soliciting bids/proposals from DBEs and SBEs; 2. Responding to requests for information; 3. Informing and inviting DBEs and SBEs to participate at pre-bid and pre-proposal meetings; and 4. Identifying and Publishing training opportunities. In order to further promote small business participation, the City of Salinas will consider, on a case-by-case basis, unbundling contracts in order to enable small businesses to bid as prime contractors. On larger contracts, prime contractors will be encouraged to provide subcontracts appropriate to small businesses. The City of Salinas will track any race neutral participation by currently certified DBEs and SBEs. To the extent feasible, data on small business participation will be collected and maintained in order to respond to any future questions regarding the results of the City s DBE Program. SUBPART C GOALS, GOOD FAITH EFFORTS, AND COUNTING A. SET-ASIDES OR QUOTAS ( 26.43) The City of Salinas does not use quotas in any way in the administration of this DBE program. B. OVERALL GOALS ( 26.45) The City of Salinas will establish an overall DBE goal covering a three-year federal fiscal year period if we anticipate that we will award prime contracts exceeding $250,000 during any one or more reporting fiscal years within the three-year goal period. In accordance with 49 CFR Part 26.45(f) the City of Salinas will submit its Overall Three-year DBE Goal to FAA by August 1 as required by the established schedule. DBE goals will be established for those fiscal years we anticipate awarding DOT-assisted prime contracts exceeding $250,000 during the three year period. The DBE goals will be established in accordance with the 2-Step process as specified in 49 CFR Part 26.45. If the City of Salinas does not anticipate awarding more than $250,000 in DOT-assisted prime contracts during any of the years within the three-year reporting period, we will not develop an overall goal; however this DBE program will remain in effect and the City of Salinas will seek to fulfill the objectives outlined in 49 CFR Part 26.1 City of Salinas Disadvantaged Business Enterprise Program Page 12

The first step is to determine the relative availability of DBEs in the market area, base figure. The second step is to adjust the base figure percentage from Step 1 so that it reflects as accurately as possible the DBE participation the recipient would expect in the absence of discrimination based on past participation, a disparity study and/or information about barriers to entry to past competitiveness of DBEs on projects. In establishing the overall goal, the City of Salinas will consult with the Chamber of Commerce and Builders Exchange to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the City of Salinas efforts to establish a level playing field for the participation of DBEs. Following this consultation, we will publish a Public Notice in general circulation media of the proposed overall goals, informing the public that the proposed goal and its rational are available for inspection during normal business hours at City of Salinas Public Works Department for 30 days following the date of the notice, and informing the public that City of Salinas and DOT/FAA will accept comments on the goals for 45 days from the date of the notice. Notice will be issued in general circulation median and available minority-focus media. Normally, we will issue this notice by June 1 or each year. The notice must include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. Our Overall Three-Year DBE Goal submission to DOT/FAA will include a summary of information and comments received during this public participation process and our responses. We will begin using our overall goal on October 1 of the reporting period, unless we have received other instructions from DOT. If we establish a goal on a project basis, we will begin using our goal by the time of the first solicitation for a DOT-assisted contract for the project. A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachments 4a thru 4d to this program. C. FAILURE TO MEET OVERALL GOALS ( 26.47) The City of Salinas will maintain an approved DBE Program and overall DBE goal, if applicable as well as administer our DBE Program in good faith to be considered to be in compliance with this part. If the City of Salinas awards and commitments shown on our 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, we will do the following in order to be regarded by the Department as implementing your DBE Program in good faith: City of Salinas Disadvantaged Business Enterprise Program Page 13

(1) Analyze in detail the reasons for the difference between the overall goal and our awards and commitments in that fiscal year; (2) Establish specific steps and milestones to correct the problems we have identified in our analysis and to enable us to meet fully your goal for the new fiscal year; D. BREAKOUT OF ESTIMATED RACE-NEUTRAL & RACE-CONSCIOUS PARTICIPATION ( 26.51(a-c)) The breakout of estimated race-neutral and race-conscious participation can be found in Attachment 4 to this program. E. CONTRACT GOALS ( 26.51(d-g)) The City of Salinas will arrange 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. If our approved projection under paragraph (c) of this section estimates that we can meet our entire overall goal for a given year through race-neutral means, we will implement our program without setting contract goals during that year, unless it becomes necessary in order meet our overall goal. We will establish contract goals only on those DOT-assisted 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 the total amount of a DOT-assisted contract. F. GOOD FAITH EFFORTS PROCEDURES ( 26.53) 1. Demonstration Of Good Faith Efforts ( s 26.53(a) & (c)) The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. Examples of good faith efforts are found in Appendix A to Part 26. The City Engineer is 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 Salinas Disadvantaged Business Enterprise Program Page 14

We will ensure that all information is complete and accurate and adequately documents the bidder/offer s good faith efforts before we commit to the performance of the contract by the bidder/offeror. 2. Information To Be Submitted ( 26.53(b)) City of Salinas treats bidder/offers compliance with good faith efforts' requirements as a matter of responsiveness. Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the following information: i. The names and addresses of DBE firms that will participate in the contract; ii. A description of the work that each DBE will perform; iii. The dollar amount of the participation of each DBE firm participating; iv. Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; v. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractors commitment and vi. If the contract goal is not met, evidence of good faith efforts. 3. Administrative Reconsideration ( 26.53(d)) Within seven (7) working days of being informed by City of Salinas that it is not responsive because it has not documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration. Bidder/offerors should make this request in writing to the following Reconsideration Official: Mr. Ray Corpuz, City Manager City of Salinas 200 Lincoln Avenue, Salinas, CA 93901 Telephone: (831) 758-7201 E-mail: rayc@ci.salinas.ca.us The Reconsideration Official will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts. As part of this reconsideration, the bidder/offeror will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with 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 City of Salinas Disadvantaged Business Enterprise Program Page 15

so. The result of the reconsideration process is not administratively appealable to the Department of Transportation. 4. Good Faith Efforts When A DBE Is Replaced On A Contract ( 26.53(f)) City of Salinas will require a contractor to make good faith efforts to replace a DBE that is terminated or has otherwise failed to complete its work on a contract with another certified DBE, to the extent needed to meet the contract goal. 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. In this situation, we will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. We will provide such written consent only if we agree, for reasons stated in our concurrence document, that the prime contractor has good cause to terminate the DBE firm. 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 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, non-discriminatory 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, 215 and 1,200 or applicable state law; vi. We have determined that the listed DBE subcontractor is not a responsible contractor; vii. The listed DBE subcontractor voluntarily withdraws from the project and provides to us 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; x. Other documented good cause that we have determined compels the termination of the DBE subcontractor. Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the contract so that the prime contractor can self-perform the work for which the DBE contractor was City of Salinas Disadvantaged Business Enterprise Program Page 16

engaged or so that the prime contractor can substitute another DBE or non-dbe contractor after contract award. Before transmitting to us its request to terminate and/or substitute a DBE subcontractor, the prime contractor must give notice in writing to the DBE subcontractor, with a copy to us, of its intent to request to terminate and/or substitute, and the reason for the request. The prime contractor must give the DBE five days to respond to the prime contractor s notice and advise us and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why we should not approve the prime contractor s action. If required in a particular case as a matter of public necessity (e.g., safety), we may provide a response period shorter than five days. In addition to post-award terminations, the provisions of this section apply to pre-award deletions of or substitutions for DBE firms put forward by offerors in negotiated procurements. 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. 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 City of Salinas 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 [as determined in the goal calculation Attachment 4] has been established for this contract. The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (attachment 1), 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 City of Salinas Disadvantaged Business Enterprise Program Page 17

the commitment made under (4); and (6) if the contract goal is not met, evidence of good faith efforts. G. COUNTING DBE PARTICIPATION ( 26.55) We will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. We will not count the participation of a DBE subcontract toward a contractor s final compliance with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE. SUBPART D CERTIFICATION STANDARDS A. CERTIFICATION PROCESS ( 26.61 thru 26.73) City of Salinas ensures that only DBE firms currently certified on the Caltrans directory will participate as DBEs in our Program. The Certification Application form is available to view and download within the following link: http://osdbuweb.dot.gov/documents/pdf/dbe/final%20application_9-30-09.pdf SUBPART E CERTIFICATION PROCEDURES A. UNIFIED CERTIFICATION PROGRAMS ( 26.81) The City of Salinas will rely upon CALTRANS Unified Certification Program, their certifying agencies, certification procedures and decisions by verifying DBE eligibility via Caltrans database. B. PROCEDURES FOR CERTIFICATION DECISIONS ( 26.83) 1. Re-Certifications ( 26.83(a) & (c)) The City will coordinate with CALTRANS regarding the eligibility of DBES that are certified to make sure that they will meet the standards. 2. No Change Affidavits and Notices of Change ( 26.83(j)) The City will require all DBEs to inform CALTRANS, in a written affidavit, of any change in its circumstances affecting its ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26 or of any material changes in the information provided in the application for certification. City of Salinas Disadvantaged Business Enterprise Program Page 18

The City also requires all owners of all DBEs that have been certified under CALTRANS to submit, on the anniversary date of their certification, a no change affidavit meeting the requirements of 26.83(j). I swear (or affirm) that there have been no changes in the circumstances of [name of DBE firm] affecting its ability to meet the size, disadvantaged status, ownership, or control requirements of 49 CFR part 26. There have been no material changes in the information provided with [name of DBE] s application for certification, except for any changes about which you have provided written notice to the Monterey Peninsula Airport District under 26.83(j). [Name of firm] meets Small Business Administration (SBA) criteria for being a small business concern and its average annual gross receipts (as defined by SBA rules) over the firm s previous three fiscal years do not exceed $16.6 million. C. DENIALS OF INITIAL REQUESTS FOR CERTIFICATION ( 26.86) The City will rely upon procedures in place by CALTRANS. D. REMOVAL OF A DBE S ELIGIBILITY ( 26.87) The City will rely upon procedures in place by CALTRANS. E. CERTIFICATION APPEALS ( 26.89) Any firm or complainant may appeal a CALTRANS decision in a certification matter to DOT. Such appeals may be sent to: U.S. Department of Transportation Departmental Office of Civil Rights External Civil Rights Programs Division (S-33) 1200 New Jersey Ave., S.E. Washington, DC 20590 Phone: (202) 366-4754 TTY: (202) 366-9696 Fax: (202) 366-5575 The City will promptly implement any DOT certification appeal decisions affecting the eligibility of DBEs for the City s DOT-assisted contracting (e.g., certify a firm if DOT has determined that our denial of its application was erroneous). SUBPART F COMPLIANCE AND ENFORCEMENT City of Salinas Disadvantaged Business Enterprise Program Page 19

A. INFORMATION, CONFIDENTIALITY, COOPERATION ( 26.109) We will safeguard from disclose to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. Notwithstanding any contrary provisions of state or local law, we well 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 firm that submitted the information. 1. Monitoring Payments to DBEs We 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 make available for inspection upon request by any authorized representative of the City of Salinas or DOT. This reporting requirement also extends to any certified DBE subcontractor. We 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 stated in the schedule of DBE participation. ATTACHMENTS Appendix A to Part 26 Guidance Concerning Good Faith Efforts Attachment 1 Organizational Chart Attachment 2 Bidder s List Collection Form Attachment 3 Monitoring and Enforcement Mechanisms Attachment 4 Overall Goal Calculation, Breakout of Estimated Race-Neutral & Race- Conscious Participation, Public Participation, Attachment 5 Form 1 & 2 for Demonstration of Good Faith Efforts Attachment 6 Regulations: 49 CFR Part 26 City of Salinas Disadvantaged Business Enterprise Program Page 20

APPENDIX A TO PART 26-GUIDANCE CONCERNING GOOD FAITH EFFORTS I. When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order to be responsible and/or responsive, make good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal or other requirement of this Part, which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. II. III. IV. In any situation in which you have established a contract goal, part 26 requires you to use the good faith efforts mechanism of this part. As a recipient, it is up to you to make a fair and reasonable judgment whether a bidder that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity, and intensity of the different kinds of efforts that the bidder has made. The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination concerning the sufficiency of the firm s good faith efforts is a judgment call: meeting quantitative formulas is not required. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. The following is a list of types of actions that should consider as part of the bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, City of Salinas Disadvantaged Business Enterprise Program Page 21

breaking out contract work items into economically feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation. D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. (2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the project goal. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available minority/women community organizations; minority/women contractors' groups; local, state, and Federal City of Salinas Disadvantaged Business Enterprise Program Page 22

minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. V. In determining whether a bidder has made good faith efforts, you may take into account the performance of other bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. City of Salinas Disadvantaged Business Enterprise Program Page 23

ATTACHMENT 1 - ORGANIZATIONAL CHART CITY OF SALINAS CITY COUNCIL Ray Corpuz City Manager Reconsideration Official Gary Petersen Department Director Robert C Russell Department Deputy Director/City Engineer DBE Liaison Officer Hilda Garcia PW Compliance Officer DBE Support Staff Jesse Rivas Senior Construction Inspector DBE Support Staff City of Salinas Disadvantaged Business Enterprise Program Page 24

ATTACHMENT 2 BIDDERS LIST COLLECTION FORM BIDDER S LIST FOR THE CITY OF SALINAS PUBLIC WORKS DEPARTMENT (This information may be submitted with your proposal. If it is not, and you are the apparent low Bidder or the second low Bidder, it must be submitted and received by the Public Works Department no later than 5 working days after Bid opening date.) All Bidders are required to provide the following information for all DBE and non-dbe contractors, who provided a proposal, Bid, quote, or were contacted by the proposed prime. This information is also required from the proposed prime contractor, and must be submitted with their Bid/proposal. In order for the City of Salinas to conform with Federally-Mandated DBE Program Bidders List, it will use this information to maintain and update a Bidders List" to assist in the overall annual goal DBE goal setting process. Firm Name: Address: Contact Person & Title: Phone: Fax: License No.: Exp. Date: No. of Years in Business: Is the firm currently certified as a DBE under the new regulations (49 CFR Part 26)? Yes No Type of work/services/materials provided by firm: What were your firm s Gross Annual receipts for last year? Less than $1 Million Less than $5 Million Less than $10 Million Less than $15 Million More than $15 Million I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. SIGNED: This form may be copied as needed to report all Bidders (DBEs and non-dbes) information. Revision Date 03/19/03 City of Salinas Disadvantaged Business Enterprise Program Page 25

ATTACHMENT 3 MONITORING AND ENFORCEMENT MECHANISMS The Airport Authority has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following: 1. Breach of contract action pursuant to the terms of the contract In addition, the federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, including but not limited to, the following: 1. Suspension or debarment proceedings, pursuant to 49 CFR part 26 2. Enforcement action pursuant to 49 CFR part 31 3. Prosecution pursuant to 18 USC 1001 Furthermore, the City of Salinas Public Works Compliance Officer (PWCO) monitors and tracks actual DBE participation through contractor and subcontractor reports of payments. After Contract Award After the contract award, the City of Salinas will review the award documents for the portion of items each DBE and first tier subcontractor will be performing and the dollar value of that work. With these documents the PWCO will be able to determine the work to be performed by the DBEs or subcontractors listed. Pre-construction Conference A pre-construction conference will be scheduled between the PWCO and the prime contractor or their representative to discuss the work each DBE subcontractor will perform. Substitutions will be subject to the Subletting and Subcontracting Fair Practices Act (FPA). Local agencies will require contractors to adhere to the provisions within Subletting and Subcontracting Fair Practices Act (State Law) Sections 4100-4144. FPA requires the contractor to list all subcontractors in excess of one half of one percent (0.5%) of the contractor s total bid or $10,000, whichever is greater. The statute is designed to prevent bid shopping by contractors. The FPA explains that a contractor may not substitute a subcontractor listed in the original bid except with the approval of the awarding authority. The PWCO will give the contractor a blank Final Report Utilization of Disadvantaged Business Enterprises, First Tier Subcontractors, Form CEM-2402(f), and will explain to them that the document will be required at the end of the project, for which payment can be withheld, in conformance with the contract. Construction Contract Monitoring The PWCO will ensure that the staff inspectors know what items of work each DBE is responsible for performing. Inspectors will notify the PWCO immediately of apparent violations.

Attachment 3 - Continued When a firm other than the listed DBE subcontractor is found performing the work, the PWCO will notify the contractor of the apparent discrepancy and potential loss of payment. Based on the contractor s response, the PWCO will take appropriate action: The DBE Liaison Officer will perform a preliminary investigation to identify any potential issues related to the DBE subcontractor performing a commercially useful function. Any substantive issues will be forwarded to the Caltrans Disadvantaged Business Enterprise Program. If the contractor fails to adequately explain why there is a discrepancy, payment for the work will be withheld and a letter will be sent to the contractor referencing the applicable specification violation and the required withholding of payment. If the contract requires the submittal of a monthly trucking document, the contractor will be required to submit documentation to the PWCO showing the owner s name; California Highway Patrol CA number; and the DBE certification number of the owner of the truck for each truck used during that month for which DBE participation will be claimed. The trucks will be listed by California Highway Patrol CA number in the daily diary or on a separate piece of paper for documentation. The numbers are checked by inspectors regularly to confirm compliance. Substitution When a DBE substitution is requested, the Resident Engineer (RE)/Contract Manager (CM) will request a letter from the contractor explaining why substitution is needed. The RE/CM will submit this request to the PWCO to make sure that names and addresses are shown, dollar values are included, and reason for the request is explained. If the PWCO agrees to the substitution and with concurrence of the substitution of the DBE Liaison Officer, the RE/CM will notify, in writing, the DBE subcontractor regarding the proposed substitution and procedure for written objection from the DBE subcontractor in accordance with the Subletting and Subcontracting Fair Practices Act. If the contractor is not meeting the contract goal with this substitution, the contractor must provide the required good faith effort to the PWCO for local agency consideration. Record Keeping and Final Report Utilization of Disadvantaged Business Enterprises The contractor shall maintain records showing the name and address of each first-tier subcontractor. The records shall also show: 1. The name and business address, regardless of tier, of every DBE subcontractor, DBE vendor of materials and DBE trucking company. 2. The date of payment and the total dollar figure paid to each of the firms. 3. The DBE prime contractor shall also show the date of work performed by their own forces along with the corresponding dollar value of the work claimed toward DBE goals. When a contract has been completed the contractor will provide a summary of the records stated above. The City of Salinas DBE Liaison Officer or his delegate will keep track of the DBE certification status on the Internet at www.dot.ca.gov/hq/bep and keep the RE/CM informed of changes City of Salinas Disadvantaged Business Enterprise Program Page 27

Attachment 3 - Continued that affect the contract. The RE/CM will require the contractor to act in accordance with existing contractual commitments regardless of decertification. City of Salinas Disadvantaged Business Enterprise Program Page 28

ATTACHMENT 4 OVERALL GOAL CALCULATION ( 36.45) A. AMOUNT OF GOAL 1. City of Salinas Overall Three-Year DBE Goal for the Federal Fiscal Years 2013-2015 is the following: 6.050% of the Federal financial assistance we will expend in FAA-financially assisted contracts 2. $4,394,000 is the dollar amount of FAA-financially assisted contracts that City of Salinas expects to award during FFY2013/2015. This means that the City of Salinas has set a goal of expending $265,843 with DBEs during Three-Year term. The local market area includes Monterey county, San Benito county, San Luis Obispo county, Santa Clara county and Santa Cruz county, Alameda county, Fresno county, Orange county, San Joaquin county and San Mateo county. The City of Salinas expects to receive funding for the following projects: Rehabilitation of Taxiways A and C; Design Standards Study for Runway Safety Area and an Environmental Study on RSA Improvements. B. METHODOLOGY USED TO CALCULATE OVERALL GOAL Projecting Federal Assisted Contract Awards/Expenditures for Federal Fiscal Year In conjunction with the preparation and adoption of the budget for each fiscal year, the DBE Liaison Officer, in consultation with the appropriate divisions and departments responsible for contracting activities, has conducted a thorough analysis of the projected number, types of work by industry disciplines and dollar amounts of contracting opportunities that will be funded, in whole or in part, by DOT federal financial assistance for the following Three-Year period. Step 1. Establishing a Base Figure: ( 26.45(c) Once the City of Salinas defined its DOT-assisted projects and identified the relevant market areas, the City of Salinas established a Base Figure following one of the methodologies outlined in Title 49 CFR Part 26. The base figure for the relative availability of DBE s was calculated as follows: Base figure = Ʃ ready, willing, and able DBEs All firms ready, willing and able For federal fiscal years 2013 through 2015, the City of Salinas elected to utilize Caltrans DBE Directory of Certified DBE firms (filtered to included DBE firms expressing an interest in

Attachment 4 - continued doing business within the City of Salinas geographic market area), divided by all comparable firms available within the County Census Bureau Database to derive the relative availability of DBEs within the following work industries: Categories:Highway & Street Construction, Engineering Services and Environmental Consulting Services. When we divided the numerator by the denominator we arrived at the base figure for our overall goal and that number was 6.6% Please refer to Attachment 4-A thru 4-D on page 33 for the City of Salinas Overall Three- Year Goal Analysis for FFYs 2013/2015. Step 2 Adjusting the Base Figure: 26.45(d) As a mandatory second step, the City of Salinas surveyed other relevant market data to consider adjusting the base figure established. Indicators that City of Salinas may determine to be relevant to its market, may include, but not be limited to: 1. Demonstrated evidence of DBE capacity to perform work in the City of Salinas federally assisted and non-federally assisted contracting program; 2. The number, types and dollar value of contracting opportunities projected to be financed with federal funds and to be awarded during the federal fiscal year. 3. The City of Salinas Bidders List. 4. Other recipients goal results in similar contracting opportunities and markets, and the reasons for the level of those results. 5. The methods used by the City of Salinas to increase DBE participation in federally assisted contracts. 6. The demographics and business activity of the geographical area in which the City of Salinas will solicit bids or proposals. 7. The data from statistical disparities of DBEs to obtain financing, bonding and insurance requirements. 8. The data on employment and self-employment, education and training programs, to the extent the City of Salinas can relate it to the opportunities for DBEs to perform in the City of Salinas DBE Program. Further analysis resulted in the determination that DBE Goal should be further adjusted considering the past five (5) years median DBE participation on projects with similar work industries Seven (7) projects were let in the past five (5) years. The median DBE participation was found to be 5.5% (See Attachment 4a). The Base Figure from Step 1, averaged with the median past five (5) years DBE participation of 5.5% results in the Adjusted Anticipated DBE Participation Level (AADPL) of 6.05%. City of Salinas Disadvantaged Business Enterprise Program Page 30

Attachment 4 - continued Step 3 Breakout of Estimated Race-Neutral & Race Conscious Participation The City of Salinas will meet the maximum feasible portion of its overall goal by using raceneutral means of facilitating DBE participation. The City of Salinas uses the following raceneutral means to increase DBE participation: 1. Configuring large contracts into smaller contracts when feasible and when doing so would make contracts more accessible to small businesses, and would not impose significant additional cost, delay or risk to the City of Salinas; 2. Contractors will be encouraged to consider subcontractors for components of the work for which there is a known supply of ready, willing, and able subcontractors, including DBE subcontractors, in preparing their bids; 3. Providing technical assistance in orienting small businesses to public contracting procedures, use of the Internet, and facilitating introductions to the City of Salinas and other U.S. DOT recipients contracting activities; and 4. Providing outreach and communications programs on contract procedures and contract opportunities to ensure the inclusion of DBEs and other small businesses. The City of Salinas will use contract goals to meet any portion of the overall goal City of Salinas does not project being able to meet using race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of our overall goal that is not projected to be met through the use of race-neutral means. Adjustments based on past participation: Considering the City of Salinas actual DBE participation during the past five (5) years, the DBE annual goal has been exceeded by a median of 3.5%. It is therefore expected that contractors will obtain a 3.5% race/gender neutral participation for the upcoming projects. We will establish contract goals only on those DOT-assisted 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.) In order to ensure that our DBE program will be narrowly tailored to overcome the effects of discrimination, if we use contract goals we will adjust the estimated breakout of raceneutral and race-conscious participation as needed to reflect actual DBE participation (see 26.51(f)) and we will track and report race-neutral and race conscious participation separately. For reporting purposes, race-neutral DBE participation includes, but is not necessarily limited to, the following: DBE participation through a prime contract a DBE obtains through customary competitive procurement procedures; DBE participation through a subcontract on a prime contract that does not carry DBE goal; DBE participation City of Salinas Disadvantaged Business Enterprise Program Page 31

Attachment 4 - continued on a prime contract exceeding a contract goal; and DBE participation through a subcontract from a prime contractor that did not consider a firm s DBE status in making the award. We will maintain data separately on DBE achievements in those contracts with and without contract goals, respectively Public Participation (both consultation and publish notice) The City of Salinas has been inclusive and has solicited the input from diverse groups within the DBE as well as the non-dbe communities. Letters were mailed to pervious bidders, local chambers of commerce and DBE s in the City s market area. Goal methodology was published in the Salinas Californian s weekend edition and the San Jose Mercury News on Saturday, January 12, 2013, both general circulation newspapers. Additionally, a public meeting was held on February 26, 2013. No comments were received from individuals/organizations. City of Salinas Disadvantaged Business Enterprise Program Page 32

ATTACHMENT 4(a d) GOAL CALCULATIONS City of Salinas Disadvantaged Business Enterprise Program Page 33

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Step 1 - Relative Availability of DBEs Using the County Business Pattern Database and Caltrans DBE Directory Georgraphical Area by Counties: Alameda, Fresno, Monterey, Orange, San Benito, San Joaquin, San Luis Obispo, San Mateo, Santa Clara & Santa Cruz See Exhibit 4e for details in how Geographical Area was obtained Project Total Project Funding NAICS Code & Description Amount Per NAICS Code Weight (% Per NAICS Code) Total DBE firms located in Market Area Total Establishmen ts Located in Market Area* Total DBE Availability per NAICS (*) Potential Funds to DBE A B C = B / A D E F = C * (D / E) F * A Rehabilitation Taxiways A and C Runway Safety Area / Design Standards Study Environmental Study RSA Improvements $3,740,000 237310 Highway, Street, and Bridge Construction 541330 Engineering $ 3,400,000 91% 13 205 5.76% $215,609.76 Services $ 340,000 9% 33 1975 0.15% $5,681.01 541620 Environmental $154,000 Consulting Services $ 154,000 100% 31 295 10.51% $16,183.05 541620 Environmental $500,000 Consulting Services $ 500,000 100% 31 295 10.51% $52,542.37 * See Exhibits 4(b) thru 4(e) for details Potential $ to DBEs $290,016.19 = 6.6% AADPL Total Project Funding $4,394,000.00 Step 2 - Adjusting the Base Figure (See Exhibit 4e for futher details) In order to more narrowly tailor the ADPL, the Step 1 figure will be adjusted by taking into consideration the past five (5) years' median DBE participation. Median past five (5) years DBE participation: 5.53% (Step 1 Figure) + (Median Past Participation) = 6.05% Adjusted ADPL 2 Step 3 - Calculating the Race/Gender-Neutral and Race/Gender Conscious Split (See Exhibit 4e for futher details): Analysis of the previous five (5) years of public works contracts indicates that dbe goals have been exceeded by a median of 3.5%. Therefore, it is assumed that contractors will again be able ot achieve at least 3.5% participation over and above the race/gender conscious portion of the overall goal. = 6.05% Adjusted ADPL Historical DBE % Exceeding Goals = 3.50% Race Neutral AADPL % - Race Neutral % = 2.55% Race Conscious EXHIBIT 4(a)

2010 County Business Patterns Comparision City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 NAICS Code Description Alameda Fresno Monterey Orange 237310 - Highway and Street Construction San Benito San Joaquin San Luis Obispo San Mateo Santa Clara Santa Cruz Totals 44 30 6 75 2 12 15 21 30 5 205 541330 Engineering Services 436 96 61 1080 3 52 90 157 654 73 1975 541620 - Environmental Consulting Services 85 14 10 153 0 7 14 12 60 22 295 EXHIBIT 4(b)

Firm ID City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Naics Category: 23 Construction Naics Codes: 237310 Highway, Street, and Bridge Construction Licenses: A General Engineering Contractor C08 Concrete Contractor Firm Type: DBE County: Monterey (Ready & Willing to work in Area) Search Date: 12/10/2012 Firm/DBA Name City Work Codes Licenses FirmCounty 40742 A S CONTRACTORS, INC. MARIPOSA 21117 BAY LINE CUTTING & CORING, INC. BERKELEY 39655 CAL VALLEY CONSTRUCTION, INC. FRESNO 40634 CRE8IVE ENGINEERING INC PALM DESERT C1901 ROADWAY EXCAVATION; C1910 GRADING; C1920 STRUCTURE EXCAVATION; C1930 STRUCTURE BACKFILL; C1970 EMBANKMENT CONSTRUCTION; C6800 SUBSURFACE DRAIN; C6819 FILTER FABRIC; C6820 PERMEABLE MATERIAL; C7000 PLASTIC PIPE; C7180 CAST IRON SEWER PIPE; C7191 SEWER MANHOLE; C7200 ROCK SLOPE PROTECTION; C9801 BUILDING CONSTRUCTION; C9829 RETAINER WALLS; C9842 MASONRY; C5100 CONCRETE STRUCTURE; C5105 MINOR CONCRETE STRUCTURE; C5110 CONCRETE SURFACE FINISH; C5150 CORE CONCRETE REPAIR BRIDGE DECK; C1901 ROADWAY EXCAVATION; C1910 GRADING; C1920 STRUCTURE EXCAVATION; C1930 STRUCTURE BACKFILL; C1980 IMPORTED BORROW; C2501 AGGREGATE SUBBASE; C2602 AGGREGATE BASE; C3901 ASPHALT CONCRETE; C3910 PAVING ASPHALT (ASPHALT CONCRETE); C9850 PLUMBING; C9851 FIRE PROTECTION CONTRACTOR; InSalinasMar ket Area (Y) (N) A General Engineering Contractor; B General Building Contractor; Monterey Y A General Engineering Contractor; Alameda Y A General Engineering Contractor; Fresno Y A General Engineering Contractor; C16 Fire Protection San Mateo Y C1200 CONSTRUCTION AREA SIGNS; C1201 TRAFFIC CONTROL SYSTEM; C1531 PLANE ASPHALT CONCRETE; C1601 CLEARING & GRUBBING; C1701 DEVELOP WATER SUPPLY; C1901 ROADWAY 38712 DREAMBUILDER PLACENTIA EXCAVATION; C2065 IRRIGATION SYSTEM; C3901 ASPHALT CONCRETE; C3910 PAVING ASPHALT (ASPHALT CONCRETE); C5105 MINOR CONCRETE STRUCTURE; C6200 ALTERNATIVE PIPE CULVERT; A General Engineering Contractor; Orange Y 35751 EXARO TECHNOLOGIES CORPORATION BURLINGAME C9904 CORING; Contractor; San Mateo Y C1601 CLEARING & GRUBBING; C1901 ROADWAY EXCAVATION; C1920 STRUCTURE EXCAVATION; C1930 STRUCTURE BACKFILL; C1940 DITCHES EXCAVATION; C5501 STEEL STRUCTURES; C5570 STEEL A General Engineering 24244 G SOSA CONSTRUCTION, INC ORCUTT CRIB WALL; Contractor; Fresno Y 38139 GAINES CONSTRUCTION OAKLAND C8710 ENGINEERING; C8903 ELECTRICAL; C9802 BUILDING CONSTRUCTION; Contractor; B General Building Alameda Y 38088 M. E. AVILA CONSTRUCTION CORPORATION ATASCADERO C9802 BUILDING CONSTRUCTION; Contractor; B General Building San Luis Obispo Y C1901 ROADWAY EXCAVATION; C1910 GRADING; C1920 STRUCTURE EXCAVATION; C1930 STRUCTURE BACKFILL; C1970 EMBANKMENT CONSTRUCTION; C2501 AGGREGATE SUBBASE; C2602 A General Engineering 39715 MASS X INC. CLOVIS AGGREGATE BASE; C3901 ASPHALT CONCRETE; Contractor; Fresno Y 39231 NORCAL GENERAL CONSTRUCTION CORP MILPITAS C3910 PAVING ASPHALT (ASPHALT CONCRETE); C8602 SIGNAL & LIGHTING; C8740 ELECTRICAL ENGINEERS; C9810 SMALL STRUCTURES; C9858 RESIDENTIAL ELECTRICAL; A General Engineering Contractor; C10 Electrical Santa Clara Y 39218 PC&N CONSTRUCTION, INC BYRON C0683 GUARD RAILINGS & BARRIERS SUPPLIER; C8320 METAL BEAM GUARD RAILING; Contractor; San Mateo Y 40529 PK CONSTRUCTION ALTADENA C2800 CONCRETE BASE; C5100 CONCRETE STRUCTURE; C5105 MINOR CONCRETE STRUCTURE; A General Engineering Contractor; B General Building Orange Y # Firms yielded by Search in DBE Database: 93 # Of Firms NOT in Salinas Market Area 80 f Firms Ready & Willing AND in Salinas Market Area: 13 EXHIBIT 4(C-1)

Naics Category: 54 Professiona, Scientific, and Technical Services Naics Codes: 541330 Engineering Services Licenses: EC Civil Engineering Services Firm Type: DBE County: Monterey (Ready & Willing to work in Area) Search Date: 12/10/2012 City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty 30778 123 ENGINEERING, INC EL DORADO HILLS 37923 ALAN MOK ENGINEERING FRESNO C8720 CIVIL ENGINEERING; C9826 LAND SURVEYING; 33196 AMC CONSULTING ENGINEERS OAKLAND 38747 APEX CIVIL ENGINEERING ORANGEVALE 28111 40330 APPLIED STRUCTURAL ASSOCIATES BLAIR, CHURCH & FLYNN CONSULTING ENGINEERS OAKLAND CLOVIS InMarket Area (Y) (N) C8701 BUSINESS ADMINISTRATION; C8702 MANAGEMENT INFORMATION SYSTEMS; C8706 DESIGN BRIDGES; C8707 FEASIBILITY STUDIES; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; EC Civil Engineer; San Mateo Y EC Civil Engineer; LS Land Surveyor; Fresno Y C8703 TRAFFIC ENGINEER; C8707 FEASIBILITY STUDIES; C8715 CONSULTANT, ENGINEERING; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; EC Civil Engineer; Alameda Y C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; EC Civil Engineer; Fresno Y C8707 FEASIBILITY STUDIES; C8710 ENGINEERING; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8746 STRUCTURAL ENGINEER; C8765 DRAFTING; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; EC Civil Engineer; EST Structural Engineer; Alameda Y C8700 CONSULTANT, NON ENGINEERING; C8705 DESIGN; C8710 ENGINEERING; C8720 CIVIL ENGINEERING; C8760 LAND SURVEYOR; C8770 CONSTRUCTION MANAGEMENT; C8773 Construction Management Highway, Street and Bridge Construction; C8776 Construction Management Other Heavy and Civil Construction; C8778 Construction Management Water and Sewer Line and Related Structure Construction; EC Civil Engineer; Fresno Y BUTANO GEOTECHNICAL 37962 ENGINEERING, INC. FREEDOM C8710 ENGINEERING; C9826 LAND SURVEYING; I8734 LABORATORY TESTING AND ANALYSIS; C02 Insulation and Accoustical Contractor; EC Civil Engineer; EGT Geotechnical Engineer; Fresno Y CALIFORNIA WATERSHED C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL 35966 ENGINEERING CORP. ANAHEIM ENGINEERING; EC Civil Engineer; Orange Y 37523 CORNER CUBE, INC. PIEDMONT C8720 CIVIL ENGINEERING; B General Building Contractor; EC Civil Engineer; Alameda Y 12487 GHIRARDELLI ASSOCIATES, INC OAKLAND C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8770 CONSTRUCTION MANAGEMENT; EC Civil Engineer; Alameda Y EXHIBIT 4(C 2)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty 27477 HQE, INCORPORATED OAKLAND C8701 BUSINESS ADMINISTRATION; C8702 MANAGEMENT INFORMATION SYSTEMS; C8705 DESIGN; C8707 FEASIBILITY STUDIES; C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; C8765 DRAFTING; EC Civil Engineer; Alameda Y InMarket Area (Y) (N) 27413 I D C CONSULTING ENGINEERS, INC ANAHEIM 12731 J A D & ASSOCIATES BREA 39289 LAI & ASSOCIATES PLEASANTON 28890 LEWIS ENGINEERING PIEDMONT C8705 DESIGN; C8706 DESIGN BRIDGES; C8707 FEASIBILITY STUDIES; C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; EC Civil Engineer; Orange Y C8703 TRAFFIC ENGINEER; C8707 FEASIBILITY STUDIES; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; C8765 DRAFTING; I7388 INTERIOR DECORATING & DESIGN; EC Civil Engineer; Orange Y C8771 Construction Management Commercial and Institutional Building Construction; C8780 Engineering Geotechnical; C8783 Engineering Structural; C9802 BUILDING CONSTRUCTION; EC Civil Engineer; EGT Geotechnical Engineer; Alameda A0780 LANDSCAPE & HORTICULTURAL SERVICES; C0612 SAFETY SUPPLIER; C8700 CONSULTANT, NON ENGINEERING; C8701 BUSINESS ADMINISTRATION; C8702 MANAGEMENT INFORMATION SYSTEMS; C8703 TRAFFIC ENGINEER; C8704 ARCHITECT; C8705 DESIGN; C8706 DESIGN BRIDGES; C8707 FEASIBILITY STUDIES; C8710 ENGINEERING; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; I8740 MANAGEMENT & PUBLIC RELATIONS; I8990 SERVICES, NEC; EC Civil Engineer; Alameda Y Y 12517 MC LEAN & SCHULTZ, INC. BREA C8705 DESIGN; C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; C8730 SAFETY STUDIES; EC Civil Engineer; EST Structural Engineer; Orange Y 40276 MR3E PLEASANTON C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8765 DRAFTING; EC Civil Engineer; Alameda Y 40577 NAPIER STRUCTURAL CONSULTING ENGINEERING, INC. MORRO BAY C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8746 STRUCTURAL ENGINEER; EC Civil Engineer; EST Structural Engineer; Santa Clara Y EXHIBIT 4(C 2)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty 34321 NORCAL STRUCTURAL BERKELEY C8703 TRAFFIC ENGINEER; C8707 FEASIBILITY STUDIES; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; EC Civil Engineer; Alameda Y OPTIMAL HYDRO ENGINEERING, 40290 INC. EL SEGUNDO C8710 ENGINEERING; EC Civil Engineer; San Mateo Y 40353 ORITO AND ASSOCIATES FRESNO C8720 CIVIL ENGINEERING; C8773 Construction Management Highway, Street and Bridge Construction; C8776 Construction Management Other Heavy and Civil Construction; EC Civil Engineer; Fresno Y 28052 PAULI ENGINEERING, INC. FRESNO C8710 ENGINEERING; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8765 DRAFTING; EC Civil Engineer; Fresno Y PRO TERRA, CIVIL ENGINEER AND 32085 LAND SURVEYOR EL CENTRO C8705 DESIGN; C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8760 LAND SURVEYOR; C8765 DRAFTING; C8770 CONSTRUCTION MANAGEMENT; EC Civil Engineer; LS Land Surveyor; San Mateo Y RAIL SURVEYORS AND 34220 ENGINEERS, INC. BELMONT C8720 CIVIL ENGINEERING; C8760 LAND SURVEYOR; EC Civil Engineer; San Mateo Y REDWOOD CONSULTING 40545 ASSOCIATES OAKLAND C8715 CONSULTANT, ENGINEERING; EC Civil Engineer; Alameda Y 36638 RFE ENGINEERING, INC. ORANGEVALE C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8760 LAND SURVEYOR; C8765 DRAFTING; EC Civil Engineer; Fresno Y 37060 S KWOK ENGINEERS, INC. ALAMEDA C2030 EROSION CONTROL; C8703 TRAFFIC ENGINEER; C8705 DESIGN; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8766 Computer aided Design & DRAFTING (CADD); C8778 Construction Management Water and Sewer Line and Related Structure Construction; C8781 Engineering Hydrology; C8793 Environmental Environmental Impact Assessment; C8794 Environmental Water Quality; EC Civil Engineer; Alameda Y 35308 SEQUOIA CONSULTANT, INC ORANGE C8720 CIVIL ENGINEERING; C9810 SMALL STRUCTURES; EC Civil Engineer; Orange Y 23907 SIERRA ENGINEERING GROUP FREMONT C8706 DESIGN BRIDGES; C8707 FEASIBILITY STUDIES; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8746 STRUCTURAL ENGINEER; C8765 DRAFTING; EC Civil Engineer; EST Structural Engineer; Alameda Y TRAFFIC CONTROL ENGINEERING, 4850 INC. FULLERTON C8710 ENGINEERING; EC Civil Engineer; ET Traffic Engineer; Orange Y URBAN DESIGN CONSULTING 37616 ENGINEERS OAKLAND C8710 ENGINEERING; C8720 CIVIL ENGINEERING; EC Civil Engineer; Alameda Y 34787 VSCE INC OAKLAND C8707 FEASIBILITY STUDIES; C8712 PUBLIC RELATIONS; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; EC Civil Engineer; Alameda Y Firms yielded by Search in DBE Database: 139 # Of Firms NOT in Salinas Market Area 106 dy & Willing AND in Salinas Market Area: 33 InMarket Area (Y) (N) EXHIBIT 4(C 2)

Naics Category: 54 Professiona, Scientific, and Technical Services Naics Codes: 541620 Environmental Consulting Services Licenses: Firm Type: DBE County: Monterey (Ready & Willing to work in Area) Search Date: 12/10/2012 City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty InMarket Area (Y) (N) C1901 ROADWAY EXCAVATION; C1910 GRADING; C1920 STRUCTURE EXCAVATION; C1930 STRUCTURE BACKFILL; C1970 EMBANKMENT CONSTRUCTION; C6800 SUBSURFACE DRAIN; C6819 FILTER FABRIC; C6820 PERMEABLE MATERIAL; C7000 PLASTIC PIPE; C7180 CAST IRON SEWER PIPE; C7191 SEWER MANHOLE; C7200 ROCK SLOPE PROTECTION; C9801 BUILDING A General Engineering Contractor; B 40742 A S CONTRACTORS, INC. MARIPOSA CONSTRUCTION; C9829 RETAINER WALLS; C9842 MASONRY; General Building Contractor; Monterey Y 35907 AMS CONSULTING LLC PLEASANTON C8700 CONSULTANT, NON ENGINEERING; C8701 BUSINESS ADMINISTRATION; C8702 MANAGEMENT INFORMATION SYSTEMS; I7370 COMPUTER & DATA PROCESSING SERVICES; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; I7375 INFORMATION RETRIEVAL SYSTEMS; Alameda Y ARCHAEOLOGICAL/HISTORICAL 6841 CONSULTANTS OAKLAND C8700 CONSULTANT, NON ENGINEERING; Alameda Y ARCHAEOPALEO RESOURCES 35813 MANAGEMENT, INC. MARINA DEL REY C8700 CONSULTANT, NON ENGINEERING; Monterey Y AREA WEST ENVIRONMENTAL, 32027 INC. ORANGEVALE C8700 CONSULTANT, NON ENGINEERING; Fresno Y 39794 ASPECTUS, INC DANA POINT C8700 CONSULTANT, NON ENGINEERING; San Mateo Y 40193 BIZ CONSULTING INC DALY CITY C8713 CONSULTANT, ENVIRONMENTAL; C8714 CONSULTANT, PROJECT MANAGEMENT/ BUSINESS ADMIN; C8793 Environmental Environmental Impact Assessment; I7371 COMPUTER PROGRAMMING; Orange Y CALIFORNIA WATERSHED 35966 ENGINEERING CORP. ANAHEIM C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8720 CIVIL ENGINEERING; EC Civil Engineer; Orange Y CLEAN SWEEP 35349 ENVIRONMENTAL FOWLER I7380 MISC BUSINESS SERVICES; J9510 ENVIRONMENTAL QUALITY; Fresno Y COGSTONE RESOURCE 33150 MANAGEMENT, INC ORANGE C8700 CONSULTANT, NON ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; Orange Y EXHIBIT 4(C 3)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty 35262 E C O & ASSOCIATES ORANGE A0780 LANDSCAPE & HORTICULTURAL SERVICES; C0612 SAFETY SUPPLIER; C8706 DESIGN BRIDGES; C8721 RIGHT OF WAY ENGINEER; C8722 ENVIRONMENTAL ENGINEER; I8730 RESEARCH & TESTING SERVICES; B General Building Contractor; Orange Y C8707 FEASIBILITY STUDIES; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8730 SAFETY STUDIES; C8742 6956 EARTH MECHANICS, INC. FOUNTAIN VALLEY MECHANICAL ENGINEERS; I8730 RESEARCH & TESTING SERVICES; I8734 LABORATORY TESTING AND ANALYSIS; EC Civil Engineer; EGT Geotechnical Engineer; San Mateo Y 40452 ECOWANG, INC. OAKLAND C8713 CONSULTANT, ENVIRONMENTAL; Alameda Y C8700 CONSULTANT, NON ENGINEERING; J9510 6033 HIGMAN DOEHLE INC PALOS VERDES ESTAENVIRONMENTAL QUALITY; Santa Clara Y InMarket Area (Y) (N) 30775 INTERNATIONAL ENGINEERS & SCIENTISTS, INCORPORATED ORANGE C8710 ENGINEERING; C8715 CONSULTANT, ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; I8990 SERVICES, NEC; EG Geophysical Engineer; RG Registered Geologist; Orange Y 28890 LEWIS ENGINEERING PIEDMONT A0780 LANDSCAPE & HORTICULTURAL SERVICES; C0612 SAFETY SUPPLIER; C8700 CONSULTANT, NON ENGINEERING; C8701 BUSINESS ADMINISTRATION; C8702 MANAGEMENT INFORMATION SYSTEMS; C8703 TRAFFIC ENGINEER; C8704 ARCHITECT; C8705 DESIGN; C8706 DESIGN BRIDGES; C8707 FEASIBILITY STUDIES; C8710 ENGINEERING; C8716 ARCHITECTURAL ENGINEER; C8720 CIVIL ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; C8730 SAFETY STUDIES; C8742 MECHANICAL ENGINEERS; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; I8740 MANAGEMENT & PUBLIC RELATIONS; I8990 SERVICES, NEC; EC Civil Engineer; Alameda Y 35537 LUCY YEAGER & ASSOCIATES ANAHEIM C8700 CONSULTANT, NON ENGINEERING; Orange Y 33843 M T G L, INC. ANAHEIM C8713 CONSULTANT, ENVIRONMENTAL; I8073 DRUG TESTING; I8734 LABORATORY TESTING AND ANALYSIS; J9510 ENVIRONMENTAL QUALITY; EC Civil Engineer; EGT Geotechnical Engineer; Orange Y 38765 MS CONSULTING SERVICES DANA POINT I7380 MISC BUSINESS SERVICES; I8990 SERVICES, NEC; San Mateo Y NATURAL RESOURCES 38025 CONSULTING ENGINEERS, INC. OAKLAND C8720 CIVIL ENGINEERING; C8722 ENVIRONMENTAL ENGINEER; Alameda Y QUALITY ASSURANCE 36540 SOLUTIONS, LLC. CUPERTINO C8700 CONSULTANT, NON ENGINEERING; Santa Clara Y 38584 RINSLER CONSULTING OAKLAND C8700 CONSULTANT, NON ENGINEERING; I8760 Transportation Planning; Alameda Y SCIENTIFIC RESOURCE 38613 SURVEYS, INC ORANGE C8835 Archeology; Orange Y EXHIBIT 4(C 3)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Firm ID Firm/DBA Name City Work Codes Licenses FirmCounty 39184 SPOKEMORE CONSULTING OAKLAND C8730 SAFETY STUDIES; C8793 Environmental Environmental Impact Assessment; C8833 Disabled Issues / Studies; C8834 Bicycle, Pedestrian Studies; C8850 Traffic Management / Operations; Alameda Y SWAIM BIOLOGICAL 37988 CONSULTING, INC. LIVERMORE J9510 ENVIRONMENTAL QUALITY; Alameda Y 39322 THE FIRM NIPOMO C2021 HYDROSEEDING; C2030 EROSION CONTROL; C8700 CONSULTANT, NON ENGINEERING; B General Building Contractor; D64 Nonspecialized; Orange Y 38267 TOURE' ASSOCIATES FRESNO C8700 CONSULTANT, NON ENGINEERING; C9774 TRUCKER; E4953 WASTE COLLECTION AND DISPOSAL; J9510 ENVIRONMENTAL QUALITY; Fresno Y InMarket Area (Y) (N) TRANSPORTATION & ENERGY 32982 SOLUTIONS, INC URBAN PLANNING PARTNERS, 39685 INC. YORBA LINDA OAKLAND 12213 VRPA TECHNOLOGIES FRESNO 38506 W & S SOLUTIONS, LLC PLEASANTON ms yielded by Search in DBE Database: 178 # Of Firms NOT in Salinas Market Area 147 & Willing AND in Salinas Market Area: 31 C8700 CONSULTANT, NON ENGINEERING; C8705 DESIGN; C8707 FEASIBILITY STUDIES; C8730 SAFETY STUDIES; C8765 DRAFTING; C8766 Computer aided Design & DRAFTING (CADD); C8770 CONSTRUCTION MANAGEMENT; C8793 Environmental Environmental Impact Assessment; C8850 Traffic Management / Operations; I7374 Intelligent Transportation Systems (ITS); I8760 Transportation Planning; Orange Y C8793 Environmental Environmental Impact Assessment; I8760 Transportation Planning; Alameda Y C1210 Traffic Count; C8700 CONSULTANT, NON ENGINEERING; C8703 TRAFFIC ENGINEER; C8722 ENVIRONMENTAL ENGINEER; C8850 Traffic Management / Operations; J9510 ENVIRONMENTAL QUALITY; Fresno Y C8610 SPEED MONITORING STATION; C8700 CONSULTANT, NON ENGINEERING; C8703 TRAFFIC ENGINEER; C8710 ENGINEERING; I7370 COMPUTER & DATA PROCESSING SERVICES; I7371 COMPUTER PROGRAMMING; I7373 INTEGRATED SYSTEMS & CAD/CAM SYSTEMS; J9510 ENVIRONMENTAL QUALITY; J9530 HOUSING & URBAN DEVELOPMENT; J9720 INTERNATIONAL AFFAIRS; Alameda Y EXHIBIT 4(C 3)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 BidDate by Month ProjNo ProjDesc Company Name Contractor City Contractor County Percent of Contracts March 2008 9761 Muni Pool Structural Rehab Davis Moreno Construction Fresno Fresno 2.38% May 2012 9501 Airport T-Shelters & Hangars M&N Painting & Decor, Ltd Orange Orange 2.38% November 2011 9995 Laurel Heights Neighborhood Park Improvements Playscapes Construction Tracy San Joaquin County 2.38% January 2010 9898 Airport Boulevard Overpass MGE Underground, Inc. Paso Robles San Luis Obispo 2.38% August 2010 9430 Harvey D Baker House Improvements OnPoint Construction Millbrae San Mateo 2.38% January 2010 9509 La Paz Park Improvements Earthworks Paving Contractors, Inc. Capitola Santa Cruz 4.76% December 2011 9399 Freight Terminal Rehabilitation CRW Industries Santa Cruz Santa Cruz 4.76% February 2010 9510 E Boronda Road & San Juan Grade Road Improvements DeSilva Gates Construction Dublin Alameda 9.52% June 2009 9085 E Market Street Roadway & Ped Lighting Tennyson Electric, Inc Livermore Alameda 9.52% July 2009 9505 East Laurel Drive Improvements McGuire & Hester Oakland Alameda 9.52% June 2008 9438, Annual City Sts Rehab Program, City Parking Lot Resurfacing Bond Blacktop, Inc. Union City Alameda 9.52% 9416, January 2008 9046 E Laurel Pocket Park Improvements El Gabilan Park ImprovemBlossom Valley Construction San Jose Santa Clara 14.29% August 2009 9047 E Salinas Street Lights (Phase 11) San Jose Signal Electric San Jose Santa Clara 14.29% March 2010 9742 Manhole Repairs @ Various Locations Pacific Underground Construction, Inc. San Jose Santa Clara 14.29% August 2011 9121 Cottages of Miramonte Graham Contractors, Inc San Jose Santa Clara 14.29% August 2011 9120 Montebella Subdivision Improvements Graham Contractors, Inc San Jose Santa Clara 14.29% April 2008 9145 W Laurel Drive Widening HSR Company Santa Clara Santa Clara 14.29% April 2008 9582 Airport Terminal Building Improvements Ausonio Incorporated Castroville Monterey 59.52% August 2011 9587 Cesar Chavez Library Expansion Ausonio Incorporated Castroville Monterey 59.52% September 2010 9981 Constitution Blvd Roadway Repair Monterey Peninsula Engineering Marina Monterey 59.52% March 2011 9950 Energy Efficient Chiller Unit & HVAC Upgrades D & L Della Mora Heating Sheet Metal Marina Monterey 59.52% May 2011 9945 Airport Improvements Collins Electrical Company Marina Monterey 59.52% April 2012 9337 E Market Street Improvements Collins Electrical Company Marina Monterey 59.52% July 2012 9337 E Market Street Improvements Collins Electrical Company Marina Monterey 59.52% October 2012 9049 East Salinas Street Lights Phase 12 Collins Electrical Company Marina Monterey 59.52% November 2008 9043 Breadbox Interior Improvements Scheel Construction Salinas Monterey 59.52% February 2009 9171 E Bernal Dr Improvements Norcal Contractor Salinas Monterey 59.52% June 2009 9945 Airport Improvements Granite Construction Company Salinas Monterey 59.52% December 2009 9506 Various Street Improvements The Don Chapin Company Salinas Monterey 59.52% April 2008 9321, 9581 El Gabialn Library ADA Restroom Retrofit Boronda Construction Salinas Monterey 59.52% June 2008 9433 Airport Gate/Fencing Upgrades, Airport Core Area Taxiway Granite Rock dba Pavex Construction DSalinas Monterey 59.52% September 2008 9654 Traffic Signal Installation at Williams/Freedom The Don Chapin Company Salinas Monterey 59.52% June 2010 9735 Storm Sewer Improvements The Don Chapin Company Salinas Monterey 59.52% June 2010 9282 North Main Street Improvements Granite Construction Company Salinas Monterey 59.52% June 2010 9430 Harvey D Baker House Improvements Mill Construction Company Salinas Monterey 59.52% EXHIBIT 4(D)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 June 2010 9980 Airport Taxiway "B" Improvement Granite Construction Company Salinas Monterey 59.52% August 2010 9337 E Market Street Improvements Granite Construction Company Salinas Monterey 59.52% June 2011 9337 E Market Street Improvements Granite Rock dba Pavex Construction DSalinas Monterey 59.52% August 2011 9438 Annual City Sts Rehab Program The Don Chapin Company Salinas Monterey 59.52% March 2012 9043 Breadbox Interior Improvements Albert Menna Construction Salinas Monterey 59.52% June 2010 9430 Harvey D Baker House Improvements Quality Landscape Service Watsonville Monterey 59.52% March 2011 9991 E Market Street Street-Scape Quality Landscape Service Watsonville Monterey 59.52% EXHIBIT 4(D)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 MajorityOfCitiesReceivingContracting$$ Percent Previously used the following counties as the geographical market area: Monterey 60% Monterey, San Benito, San Luis Obispo, Santa Clara, Santa Cruz Santa Clara 14% Alameda 10% Santa Cruz 5% Fresno 2% Orange 2% San Joaquin County 2% San Luis Obispo 2% San Mateo 2% 100% Note: San Benito previously used in market area & located adjacent to Alameda (10%). Will add to market area Counties included in Salinas Market Area: Alameda Fresno Monterey Orange San Benito San Joaquin County San Luis Obispo San Mateo Santa Clara Santa Cruz EXHIBIT 4(D)

City of Salinas Anticipated DBE Participation Level (ADPL) Federal Fiscal Year 2013 2015 Annual Anticipated Disadvanted Business Enterprise Percentage Level (Base Figure Adjustments) Step 2 Adjustment Actual DBE Use on City Projects within previous 5 years (December 2007 December 2012) BidDate by Month ProjNo Project Description Contract DBE Goal Actual DBE Use June 2009 9085 E Market Street Roadway & Ped Lighting 26.89% 35.0% June 2009 9945 Airport Improvements 4.0% 9.3% July 2009 9505 East Laurel Drive Improvements 2.0% 6.6% September 2010 9981 Constitution Blvd Roadway Repair 2.0% 5.5% June 2008 9321, 9433 Airport Gate/Fencing Upgrades, Airport Core Area Taxiw 5.0% 5.4% June 2010 9980 Airport Taxiway "B" Improvement 0.0% 2.4% August 2010 9337 E Market Street Improvements 26.89% 2.2% Median Figure used in Step 2 to adjust Base Figure Step 3 Adjustment Race Neutral DBE Use (Over/Under of Actual Goal) BidDate by Month ProjNo Project Description Contract DBE Goal Median Figure used in Step 3 to break out Race Concious / Race Neutral portion of AADPL Actual DBE Use Over/Under June 2009 9085 E Market Street Roadway & Ped Lighting 26.9% 35.0% 8.1% June 2009 9945 Airport Improvements 4.0% 9.3% 5.3% July 2009 9505 East Laurel Drive Improvements 2.0% 6.6% 4.6% September 2010 9981 Constitution Blvd Roadway Repair 2.0% 5.5% 3.5% June 2010 9980 Airport Taxiway "B" Improvement 0.0% 2.4% 2.4% June 2008 9321, 9433 Airport Gate/Fencing Upgrades, Airport Core Area Taxiw 5.0% 5.4% 0.4% August 2010 9337 E Market Street Improvements 26.9% 2.2% 24.7% EXHIBIT 4(D 1)

ATTACHMENT 5 FORMS FOR DEMONSTRATION OF GOOD FAITH EFFORTS FORM 1 - LOCAL AGENCY BIDDER - DBE - INFORMATION SHEET (This information may be submitted with your Proposal. If it is not, and you are the apparent low Bidder or the second low Bidder, it shall be submitted and received by the Development and Engineering Services Department no later than 5 working days after Bid opening date.) This information may be submitted with your Bid Proposal. If it is not, and you are the apparent low Bidder or the second or third low Bidder, it shall be submitted and received as specified in the Special Provisions. Failure to submit the required DBE information shall be grounds for finding the Proposal nonresponsive. CO.-RTE.-K.P.: CONTRACT NO.: BID AMOUNT: $ BID OPENING DATE: BIDDER'S NAME: DBE GOAL FROM CONTRACT: DBE PRIME CONTRACTOR CERTIFICATION I. CONTRACT ITEM NO. ITEM OF WORK AND DESCRIPTION OR SERVICES TO BE SUBCONTRACTED OR MATERIALS TO BE PROVIDED 2 DBE CERT. NO. NAME OF DBEs (Must be certified on the date Bids are opened - include DBE address and phone number) DOLLAR AMOUNT DBE3 IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Copies of the DBE quotes are required. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed above shall be consistent with the names and items of work in the "List of Subcontractors" submitted with your Bid pursuant to the Subcontractors Listing Law and the Special Provisions. Total Claimed Participation $ % City of Salinas Disadvantaged Business Enterprise Program Page 34

LOCAL AGENCY BIDDER DBE INFORMATION SHEET cont. 1. DBE prime Contractors shall enter their DBE certification number. DBE prime Contractors shall indicate all work to be performed by DBEs including work performed by its own forces. 2. If 100% of item is not to be performed or furnished by DBE, describe exact portion of item to be performed or furnished by DBE. (Signature of Bidder in blue ink) Date (Area Code) Tel No. Person to Contact (Please Type or Print) Attach Notary Acknowledgment if signature is not the same as the Proposal signature(s). City of Salinas Disadvantaged Business Enterprise Program Page 35

FORM 2 -DBE INFORMATION GOOD FAITH EFFORTS (This information may be submitted with your Proposal. If it is not, and you are the apparent low Bidder or the second low Bidder, it shall be submitted and received by the Development and Engineering Services Department no later than 5 working days after Bid opening date.) City Project No. Bid Opening Date The City of Salinas has /has not established a Disadvantaged Business Enterprise (DBE) goal for this project. The information provided herein shows that a good faith effort was made. A. The names and dates of each publication in which a request for DBE participation for this project was placed by the Bidder (please attach copies of advertisements or proofs of publication): Publications Dates of Advertisement B. The names and dates of written notices sent to certified DBEs soliciting Bids for this project and the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc.): Names of DBEs Solicited Date of Initial Solicitation Follow Up Methods and Dates C. The items of work which the Bidder made available to DBE finns, including, where appropriate, any breaking down of the Contract work items (including those items normally performed by the Bidder with its own forces) into economically feasible units to facilitate DBE participation. It is the Bidder's responsibility to demonstrate that sufficient work to facilitate DBE participation was made available to DBE firms. Items of Work Breakdown of Items D. The names, addresses and phone numbers of rejected DBE firms, the reasons for the Bidder's rejection of the DBEs, and the firms selected for that work (please attach copies of quotes from the firms involved): Names, addresses and phone numbers of rejected DBEs and the reasons for the Bidder's rejection of the DBEs: Names, addresses and phone numbers of firms selected for the work above: City of Salinas Disadvantaged Business Enterprise Program Page 36

E. Efforts made to assist interested DBEs in obtaining bonding, lines of credit or insurance, and any technical assistance or information related to the Plans, Specifications, and requirements for the work which was provided to DBEs: F. Efforts made to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services, excluding supplies and equipment the DBE Subcontractor purchases or leases from the prime Contractor or its affiliate: G. The names of agencies, organizations or groups contacted to provide assistance in contacting, recruiting and using DBE firms (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc.): Name of Method/Date Results Agency/Organization of Contact H. Any additional data to support a demonstration of Good Faith Efforts (use additional sheets if necessary): I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. SIGNED --------------------------- (signature in blue ink) Attach Notary Acknowledgment if signature is not the same as the Proposal signature(s). City of Salinas Disadvantaged Business Enterprise Program Page 37

ATTACHMENT 6 - REGULATIONS: 49 CFR PART 26 http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/title49/49cfr26_main_02.tpl City of Salinas Disadvantaged Business Enterprise Program Page 38