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Appendix A <br />August 19, 2015 <br />AppwWlx A to Fart 28—Gu€dans Concerning Good Faith Efforts <br />1. When, as a recipient, you establish a contract goal on a DOT -assisted contract for procuring <br />construction, equipment, services, or any other purpose, a bidder musk in order to be responsible and/or <br />responsive, make sufficient good faith efforts to meet the goal. The bidder can meet this requirement in <br />either of two ways. First, the bidder can meet the goal, documenting commitments for participation by <br />DBE firms suffic€ent for this purpose. Second, even if it doesn't meet the goal, the bidder can document <br />adequate good faith efforts. This means that the bidder must show that it took all necessary and <br />reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity, <br />and appropriateness to the objective, could reasonably be expected to obtain sufficlent DBE participation <br />even N they were not fully successful, <br />II. In any situation in which you have established a contract goal, Part 26 requires you to use the <br />good faith efforts mechanism of this part_ As a recipient, you have the responsibility to make a fair and <br />reasonable judgment whether a bidder that did not meet the goal made adequate good faith efforts. it Is <br />important for you to consider the quality, quantity, and Intensity of the different kinds of efforts that the <br />bidder has made, based on the regulations and the guidance In this Appendix. <br />The efforts employed by the bidder should be thaw that one could reasonably expect a bidder to <br />take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the <br />DBE contract goal. More pro forma efforts are not good faith efforts to meet the DBE contract <br />requirements. We emphasize, however, that your determination concerning the sufficiency of the firm's <br />good faith efforts is a judgment call. Determinations should not be made using quantitative formulas. <br />111. The Department also strongly cautions you against requiring that a bidder meet a contract goal <br />(i.e., obtain a specified amount of DBE participation) in order to be awarded a conlrack even though the <br />bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from Ignoring <br />bone fide good faith efforts. <br />N. The foYoWng Is a list of types of actions which you should consider as part of the bldder's good <br />faith efforts to obtain BBE participation. It is not intended to be a mandatory checklist, nor is it intended to <br />be exclusive or exhaustive. Other factors or types of efforts may be relevant In appropriate cases, <br />A. (1) Conducing market research to identify small business contractors and suppliers and soliciting <br />through all reasonable and availabDe means the Interest of all certified DBEs that have the capability to <br />perform the work of the contract. This may include attendance at pre-bid and business matchmaking <br />meetings and events, advertising and/or written notices, posting of Notices of Sources Sought andlor <br />Requests for Proposals, written noticas or emalis to all DBEs listed in the State's directory of <br />transportation firms that speclalfze in the areas of work desired (as noted in the DBE directory) and which <br />are located in the area or surmundIng areas of the project. <br />(2) The bidder should solicit this interest as early In the acquisition process es practicable to allow <br />the DBEs to respond to the solicitation and submit a timely offer for the subcontract. The bidder should <br />determine with certainly if the DBEs are interested by taking appropriate steps to follow up initial <br />solicitations. <br />B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that <br />the DBE goals will be achieved_ This Includes, where appropriate, breaking out contract work items into <br />economically feasible units (for example, smaller teaks or quantities) to facilitate DBE participation, even <br />when the prime contractor might otherwise prefer to perform these work items with its own forces. This <br />may include, where possible, establishing flexible timeframes for performance and delivery schedules in a <br />manner that encourages and facilitates DBE participation. <br />Page 40 ct44 <br />