Backup Documents 02/23/2016 Item #16G1 ORIGINAL DOCUMENTS CHECKLIST & ROUTING SLIP 1
TO ACCOMPANY ALL ORIGINAL DOCUMENTS SENT TO
THE BOARD OF COUNTY COMMISSIONERS OFFICE FOR SIGNATURE
Print on pink paper. Attach to original document. The completed routing slip and original documents are to be forwarded to the County Attorney Office
at the time the item is placed on the agenda. All completed routing slips and original documents must be received in the County Attorney Office no later
than Monday preceding the Board meeting.
**NEW**ROUTING SLIP
Complete routing lines#1 through#2 as appropriate for additional signatures,dates,and/or information needed. If the document is already complete with the
exception of the Chairman's signature,draw a line through routing lines#1 through#2,complete the checklist,and forward to the County Attorney Office.
Route to Addressee(s) (List in routing order) Office Initials Date
1.
2.
3. County Attorney Office County Attorney Office
Inc...
4. BCC Office Board of County 1)F
Commissioners /;') 7-`2 L6
5. Minutes and Records Clerk of Court's Officeutes 01 and ReftA
CONTACT INFORMATION
Normally the primary contact is the person who created/prepared the Executive Summary. Primary contact information is needed in the event one of the
addressees above,may need to contact staff for additional or missing information.
Name of Primary Staff Debbie Brueggeman,Ad in,Airport Phone Number 642-7878 Ext. 34
Contact/ Department Authority
Agenda Date Item was February 23,2016 Agenda Item Number
Approved by the BCC
Type of Document CCAA DBE Program Number of Original 2
Attached Documents Attached
PO number or account N/A
number if document is
to be recorded
INSTRUCTIONS & CHECKLIST
Initial the Yes column or mark"N/A"in the Not Applicable column,whichever is Yes N/A(Not
appropriate. (Initial) Applicable)
1. Does the document require the chairman's original signature? N/A
2. Does the document need to be sent to another agency for additional signatures? If yes,
provide the Contact Information(Name;Agency;Address;Phone)on an attached sheet. T P
3. Original document has been signed/initialed for legal sufficiency. (All documents to be
signed by the Chairman,with the exception of most letters,must be reviewed and signed
by the Office of the County Attorney.
4. All handwritten strike-through and revisions have been initialed by the County Attorney's
Office and all other parties except the BCC Chairman and the Clerk to the Board
5. The Chairman's signature line date has been entered as the date of BCC approval of the
document or the final negotiated contract date whichever is applicable. �1
6. "Sign here"tabs are placed on the appropriate pages indicating where the Chairman's
signature and initials are required. 1-.1\r.)
7. In most cases(some contracts are an exception),the original document and this routing slip
should be provided to the County Attorney Office at the time the item is input into SIRE.
Some documents are time sensitive and require forwarding to Tallahassee within a certain TV\SS
time frame or the BCC's actions are nullified. Be aware of your deadlines!
8. The document was approved by the BCC on 2/23/16 and all changes made during
the meeting have been incorporated in the attached document. The County
Attorney's Office has reviewed the changes,if applicable.
9. Initials of attorney verifying that the attached document is the version approved by the
BCC,all changes directed by the BCC have been made,and the document is ready for th-
Chairman's signature.
I:Forms/County Forms/BCC Forms/Original Documents Routing Slip WWS Original 9.03.04,Revised 1.26.05,Revise.2.24.05;Revised 11/30/12
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161
MEMORANDUM
Date: March 1, 2016
To: Debbie Brueggeman, Operations Coordinator
Collier County Airport Authority
From: Teresa Cannon, Deputy Clerk
Minutes & Records Department
Re: CCAA Disadvantage Business Enterprise Program
Attached for your records, is one (1) copy of each document referenced above,
(Item #16G1) approved by the Board of County Commissioners on Tuesday,
February 23, 2016.
The Minutes and Record's Department has kept an original document as part of the
Board's Official Record's of the Board.
If you have any questions, please feel free to call me at 252-8411.
Thank you.
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Collier County Airport Authority
Marco Island Executive Airport (MKY)
Immokalee Regional Airport (IMM)
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Disadvantaged Business Enterprise Program
January 2016
ADOPTED BY:
COLLIER COUNTY AIRPORT AUTHORITY,
ATTEST COLL R COUNTY, FLORIDA
DWIGHT E. BROCK, ERK
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„in aid hChairman Donna Fiala, District 1 Commissioner
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Approved as to form and legality:
Jennifer A. Belpedio // C.,
Assistant County Attorney\,,, 9 5t)‘
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TABLE of CONTENTS
POLICY STATEMENT 3
Section 26.1, 26.23 Objectives/Policy Statement 3
SUBPART A—GENERAL REQUIREMENTS 4
Section 26.1 Objectives 4
Section 26.3 Applicability 4
Section 26.5 Definitions 4
Section 26.7 Non-discrimination Requirements 4
Section 26.11 Record Keeping Requirements 4
Section 26.13 Federal Financial Assistance Agreement 5
SUBPART B-ADMINISTRATIVE REQUIREMENTS 6
Section 26.21 DBE Program Updates 6
Section 26.23 Policy Statement 6
Section 26.25 DBE Liaison Officer(DBELO) 6
Section 26.27 DBE Financial Institutions 7
Section 26.29 Prompt Payment Mechanisms 7
Section 26.31 Directory 7
Section 26.33 Overconcentration 7
Section 26.35 Business Development Programs 7
Section 26.37 Monitoring and Enforcement Mechanisms 8
Section 26.39 Fostering Small Business Participation 8
SUBPART C—GOALS, GOOD FAITH EFFORTS,AND COUNTING 9
Section 26.43 Set-asides or Quotas 9
Section 26.45 Overall Goals 9
Section 26.47 Goal Setting and Accountability 9
Section 26.49 Transit Vehicle Manufacturers Goals 10
Section 26.51(a-c) Breakout of Estimated Race-Neutral& Race-Conscious Participation 10
Section 26.51(d-g) Contract Goals 10
Section 26.53 Good Faith Efforts Procedures 10
Section 26.55 Counting DBE Participation 13
SUBPART D—CERTIFICATION STANDARDS 13
Section 26.61—26.73 Certification Process 13
SUBPART E—CERTIFICATION PROCEDURES 13
Section 26.81 Unified Certification Programs 13
SUBPART F—COMPLIANCE AND ENFORCEMENT 14
Section 26.109 Information,Confidentiality,Cooperation 14
ATTACHMENTS 14
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UNITED STATES DEPARTMENT OF TRANSPORTATION
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DBE PROGRAM—49 CFR PART 26 `'
Collier County Airport Authority
for Collier County General Aviation Airports
Naples FL
POLICY STATEMENT
Section 26.1, 26.23 Objectives/Policy Statement
The Collier County Airport Authority (hereafter 'the Authority') has established a Disadvantaged Business
Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (USDOT)
49 CFR Part 26. The Authority has received Federal financial assistance from USDOT, and as a condition of
receiving this assistance, the Authority has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the Authority to ensure that DBEs, as defined in 49 CFR Part 26, have an equal opportunity
to receive and participate in USDOT—assisted contracts. It is also the policy:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted contracts;
2. To create a level playing field on which DBEs can compete fairly for USDOT-assisted contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs;
5. To help remove barriers to the participation of DBEs in USDOT assisted contracts;
6. To assist the development of firms that can compete successfully in the market place outside the DBE Program.
Justin Lobb,Airport Manager, Collier County Airport Authority, 2005 Mainsail Drive,Suite 1, Naples, FL
34114, 239-642-7878 has been designated as the DBE Liaison Officer(DBELO). In that capacity,the Airport
Manager is responsible for implementing all aspects of the DBE program. Implementation of the DBE
program is accorded the same priority as compliance with all other legal obligations incurred by the
Authority in their financial assistance agreements with the US Department of Transportation.
The Authority has disseminated this policy statement to its board members and all of the components of
the organization. The Authority will distribute this statement to DBE and non-DBE business communities
that perform work for the Authority on USDOT-assisted contracts in the following manner:
1. This Policy statement will be prepared as a handout, and made available at pre-bid conferences, and/or outreach
meetings conducted by the Authority.
2. Copies of the Policy statement will be mailed to all of the agencies/organizations consulted during the development
of the DBE goal methodology. This will make the Authority's policy for the Collier County General Aviation Airports
available to additional small, minority,and women business development agencies.
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SUBPART A—GENERAL REQUIREMENTS
Section 26.1 Objectives
The objectives are found in the policy statement on the first page of this program.
Section 26.3 Applicability
The Authority is a recipient of federal airport funds authorized by 49 U.S.C. 47101, et seq.
Section 26.5 Definitions
The Authority will adopt the definitions contained in Section 26.5 for this program.
Section 26.7 Non-discrimination Requirements
The Authority 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 Authority 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.
Section 26.11 Record Keeping Requirements
Reporting to USDOT: 26.11(b)
The Authority will report DBE participation to USDOT as follows:
The Airport will submit annually the Uniform Report of DBE Awards or Commitments and
Payments, as modified for use by FAA recipients.
Bidders List: 26.11(c)
The Authority will create and maintain a bidders' list, consisting of information about all DBE
and non-DBE firms that bid or quote on USDOT-assisted contracts. The purpose of this
requirement is to allow use of the bidders' list approach to calculating overall goals. The bidder
list will include the name, address, DBE non-DBE status.
The Authority will collect this information in the following ways:
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a. Include a contract clause requiring prime bidders to report the names/addresses, and
possibly other information, of all firms who quote to them on subcontracts.
b. Include a notice in all solicitations, and otherwise widely disseminated, request to firms
quoting on subcontracts to report the approved information.
c. Request the above information from all potential bidders who contact the Airport seeking
bid information, and/or who attend pre-bid meetings, conferences, etc., at the Airport.
Section 26.13 Federal Financial Assistance Agreement
The Authority has signed the following assurances, applicable to all USDOT-assisted contracts
and their administration:
Assurance: 26.13(a)
The Collier County Airport Authority (hereafter 'the Authority') shall not discriminate
on the basis of race, color, national origin, or sex in the award and performance of
any USDOT-assisted contract; or in the administration of its DBE Program or the
requirements of 49 CFR Part 26. The Authority shall take all necessary and
reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and
administration of USDOT assisted contracts. The Authority's DBE Program, as
required by 49 CFR Part 26 and as approved by USDOT, 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 Authority of its failure to carry out its approved program, the
Department may impose sanction as provided for under 49 CFR 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.
Contract Assurance: 26.13b
The Authority will ensure that the following clause is placed in every USDOT-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 USDOT
assisted contracts. Failure by the contractor to carry out these requirements is a material
breach of this contract, which may result in the termination of this contract or such other
remedy as the recipient deems appropriate.
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SUBPART B -ADMINISTRATIVE REQUIREMENTS
Section 26.21 DBE Program Updates
The Authority will continue to carry out this program until all funds from USDOT financial
assistance have been expended, and will provide to USDOT updates representing significant
changes in the program.
Section 26.23 Policy Statement
The Policy Statement is elaborated on the first page of this program.
Section 26.25 DBE Liaison Officer (DBELO)
The Authority has designated the following individual as its DBE Liaison Officer:
Justin Lobb, Airport Manager, Collier County Airport Authority, 2005 Mainsail Drive, Suite 1,
Naples, FL 34114, 239-642-7878
In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and
ensuring that the Authority complies with all provisions of 49 CFR Part 26. The DBELO has
direct, independent access to the Authority 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 will administer the program. The
duties and responsibilities include the following:
1. Gathers and reports statistical data and other information as required by USDOT.
2. Reviews third party contracts and purchase requisitions for compliance with this program.
3. Works with all departments to set overall triennial 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 Authority's progress toward attainment and identifies ways to improve progress.
7. Participates in pre-bid meetings.
8. Advises the Authority on DBE matters and achievement.
9. Chairs the DBE Advisory Committee (when formed).
10. Procurement Services Division provides all vendors with information and assistance in preparing
bids, obtaining bonding and insurance upon request.
11. Plans and participates in DBE training seminars.
12. Provides outreach to DBEs and community organizations to advise them of opportunities.
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Section 26.27 DBE Financial Institutions
It is the policy of the Authority to investigate the full extent of services offered by financial
institutions owned and controlled by socially and economically disadvantaged individuals in
the community, and to make reasonable efforts to use these institutions.
Section 26.29 Prompt Payment Mechanisms
The Authoritywill include the followingclause in each USDOT-assisted prime contract:
The prime contractor agrees to pay each subcontractor under this prime contract for I
satisfactory performance of its contract no later than thirty (30) days from the receipt of
each payment the prime contract receives from the Authority. The prime contractor agrees
further to return retainage payments to each subcontractor within thirty (30) days after the
subcontractors work is satisfactorily completed. Any delay or postponement of payment 1
from the above referenced time frame may occur only for good cause following written
approval of the Authority. This clause applies to both DBE and non-DBE subcontracts.
Section 26.31 Directory
The Authority uses the Florida Unified Certification Program (FL UCP) DBE Directory, maintained
by the Florida Department of Transportation (FDOT). The Directory lists the firm's name,
address, phone number, date of the most recent certification, and the type of work the firm has
been certified to perform as a 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 Florida Department of Transportation updates the Directory at least annually, and
periodically, as necessary. The Directory is available for review by contacting: Justin Lobb,
Airport Manager, Collier County Airport Authority, 2005 Mainsail Drive, Suite 1, Naples, FL
34114, 239-642-7878. The Directory may be found at
http://www.dot.state.fl.us/equalopportunityoffice/.
Section 26.33 Overconcentration
The Authority has not identified that overconcentration exists in the types of work that DBEs
perform.
Section 26.35 Business Development Programs
The Authority has not established a business development program.
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Section 26.37 Monitoring and Enforcement Mechanisms
The Authority will take the following monitoring and enforcement mechanisms to ensure
compliance with 49 CFR Part 26:
1. The Authority will bring to the attention of the Department of Transportation any false,
fraudulent, or dishonest conduct in connection with the program, so that USDOT can take
the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the
USDOT Inspector General, action under suspension and debarment or Program Fraud and
Civil Penalties rules) provided in 26.109.
2. The Authority will consider similar action under its own legal authorities, including
responsibility determinations in future contracts. Attachment 3 lists the regulations,
provisions, and contract remedies available to the Authority in the event of non-compliance
with the DBE regulations by a participant in procurement activities.
3. The Authority will also provide a monitoring and enforcement mechanism to verify that
work committed to DBEs at contract award is actually performed by DBEs. This will be
accomplished by the following means:
a. Review bid package documentation thoroughly, obtaining clarification, if necessary.
b. Review monthly reports regarding employment as well as DBE participation to ensure adherence to plan
as represented in bid documents and as stipulated in this program.
c. Monitor progress of payments to DBEs through monthly reports from prime contractors.
d. Monitor progress of DBEs'work through on-site visits and communication with DBEs.
4. The Authority will keep a running tally of actual payments to DBE firms for work committed
to them at the time of contract award.
Section 26.39 Fostering Small Business Participation
The Authority has created an element to structure contracting requirements to facilitate
competition by small business concerns, taking all reasonable steps to eliminate obstacles to
their participation, including unnecessary and unjustified bundling of contract requirements
that may preclude small business participation in procurements as prime contractors or
subcontractors.
The program element is included as Attachment 9. The Authority will actively implement the
program elements to foster small business participation. Doing so is a requirement of good
faith implementation of our DBE program.
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SUBPART C—GOALS, GOOD FAITH EFFORTS, AND COUNTING
Section 26.43 Set-asides or Quotas
The Authority does not use quotas in any way in the administration of this DBE program.
Section 26.45 Overall Goals
A description of the methodology to calculate the overall goal and the goal calculation(s) can be
found in Attachment 4 to this program. This section of the program will be updated on at least
a triennial basis.
In accordance with Section 26.45(f), the Authority will submit its triennial overall goal to USDOT
on August 1 of each goal year. Before establishing its overall goal, the Authority will consult
with minority, women's and general contractor groups, community organizations, and other
officials or organizations to obtain information concerning the availability of disadvantaged and
non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the
Authority's efforts to establish a level playing field for the participation of DBEs.
Following this consultation, the Authority will publish a notice of the proposed overall goals,
informing the public that the proposed goal and its rational are available for review and
comment during normal business hours at the Authority for 30 days following the date of the
notice. The notice must include addresses to which comments may be sent and addresses
(including offices and websites) where the proposal may be reviewed.
The Authority's overall goal submission to USDOT will include a summary of information and
comments received during this public participation process and responses, if any comments are
received.
The Authority will begin using the overall goal on October 1 of the reporting period, unless it
has received other instructions from USDOT. If the Authority establishes a goal on a project
basis, it will begin using the goal by the time of the first solicitation for a USDOT-assisted
contract for the project.
Section 26.47 Goal Setting and Accountability
If the awards and commitments shown on the Authority's Uniform Report of Awards or
Commitments and Payments at the end of any fiscal year are less than the overall applicable to
that fiscal year, the Authority will:
1. Analyze in detail the reason for the difference between the overall goal and the actual
awards/commitments;
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2. Establish specific steps and milestones to correct problems identified in the analysis; and
3. Maintain a copy of the plan on file for at least three (3) years.
Section 26.49 Transit Vehicle Manufacturers Goals
N/A
Section 26.51(a-c) Breakout of Estimated Race-Neutral & Race-Conscious Participation
The breakout of estimated race-neutral and race-conscious participation can be found in
Attachment 4 to this program as part of the Authority's overall goal calculation. This section of
the program will be updated when the goal calculation is updated.
Section 26.51(d-g) Contract Goals
The Authority will use contract goals to meet any portion of the overall goal it 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
the overall goal that is not projected to be met through the use of race-neutral means.
The Authority will establish contract goals only on those USDOT-assisted contracts that have
subcontracting possibilities. The Authority 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).
The Authority will express their contract goals as a percentage of the federal share of a USDOT-
assisted contract.
Section 26.53 Good Faith Efforts Procedures
Demonstration of good faith efforts (26.53(a) & (c))
The obligation of the bidder is to make good faith efforts to meet the DBE goal. The bidder 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 49 CFR Part 26.
The DBELO is responsible for determining whether a bidder who has not met the contract goal
has documented sufficient good faith efforts to be regarded as responsive.
The Authority will ensure that all information is complete and accurate and adequately
documents the bidder's good faith efforts before it commits to the performance of the contract
by the bidder.
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Information to be submitted (26.53(b))
The Authority treats bidders' 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 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 will perform;
3. The dollar amount of the participation of each DBE firm participating;
4. Written and signed documentation of commitment to use a DBE subcontractor whose
participation it submits to meet a contract goal;
5. Written and signed confirmation from the DBE that it is participating in the contract as
provided in the prime contractors commitment and
6. If the contract goal is not met, evidence of good faith efforts.
This information will be collected using the forms found in Attachment 5.
Administrative reconsideration (26.53(d))
Within ten (10) days of being informed by the Authority that it is not responsive because it has
not documented sufficient good faith efforts, a bidder may request administrative
reconsideration. Bidders should make this request in writing to the following reconsideration
official: Gene Shue, Operations Support Director, Collier County Airport Authority, 2885 S.
Horseshoe Drive, Naples, FL 34104, 239-252-5169. The reconsideration official will not have
played any role in the original determination that the bidder did not document sufficient good
faith efforts.
As part of this reconsideration, the bidder 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 will have the opportunity to meet in person with the
Authority's administrative reconsideration official to discuss the issue of whether it met the
goal or made adequate good faith efforts to do. The Authority will send the bidder a written
decision on reconsideration, explaining the basis for finding that the bidder did or did not meet
the goal or make adequate good faith efforts to do so. The result of the reconsideration
process is not administratively appealable to the US Department of Transportation.
Good Faith Efforts when a DBE is replaced on a contract (26.53(f))
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The Authority requires that prime contractors not terminate a DBE subcontractor listed on a
bid/contract with a DBE contract goal without the Authority's prior written consent. Prior
written consent will only be provided where there is "good cause" for termination of the DBE
firm, as established by Section 26.53(f)(3) of the DBE regulation.
Before transmitting to the Authority its request to terminate, the prime contractor must give
notice in writing to the DBE of its intent to do so. A copy of this notice must be provided to the
Authority prior to consideration of the request to terminate. The DBE will then have five (5)
days to respond and advise the Authority of why it objects to the proposed termination.
In those instances where "good cause" exists to terminate a DBE's contract, the Authority will
require the prime 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. The Authority 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, the Authority will require the prime contractor to obtain prior approval of the
substitute DBE and to provide copies of new or amended subcontracts, or documentation of
good faith efforts.
If the contractor fails or refuses to comply in the time specified, the Authority's 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 Collier County Airport Authority, as owner of
the Collier County General Aviation Airports, 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, including those who qualify as a DBE. A DBE
contract goal of percent has been established for this contract. The bidder shall make
good faith efforts, as defined in Appendix A, 49 CFR Part 26, to meet the contract goal for
DBE participation in the performance of this contract.
The bidder 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;
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(4) Written documentation of the bidder'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 the
commitment made under(4);
(6) If the contract goal is not met, evidence of good faith efforts.
Section 26.55 Counting DBE Participation
The Authority will count DBE participation toward overall and contract goals as provided in 49
CFR 26.55.
SUBPART D—CERTIFICATION STANDARDS
Section 26.61—26.73 Certification Process
The Authority will refer all matters pertaining to certification to the Florida Department of
Transportation in accordance with the Florida UCP program. The Florida Department of
Transportation will use the certification standards of Subpart D of Part 26 to determine the
eligibility of firms to participate as DBEs in USDOT-assisted contracts. To be certified as a DBE, a
firm must meet all certification eligibility standards. The Florida Department of Transportation
will make all certification decisions based on the facts as a whole.
For information about the certification process or to apply for certification, firms should
contact:
Florida Department of Transportation (FDOT)
Equal Opportunity Office
605 Suwannee St. MS 65
Tallahassee, Florida 32399-0450
(850) 414-4747
Equal Opportunity Office
http://www.dot.state.flus/equalopportunityoffice/
The certification application forms and documentation requirements are found in Attachment 6
to this program.
SUBPART E—CERTIFICATION PROCEDURES
Section 26.81 Unified Certification Programs
The Authority is a member of the Florida Unified Certification Program (UCP) administered by
the Florida Department of Transportation. The UCP will meet all of the requirements of this
section. Florida's UCP program uses the certification standards of Subpart D of Part 26 and the
certification procedures of Subpart E of Part 26 to determine the eligibility of firms to
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participate as DBEs in USDOT/FAA-assisted contracts. Under the Florida UCP Program, the
Florida Department of Transportation and other certifying members will conduct DBE
certifications. To be certified as a DBE, a firm must meet all certification eligibility standards.
SUBPART F—COMPLIANCE AND ENFORCEMENT
Section 26.109 Information, Confidentiality, Cooperation
The Authority will safeguard from disclosure 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, the Authority will not release
personal financial information submitted in response to the personal net worth requirement to
a third party (other than USDOT) without the written consent of the submitter.
Monitoring Payments to DBEs
The Authority will require prime contractors to maintain records and documents of payments
to DBEs for three (3) years following the performance of the contract. These records will be
made available for inspection upon request by any authorized representative of the Authority
or USDOT. This reporting requirement also extends to any certified DBE subcontractor.
The Authority will perform interim audits of contract payments to DBEs. The audit will review
payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors
equals or exceeds the dollar amounts states in the schedule of DBE participation.
ATTACHMENTS
Attachment 1 Organizational Chart
Attachment 2 DBE Directory
Attachment 3 Monitoring and Enforcement Mechanisms
Attachment 4 Overall Goal Calculation; Breakout of Estimated Race-Neutral & Race-Conscious Participation
Attachment 5 Form 1&2 for Demonstration of Good Faith Efforts
Attachment 6 Certification Application Forms
Attachment 7 Procedures for Removal of DBE's Eligibility
Attachment 8 Regulations:49 CFR Part 26
Attachment 9 Fostering Small Business Participation
14 0
16G1
Attachment 1
Organizational Chart
I 6 G
Collier County Airport Authority
Organizational Chart
Collier County Airport Authority
Airports Manager
DBELO
a Eir'4
Attachment 2
DBE Directory
https://www3.dot.state.fl.us/EqualOpportunityOffice/biznet/mainmenu.asp
16u1
Attachment 3
Monitoring and Enforcement
Mechanisms
Collier County Airport Authority
1. All participants are hereby notified that pursuant to Title 49 Code of Federal Regulations,
United States Department of Transportation, Part 26 and the Disadvantaged Business
Enterprise Participation Program for the Collier County Airport Authority ('the Authority'),
they must affirmatively ensure that, in any contract entered into with the Collier County
Airport Authority, DBEs will be afforded equal opportunity to participate in subcontracting
activities. It is the policy of the Authority to ensure that DBEs, as defined in Part 26, have an
equal opportunity to receive and participate in USDOT-assisted contracts. It is further the
policy of the Authority to ensure nondiscrimination in the award and administration of
USDOT-assisted contracts.
2. All contracts between the Authority and a Contractor shall contain an appropriate provision
to the effect that failure by the Contractor to comply with the Authority's DBE Program shall
constitute a breach of contract, exposing the Contractor to a potential termination of the
contract or other appropriate remedy, including withholding of funds, until such time as the
contractor complies with all the DBE requirements of this program. Under authority
granted by Florida law, the Authority may impose liquidated damages, contract suspension,
or even contract termination.
3. All documentation submitted at time of bid, as well as additional data provided by the
successful bidder, is considered part of the contract documents. Any alterations,
substitutions, deletions, etc., to data provided at time of submission of bid must have prior
approval of the Authority's DBE Liaison Officer.
4. Should a DBE firm not certified by the Florida Unified Certification Program be proposed by
a potential contractor as a part of his/her DBE plan efforts, review and certification
procedures consistent with 49 CFR Part 26 must be conducted prior to award of any
contract.
5. In contracts with DBE contract goals, bids submitted which do not meet the DBE contract
goals, and which do not show that a meaningful good faith effort was made to achieve the
stated goals, will be considered non responsive bids, and bidders will be notified of the
deficiency and given opportunity to appeal to the Administrative Reconsideration Official
(49 CFR 26.53). The bidder will not be eligible for award of the contract until the appeal
procedures are complete. The Administrative Reconsideration Official will make the
determination on the sufficiency of the good faith efforts.
6. The Authority reserves the right to reject any or all bids, or to re-advertise for bids. Award,
if made, will be to the lowest responsive and qualified bidder. A bid will not be considered
responsive unless the bidder complies with Title 49 Code of the Federal Regulations, Part
26, and the Disadvantaged Business Enterprise Program of the Authority.
1
7. The Authority shall require contractors to make good faith efforts to replace a DBE
subcontractor that is terminated, or fails to complete its work on the contract for any
reason, with another DBE subcontractor. If a DBE subcontractor is terminated, or fails to
complete its work on the contract for any reason,the Contractor must notify the Authority
immediately. These good faith efforts shall be directed at finding another DBE to perform
at least the same amount of work under the contract as the DBE that was terminated, to
the extent needed to meet the established contract goal. The Authority shall approve all
substitutions prior to contract award and during contract performance in order to ensure
that the substitute firms are eligible DBEs.
Additional information on the Authority's Disadvantaged Business Enterprise Program can
be obtained from the DBE Liaison Officer, Justin Lobb, Airport Manager, Collier County
Airport Authority, 2005 Mainsail Drive, Suite 1, Naples, FL 34114, 239-642-7878.
8. The Authority will also implement a monitoring and enforcement mechanism to ensure that
work committed to DBEs at contract award is actually performed by DBE's. This mechanism
will provide for a running tally of actual DBE attainments (e.g., payments actually made to
DBE firms), including a means of comparing these attainments to commitments. These
mechanisms will include, but not be limited to, the following:
a. Review bid package documentation thoroughly, obtaining clarification, if necessary.
b. Review monthly reports regarding employment as well as DBE participation to ensure adherence to plan
as represented in bid documents and as stipulated in this program.
c. Monitor progress of payments to DBEs through monthly reports from prime contractors.
d. Monitor progress of DBEs work through on-site visits and communication with DBEs.
9. The Authority will bring to the attention of the US Department of Transportation any false,
fraudulent, or dishonest conduct in connection with the program, so that USDOT can take
the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the
USDOT Inspector General, action under suspension and debarment or Program Fraud and
Civil Penalties rules) provided in 26.109.
10. The Authority also will consider similar action under its own legal authorities, including
responsibility determinations in future contracts. In addition,the Authority will apply legal
and contract remedies under state and local law. This includes, for example, applying
liquidated damages, withholding payments, etc.
11. In its reports of DBE participation to the USDOT, the Authority will show both commitments
and attainments, as required by the USDOT reporting form.
Attachment 8 contains a copy of 49 CFR Part 26, which describes federal regulations,
provisions, and contract remedies available to the Authority in the event of non-compliance
by a participant.
2
16G1
Attachment 4
Overall Goal Calculation
I G 1
FY 2016-2018
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM METHODOLOGY
for
Immokalee Regional Airport
IMMOKALEE, FLORIDA
With Assistance From
irly4
el Ja
Ken Weeden &Associates, Inc.
December 2015
I 6
METHODOLOGY for Establishing the FY 2016 - FY 2018 Overall Disadvantaged
Business Enterprise (DBE) Goal for:
Collier County
Immokalee, FL
In fulfillment of the requirements of 49 CFR Part 26, Immokalee Regional Airport, operated by the Collier
County Airport Authority (hereafter 'the Authority') has developed a proposed Overall Disadvantaged
Business Enterprise(DBE) Goal for FY 2016-2018 FAA-AIP funded projects.
I. Detailed Methodology: Specific Steps
A. Amount of Goal
The Authority's overall goal for FY 2016-2018 is 5.9% of the Federal financial
assistance it will expend in USDOT-assisted contracts.
Given the amount of USDOT-assisted contracts that the Authority expects to let from
FY 2016-2018,which is approximately$1,142,000,this means that the Authority
has set a goal of expending approximately$67,648 with DBEs during this period.
B. Determination of the Market Area of the study
The normal market area was based on discussions with the Authority staff and an
assessment of bidders from similar recent projects. Specifically, the market area is
based on where the substantial majority of bidders, both successful and
unsuccessful are located and where the substantial majority of funding was spent as
illustrated in Table 1 below:
Table 1: Immokalee Regional Airport
Market Area
Percent Percent
County Bidders of Dollars of
bidders At dollars
Collier 8 25.0% $13,070,269 99.2%
Lee 11 34.4% 0.0%
Market area total 19 59.4% $13,070,269 99.2%
Other 13 40.6% $100,988 0.8%
2
44
C. Determination of relevant NAICS codes
Based on information provided by the Authority concerning the proposed projects
for the goal period, a list of NAICS codes corresponding to these projects was
developed and is shown below:
Table 2: Immokalee Regional Airport
FY 2016-FY 2018 Projects &Activities
FY 2016 projects
PROJECT ACTIVITY NAICS
Update Airport Layout Plan (ALP) Engineering 541330
Rehabilitation of Taxiway Bravo (Design) Engineering 541330
Highway&Street 237310
Rehabilitation of Taxiway Bravo Site Prep 238910
(Construction) Engineering 541330
Landscaping 561730
FY 2018 projects
PROJECT ACTIVITY NAICS
Taxiway C Extension,airport perimeter road
and removal of Taxiway A(Design) Engineering 541330
SOURCE: Immokalee Regional Airport
D. Determination of Relative Availability Of DBEs in Market Area, Compared to all
Firms
Table 3a: DBES—Immokalee Regional Airport
by Relevant NAICS Codes—FY 2016
NAICS DBE All %of DBE Ratio of Weighted
Codes Firms Firms Firms estimated total Total
le expended Availabi "
237310 4 28 14.3% 48.9% 7.0%
238910 5 73 6.8% 13.3% 0.9%
541330 4 179 2.2% 37.1% 0.8%
561730 4 644 0.6% 0.7% 0.0%
WEIGHTED STEP 1 DBE BASE FIGURE = 8.7%
SOURCES:
1. 2013 County Business Patterns,U.S.Census Bureau.
2. Florida UCP DBE Directory,December 2015.
3
Table 3b: DBES—Immokalee Regional Airport
by Relevant NAICS Codes—FY 2018
NAICS DBE All %of DBE Ratio of Weighted
Codes Firms Firms Firms estimated total Total
Available mosiad aiatabhility
541330 4 179 2.2°! 100.0% 2.2%
WEIGHTED STEP 1. DBE BASE FIGURE = 2.2%
s;URCU
1. 2013 County Business Patterns,U.S.Census Bureau.
2. Florida UCP DBE Directory,December 2015.
NOTE: The County Business Patterns data were used as the source to determine the denominator,or the
number of all firms in the market area. The DBE directories listed above were used to determine the
numerator,or the number of DBE firms in the market area.
E. Determination of the "Weighted" DBE Base Figure
The Step 1 DBE Base Figure for each fiscal year was derived by using a weighting
process by which the percentage of dollars spent on various activities (represented
by NAICS codes) were multiplied by the percentage of relevant DBE firms to all
relevant firms as indicated in Table 3 above.
The Step 1 DBE Base Figure for the Authority for FY 2016 is 8.7%.
The Step 1 DBE Base Figure for the Authority for FY 2018 is 2.2%.
II. Adjustments to the DBE Base Figure
After the DBE Base Figure has been developed, the regulations (49 CFR Part 26) require
that:
"...additional evidence in the sponsor's jurisdiction be considered to determine what
adjustment, if any, is needed to the base figure in order to arrive at your overall goal"
(26:45(d)).
A. Adjustment Factors to Consider
The regulations further state that there are several types of evidence that must be
considered when adjusting the base figure. These include:
"(1) The current capacity of DBEs to perform work in your USDOT-assisted contracting
program, as measured by the volume of work DBEs have performed in recent years.
The historical overall DBE accomplishments for the Authority in recent years were
examined relative to the above consideration. Notice the DBE percent
accomplishment indicated in Table 4 below:
4
16G2.
Table 4: Collier County Airport Authority
DBEAccom•lishment
33127 MKY Taxiwa Construction 2.8% 3.8% 1.0%
33227 IMM RW 9-27 Rehab - Desi:n 3.0% 3.0% 0.0%
33228 MKY RW 17-35 &Aaron Rehab - Desi:n 3.0% 3.1% 0.1%
33295 X01 South Taxiwa Construction 3.1% 4.4% 1.3%
33300 IMM RW 9-27 Rehab - Construction 4.4% 4.5% 0.1%
33300 IMM RW 9-27 Rehab - Construction 4.4% 3.2% -1.2%
33301 MKY RW 17-35 &A iron Rehab - Constr. 4.2% 5.8% 1.6%
33301 MKY RW 17-35 &A.ron Rehab - Constr. 4.2% 10.5% 6.3%
MEDIAN 3.7% 4.1% 0.6%
The median DBE accomplishment for the period as shown above for the Authority is
4.1% compared to the Step 1 Base Figure for the Authority of 8.7% for FY 2016 and
2.2% for FY 2018 derived using the methodology detailed above.
B. Consultations
Before establishing the DBE goal, the Authority consulted with stakeholders to
obtain information concerning the availability of disadvantaged businesses, the
effects of discrimination on opportunities for DBEs, and the Authority's efforts to
establish a level playing field for the participation of DBEs. The consultation process
did not provide any additional information with which to adjust the goal.
C. Adjustment to Step 1 DBE Base Figures: Immokalee Regional Airport, FY 2016-
FY 2018
With the adjustment factors considered to this point, the Authority will adjust the
Step 1 base figures as calculated above by adding the annual accomplishment factor
derived in Table 4 above (4.1%) to the base figure for each fiscal year as noted, and
averaging the total, for an adjusted overall DBE goal.
Table 5: Immokalee Regional Airport
FY 2016- FY 2018 Overall Goal
Total
Fiscal Step 2 Overall DBE Goal
Year Step1 adjustment Goal project (dollars)
costs
FY 2016 8.7% 4.1% 6.4% $972,000 $62,208
FY 2017 No projects at this time
FY 2018 2.2% 4.1% 3.2% $170,000 $5,440
Total 3-year goal 5.9% $1,142,000 $67,648
5
1 6
The total DBE goal in dollars was divided by the total project costs to derive the
overall DBE goal of 5.9% for FY 2016-FY 2018.
III. Process
The Authority will normally submit its overall goal to the FAA on August 1 of each year
that a DBE goal is due.
Before establishing the overall goal this year, the Authority consulted with minority,
women's and general contractor groups, community organizations, and other officials
or organizations to obtain information concerning the availability of disadvantaged and
non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs,
and the Authority's efforts to establish a level playing field for the participation of DBEs.
Following this consultation, the Authority published a notice on its website of the
proposed overall goal informing the public that the proposed goal and its rationale were
available for review and comment during normal business hours at the Authority's
administrative office for 30 days following the date of the notice. The notice included
addresses (including offices) to which comments could be sent and addresses where
the proposal could be reviewed. This process was used to establish the goals for FY
2016 to FY 2018.
The Authority's overall goal submission to the FAA will include a summary of
information and comments received during this public participation process and our
responses.
The Authority will begin using the overall goal on October 1 of each year, unless the
Authority has received other instructions from DOT/FAA (or, if the goal is established
on a project basis) by the time of the first solicitation for a DOT/FAA-assisted contract
for the projects.
IV. Breakout of Estimated Race-Conscious/Race-Neutral Participation
The Authority will meet the maximum feasible portion of its overall goal by using race-
neutral means of facilitating DBE participation. The Authority will use a combination of
the following race-neutral means to increase DBE participation:
1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery
schedules in ways that facilitate DBE, and other small businesses participation (e.g., unbundling large
contracts to make them more accessible to small businesses, encouraging prime contractors to
subcontract portions of work that they might otherwise perform with their own forces);
2. Disseminating information communications on contracting procedures and specific contract
opportunities(e.g.,ensuring the inclusion of DBEs, and other small businesses,on recipient mailing lists
6
1
6 G
for bidders, ensuring the dissemination to bidders on prime contracts of lists of potential
subcontractors).
The Authority proposes a race-conscious goal of 5.3% and a race-neutral goal of
0.6%, for a total of 5.9%. The reason for this breakout is that the projects from the
previous year(s) show that the median amount by which the past DBE goal(s) were
over-achieved is 0.6% (see Table 4).
The Authority will adjust the estimated breakout of race-neutral and race-conscious
participation as needed to reflect actual DBE participation (26.51(f)) and it 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 a DBE goal; DBE participation 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.
VI. Contract Goals
The Authority will use contract goals to meet any portion of the overall goal that the
Authority 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.
The Authority will establish contract goals only on those DOT-assisted contracts that
have subcontracting possibilities. The Authority 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).
The Authority will express our contract goals as a percentage of the Federal share of a
DOT-assisted contract.
7
Resources: The Immokalee Regional Airport FY 2016-2018 Disadvantaged
Business Enterprise Program Methodology
A. Resource Documents:
1. Florida UCP DBE Directory, December 2015.
2. 2013 County Business Patterns, U.S. Census Bureau.
3. Uniform Report of DBE Commitments/Awards and Payments
8
FY 2016-2018
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM METHODOLOGY
for
Marco Island Executive Airport
NAPLES, FLORIDA
With Assistance From
lipc
Ken Weeden &Associates, Inc.
December 2015
METHODOLOGY for Establishing the FY 2016- FY 2018 Overall Disadvantagedit G
Business Enterprise (DBE) Goal for:
Collier County
Naples, FL
In fulfillment of the requirements of 49 CFR Part 26, Marco Island Executive Airport, operated by the Collier
County Airport Authority (hereafter 'the Authority') has developed a proposed Overall Disadvantaged
Business Enterprise(DBE) Goal for FY 2016-2018 FAA-AIP funded projects.
I. Detailed Methodology: Specific Steps
A. Amount of Goal
The Authority's overall goal for FY 2016-2018 is 5.6% of the Federal financial
assistance it will expend in USDOT-assisted contracts.
Given the amount of USDOT-assisted contracts that the Authority expects to let from
FY 2016-2018,which is approximately$10,855,000, this means that the Authority
has set a goal of expending approximately$611,260 with DBEs during this period.
B. Determination of the Market Area of the study
The normal market area was based on discussions with the Authority staff and an
assessment of bidders from similar recent projects. Specifically, the market area is
based on where the substantial majority of bidders, both successful and
unsuccessful are located and where the substantial majority of funding was spent as
illustrated in Table 1 below:
Table 1: Marco Island Executive Airport
Market Area
Percent Percent
County Bidders of Dollars of
b. dollars
Collier 8 25.0% $13,070,269 99.2%
Lee 11 34.4% 0.0%
Market area total 19 59.4% $13,070,269 99.2%
Other 13 40.6% $100,988 0.8%
2
i6Gi
C. Determination of relevant NAICS codes
Based on information provided by the Authority concerning the proposed projects
for the goal period, a list of NAICS codes corresponding to these projects was
developed and is shown below:
Table 2: Marco Island Executive Airport
FY 2016-FY 2018 Projects&Activities
FY 2016 projects
PROJECT ACTIVITY NAICS
New terminal, auto parking,aircraft parking
area, and removal of existing terminal facility Engineering 541330
(Design)
FY 2017 projects
PROJECT ACTIVITY NAICS
Building Construction 236220
Highway&Street 237310
Drainage 237990
New terminal, auto parking,aircraft parking Electrical 238210
area, and removal of existing terminal facility Site Prep 238910
(Construction)
Fencing 238990
Engineering 541330
Landscaping 561730
FY 2018 projects
PROJECT ACTIVITY NAICS
New terminal, auto parking,aircraft parking
area, and removal of existing terminal facility Engineering 541330
(Construction)
SOURCE: Marco Island Executive Airport
D. Determination of Relative Availability Of DBEs in Market Area, Compared to all
Firms
Table 3a: DBES—Marco Island Executive Airport
b Relevant NAICS Codes—FY 2016
NAICS DB ' 11 o o * r'° ' o + Weighted
Codes Firms Firms Firms estimated total Total
Au' +J..: • reit':d Av' 1 salty
541330 4 179 2.2% 100.0% 2.2%
W EIGHTED STEP 1 DBE BASE FIGURE = 2.2%
SOURCES:
1. 2013 County Business Patterns,U.S.Census Bureau.
2. Florida UCP DBE Directory,December 2015.
3
16131
Table 3b: DBES-Marco Island Executive Airport
by Relevant NAICS Codes-FY 2017
NAICS DBE All %of DBE Ratio of Weighted
Codesirms Firms Firms estimated total Total
- - Available expended Availability
236220 9 141 6.4% 50.0% 3.2%
237310 4 28 14.3% 26.5% 3.8%
237990 0 39 0.0% 2.5% 0.0%
238210 4 299 1.3% 2.5% 0.0%
238910 5 73 6.8% 9.2% 0.6%
238990 7 214 3.3% 2.5% 0.1%
541330 4 179 2.2% 6.3% 0.1%
561730 4 644 0.6% 0.5% 0.0%
WEIGHTED STEP 1 DBE BASE FIGURE = 7.9%
SOURCES:
1. 2013 County Business Patterns,U.S.Census Bureau.
2. Florida UCP DBE Directory,December 2015.
Table 3c: DBES-Marco Island Executive Airport
by Relevant NAICS Codes-FY 2018
NAICS DBE All lip orb*" patio of Weighted
Codes Firms Firms Firms estimated total Total
541330 4 .3_ 179 2.2% 100.0% 2.2%
L WEIGHTED STEP 1 DBE BASE FIGURE= 2.2%
SOURCES:
1. 2013 County Business Patterns,U.S.Census Bureau.
2. Florida UCP DBE Directory,December 2015.
NOTE: The County Business Patterns data were used as the source to determine the denominator,or the
number of all firms in the market area. The DBE directories listed above were used to determine the
numerator,or the number of DBE firms in the market area.
E. Determination of the "Weighted" DBE Base Figure
The Step 1 DBE Base Figure for each fiscal year was derived by using a weighting
process by which the percentage of dollars spent on various activities (represented
by NAICS codes) were multiplied by the percentage of relevant DBE firms to all
relevant firms as indicated in Table 3 above.
The Step 1 DBE Base Figure for the Authority for FY 2016 is 2.2%.
The Step 1 DBE Base Figure for the Authority for FY 2017 is 7.9%.
The Step 1 DBE Base Figure for the Authority for FY 2018 is 2.2%.
4
a1 0 I
II. Adjustments to the DBE Base Figure
After the DBE Base Figure has been developed,the regulations (49 CFR Part 26) require
that:
"...additional evidence in the sponsor's jurisdiction be considered to determine what
adjustment, if any, is needed to the base figure in order to arrive at your overall goal"
(26:45(d)).
A. Adjustment Factors to Consider
The regulations further state that there are several types of evidence that must be
considered when adjusting the base figure. These include:
"(i) The current capacity of DBEs to perform work in your USDOT-assisted contracting
program, as measured by the volume of work DBEs have performed in recent years.
The historical overall DBE accomplishments for the Authority in recent years were
examined relative to the above consideration. Notice the DBE percent
accomplishment indicated in Table 4 below:
Table 4: Collier County Airport Authority
DBEAccom•lishment
33127 MKY Taxiwa Construction 2.8% 3.8% 1.0%
33227 IMM RW 9-27 Rehab - Desi:n 3.0% 3.0% 0.0%
33228 MKY RW 17-35 &A iron Rehab - Desi:n 3.0% 3.1% 0.1%
33295 X01 South Taxiwa Construction 3.1% 4.4% 1.3%
33300 IMM RW 9-27 Rehab-Construction 4.4% 4.5% 0.1%
33300 IMM RW 9-27 Rehab -Construction 4.4% 3.2% -1.2%
33301 MKY RW 17-35 &A iron Rehab -Constr. 4.2% 5.8% 1.6%
33301 MKY RW 17-35 &A iron Rehab - Constr. 4.2% 10.5% 6.3%
MEDIAN 3.7% 4.1% 0.6%
The median DBE accomplishment for the period as shown above for the Authority is
4.1% compared to the Step 1 Base Figure for the Authority of 2.2% for FY 2016,
7.9% for FY 2017, and 2.2% for FY 2018 derived using the methodology detailed
above.
B. Consultations
Before establishing the DBE goal, the Authority consulted with stakeholders to
obtain information concerning the availability of disadvantaged businesses, the
effects of discrimination on opportunities for DBEs, and the Authority's efforts to
5
16G1
establish a level playing field for the participation of DBEs. The consultation process
did not provide any additional information with which to adjust the goal.
C. Adjustment to Step 1 DBE Base Figures: Marco Island Executive Airport, FY
2016-FY 2018
With the adjustment factors considered to this point,the Authority will adjust the
Step 1 base figures as calculated above by adding the annual accomplishment factor
derived in Table 4 above (4.1%) to the base figure for each fiscal year as noted, and
averaging the total, for an adjusted overall DBE goal.
Table 5: Marco Island Executive Airport
FY 2016 - FY 2018 Overall Goal
Total
Fiscal Step1 Step 2 Overall project DBE Goal
Year adjustment Goal costs (dollars)
FY 2016 2.2% 4.1% 3.2% $1,260,000 $40,320
FY 2017 7.9% 4.1% 6.0% $9,425,000 $565,500
FY 2018 2.2% 4.1% 3.2% $170,000 $5,440
Total 3-year goal 5.6% $10,855,000 $611,260
The total DBE goal in dollars was divided by the total project costs to derive the
overall DBE goal of 5.6% for FY 2016-FY 2018.
III. Process
The Authority will normally submit its overall goal to the FAA on August 1 of each year
that a DBE goal is due.
Before establishing the overall goal this year, the Authority consulted with minority,
women's and general contractor groups, community organizations, and other officials
or organizations to obtain information concerning the availability of disadvantaged and
non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs,
and the Authority's efforts to establish a level playing field for the participation of DBEs.
Following this consultation, the Authority published a notice on its website of the
proposed overall goal informing the public that the proposed goal and its rationale were
available for review and comment during normal business hours at the Authority's
administrative office for 30 days following the date of the notice. The notice included
addresses (including offices) to which comments could be sent and addresses where
the proposal could be reviewed. This process was used to establish the goals for FY
2016 to FY 2018.
6
1 6 G 1
The Authority's overall goal submission to the FAA will include a summary of
information and comments received during this public participation process and our
responses.
The Authority will begin using the overall goal on October 1 of each year, unless the
Authority has received other instructions from DOT/FAA (or, if the goal is established
on a project basis) by the time of the first solicitation for a DOT/FAA-assisted contract
for the projects.
IV. Breakout of Estimated Race-Conscious/Race-Neutral Participation
The Authority will meet the maximum feasible portion of its overall goal by using race-
neutral means of facilitating DBE participation. The Authority will use a combination of
the following race-neutral means to increase DBE participation:
1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery
schedules in ways that facilitate DBE, and other small businesses participation (e.g., unbundling large
contracts to make them more accessible to small businesses, encouraging prime contractors to
subcontract portions of work that they might otherwise perform with their own forces);
2. Disseminating information communications on contracting procedures and specific contract
opportunities(e.g.,ensuring the inclusion of DBEs,and other small businesses,on recipient mailing lists
for bidders, ensuring the dissemination to bidders on prime contracts of lists of potential
subcontractors).
The Authority proposes a race-conscious goal of 5.0% and a race-neutral goal of
0.6%, for a total of 5.6%. The reason for this breakout is that the projects from the
previous year(s) show that the median amount by which the past DBE goal(s) were
over-achieved is 0.6% (see Table 4).
The Authority will adjust the estimated breakout of race-neutral and race-conscious
participation as needed to reflect actual DBE participation (26.51(f)) and it 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 a DBE goal; DBE participation 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.
VI. Contract Goals
The Authority will use contract goals to meet any portion of the overall goal that the
Authority 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.
7
x,
The Authority will establish contract goals only on those DOT-assisted contracts that
have subcontracting possibilities. The Authority 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).
The Authority will express our contract goals as a percentage of the Federal share of a
DOT-assisted contract.
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Resources: The Marco Island Executive Airport FY 2016-2018 Disadvantaged
Business Enterprise Program Methodology
A. Resource Documents:
1. Florida UCP DBE Directory, December 2015.
2. 2013 County Business Patterns, U.S. Census Bureau.
3. Uniform Report of DBE Commitments/Awards and Payments
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Attachment 5
Form 1 & 2 for Demonstration
of Good Faith Efforts
Collier County Airport Authority .1 G 1
FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION
The undersigned bidder has satisfied the requirements of the bid specification in the following
manner (please check the appropriate space):
The bidder is committed to a minimum of % DBE utilization on this contract.
The bidder (if unable to meet the DBE goal of %) is committed to a minimum
of % DBE utilization on this contract and has submitted documentation
demonstrating good faith efforts.
Name of bidder's firm:
State Registration No.
By
(Signature) Title
Collier County Airport Authority1 ° G
FORM 2: LETTER OF INTENT
Name of bidder's firm:
Address:
City: State: Zip:
Name of DBE firm:
Address:
City: State: Zip:
Telephone:
Description of work to be performed by DBE firm:
The bidder is committed to utilizing the above-named DBE firm for the work described above.
The estimated dollar value of this work is $
Affirmation
The above-named DBE firm affirms that it will perform the portion of the contract for the
estimated dollar value as stated above.
By
(Signature) (Title)
If the bidder does not receive award of the prime contract, any and all representations in this
Letter of Intent and Affirmation shall be null and void.
(Submit this page for each DBE subcontractor.)
ffiS
Attachment 6
Certification Application Forms
http://www.dot.state.fl.us/equalopportunitvoffice/dbecertification 1.shtm
16G1.
Attachment 7
Procedures for Removal of a
DBE' s Eligibility ',
ti
I. Procedures for removing a DBE's eligibility.
A. Ineligibility complaints.
1. Any person may file with the Florida Unified Certification Program (FL UCP) a written
complaint alleging that a currently-certified firm is ineligible and specifying the
alleged reasons why the firm is ineligible. Confidentiality of complainants' identities
will be protected. However, general allegations or anonymous complaints will not
be accepted.
2. FL UCP will review its records concerning the firm, any material provided by the firm
and the complainant, and other available information. The FL UCP may request
additional information from the firm or conduct any other investigation that it
deems necessary.
3. If the FL UCP determines, based on this review, that there is reasonable cause to
believe that the firm is ineligible, it will provide written notice to the firm that the FL
UCP proposes to find the firm ineligible, setting forth the reasons for the proposed
determination. If the FL UCP determines that such reasonable cause does not exist,
it will notify the complainant and the firm in writing of this determination and the
reasons for it. All statements of reasons for findings on the issue of reasonable
cause must specifically reference the evidence in the record on which each reason is
based.
B. FL UCP-initiated proceedings. If, based on notification by the firm of a change in its
circumstances or other information that comes to your attention, the FL UCP
determines that there is reasonable cause to believe that a currently certified firm is
ineligible, the FL UCP will provide written notice to the firm that it proposes to find the
firm ineligible, setting forth the reasons for the proposed determination. The statement
of reasons for the finding of reasonable cause will specifically reference the evidence in
the record on which each reason is based.
C. Hearing. When the FL UCP notifies a firm that there is reasonable cause to remove its
eligibility, as provided in paragraph (A) or (B) of this section, the FL UCP will give the firm
an opportunity for an informal hearing, at which the firm may respond to the reasons
for the proposal to remove its eligibility in person and provide information and
arguments concerning why it should remain certified.
1. The FL UCP will maintain a complete record of the hearing, by any means acceptable
under state law for the retention of a verbatim record of an administrative hearing.
2. The firm may elect to present information and arguments in writing, without going
to a hearing.
1
Et
D. Separation of functions. The FL UCP will ensure that the decision in a proceeding to
remove a firm's eligibility is made by an office and personnel that did not take part in
actions leading to or seeking to implement the proposal to remove the firm's eligibility
and are not subject, with respect to the matter, to direction from the office or personnel
who did take part in these actions.
1. FL UCP's method of implementing this requirement will be made part of its DBE
program.
2. The decision-maker will be an individual who is knowledgeable about the
certification requirements of your DBE program and this part.
E. Grounds for decision. The FL UCP will not base a decision to remove eligibility on a
reinterpretation or changed opinion of information available to the FL UCP at the time
of its certification of the firm. Rather, such decision will be based on one or more of the
following:
1. Changes in the firm's circumstances since the certification of the firm by the FL UCP
that render the firm unable to meet the eligibility standards of this part;
2. Information or evidence not available to the FL UCP at the time the firm was
certified;
3. Information that was concealed or misrepresented by the firm in previous
certification actions by the FL UCP;
4. A change in the FL UCP's certification standards or requirements since the firm was
certified; or
5. A documented finding that the FL UCP's determination to certify the firm was
factually erroneous.
F. Notice of decision. Following the FL UCP decision, the FL UCP will provide the firm
written notice of the decision and the reasons for it, including specific references to the
evidence in the record that supports each reason for the decision. The notice must
inform the firm of the consequences of the FL UCP's decision and of the availability of an
appeal to the United States Department of Transportation shown below in Section II.
The FL UCP will send copies of the notice to the complainant in an ineligibility complaint.
G. Status of firm during proceeding.
1. A firm remains an eligible DBE during the pendency of your proceeding to remove its
eligibility.
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1 G1
2. The firm does not become ineligible until the issuance of the notice provided for in
paragraph (F) of this section.
H. Effects of removal of eligibility. When the FL UCP removes a firm's eligibility, the FL UCP
will take the following action:
1. When a prime contractor has made a commitment to using the ineligible firm, or the
Authority has made a commitment to using a DBE prime contractor, but a
subcontract or contract has not been executed before the FL UCP will issue the
decertification notice provided for in paragraph (F) of this section, the ineligible firm
does not count toward the contract goal or overall goal. Prime contractor are
directed to meet the contract goal with an eligible DBE firm or demonstrate to the
Authority that it has made a good faith effort to do so.
2. If a prime contractor has executed a subcontract with the firm before the FL UCP has
notified the firm of its ineligibility, the prime contractor may continue to use the firm
on the contract and may continue to receive credit toward its DBE goal for the firm's
work. In this case, or in a case where you have let a prime contract to the DBE that
was later ruled ineligible, the portion of the ineligible firm's performance of the
contract remaining after the FL UCP issued the notice of its ineligibility shall not
count toward the Authority's overall goal, but may count toward the contract goal.
3. Exception: If the DBE's ineligibility is caused solely by its having exceeded the size
standard during the performance of the contract, the Authority may continue to
count its participation on that contract toward overall and contract goals.
I. Availability of appeal. When the FL UCP makes an administratively final removal of a
firm's eligibility under this section, the firm may appeal the removal to the United States
Department of Transportation in accordance with Section II of this document.
II. USDOT Certification Appeals Process
A. If you are a firm which is denied certification or whose eligibility is removed by the FL
UCP, you may make an administrative appeal to the USDOT.
B. If you are a complainant in an ineligibility complaint to the FL UCP (including the
concerned operating administration in the circumstances provided in paragraph (C), you
may appeal to the USDOT if the FL UCP does not find reasonable cause to propose
removing the firm's eligibility or, following a removal of eligibility proceeding,
determines that the firm is eligible.
C. Send appeals to the following address:
United States Department of Transportation
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Office of Civil Rights
400 7th Street SW, Room 2401
Washington DC 20590
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Attachment 8
Regulations : 49 CFR Part 26
www.ecfr.gov
16G1
Attachment 9
Fostering Small Business
Participation ( 26 . 39 )
t
ap 1
A. Purpose and Objective of this Element
This element, 49 CFR Part 26.39, is included as an amendment to our DBE program plan, and is herein
referenced as the Small Business Participation Plan (SBPP). This new part calls for the inclusion of an element
to "structure contracting requirements to facilitate competition by small business concerns,taking all reasonable
steps to eliminate obstacles to their participation."
The Collier County Airport Authority ("Authority") hereby sets forth the Authority's plan to implement these
requirements. The Authority's SBPP is also regarded as a substantial effort toward fulfilling the overall intent
of 49 CFR Part 26.51 that is to meet the maximum feasible portion of its overall goal by using race-neutral
means to obtain DBE participation. Therefore, implementation of the Authority's SBPP will be based on the
standard of business size, without regard to race or gender of the business owner.
This element also addresses the unnecessary and unjustified "bundling" of contract requirements which may
preclude or inhibit small business participation in procurements, as either prime or subcontractors.
Further, the Authority perceives the objectives of this section to be consistent with its DBE Program Policy
Statement, which says in part:
"- To ensure nondiscrimination in the award and administration of DOT-assisted contracts.
- To help remove barriers to the participation of DBEs in DOT assisted contracts..
- To assist the development of firms that can compete successfully in the market place outside
the DBE Program. "
The Authority's policy statement and this small business element (SBPP) are consistent with the Authority's
history of creating and encouraging business opportunities at all levels.
B. SBPP Strategy
The Authority intends to carry out the objectives of this part by employing the following strategies and
supporting activities:
1. Establishment of a Race-neutral "Subcontracting Goal"
The Authority proposes, where feasible, on certain prime contracts that do not have a DBE contract
goal,that prime contractors will be required to provide subcontracting opportunities to qualified small
business concerns (SBCs), as defined herein, without regards to race or gender of the business owner.
Verified business size and subcontracting opportunities will be the basis of this subcontracting goal.
The opportunities must be of a size that SBCs, including some which may also happen to be DBEs, can
reasonably perform. The Authority will assess the feasibility for race-neutral subcontracting goals on
projects. The Authority will assist the potential primes by reviewing the project(s), in advance of the
solicitation, and by suggesting potential subcontracting opportunities in the solicitation documents. This
will help to establish a reasonable race-neutral subcontracting goal.
1
G
2. Consideration of"Unbundling" of Large Contracts
The Authority has given consideration to "unbundling" as a small business strategy. However,because
the Authority has non-hub primary airports,the Authority believes that, at this time, such a strategy will
not be suitable for its airports. Because of the limited number and size of contracts each year,the
increased total number of bid solicitations with"unbundling" could significantly increase both
administrative and project costs per bid. This will reduce the necessary "economy of scale" for non-hub
primary airports.
C. Definitions for this Element
1. Small Business
For purposes of this program element, which is part of our approved DBE program, "small business" shall
have the same definition as "small business concerns" contained in 49 CFR 26.5:
"Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted
contracts, a small business concern as defined pursuant to section 3 of the Small Business Act and Small
Business Administration regulations implementing it (13 CFR part 121) that also does not exceed the cap
on average annual gross receipts specified in§26.65(b). "
For additional clarification, it is useful to include here some excerpts from the SBA regulations, 13 CFR,
121.105:
(a)(1) Except for small agricultural cooperatives, a business concern eligible for assistance from SBA as
a small business is a business entity organized for profit, with a place of business located in the United
States, and which operates primarily within the United States or which makes a significant contribution to
the U.S. economy through payment of taxes or use of American products, materials or labor.... " and,
(b) A business concern may be in the legal form of an individual proprietorship, partnership, limited
liability company, corporation,joint venture, association, trust or cooperative, except that where the form
is a joint venture there can be no more than 49 percent participation by foreign business entities in the
joint venture.
Further, it is acknowledged that the SBA rules make allowances for the dollar amounts to be adjusted
from time to time.
2. Disadvantaged Business Enterprise
Disadvantaged Business Enterprise (DBE) means a for-profit small business concern(defined by SBA
rules, above)that meets the standards of 49 CFR Part 26, i.e.
• At least 51 percent owned by one or more individuals who are both socially and economically
disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or
more such individuals;
2
• Whose socially and economically disadvantaged owners do not exceed the personal net worth (PNW)
does not exceed the described in 49 CFR Part 26. (The current PNW cap is $1.32 million.)
• Whose management and daily business operations are controlled by one or more of the socially and
economically disadvantaged individuals who own it;
• Has been certified as a DBE by a certifying member of the Florida Unified Certification Program
(Florida UCP) in accordance with the full requirements of 49 CFR 26.
It is understood that in the implementation of this element, all of the "small business concerns" may not
necessarily be DBE firms. However, small businesses that are also owned and controlled by individuals
who meet the DBE standard will certainly be encouraged to seek DBE certification. Only DBE certified
firms who participate as small business concerns, pursuant to this element, will be counted towards DBE
race-neutral participation on FAA-assisted contracts in this program.
D. Verification Standards and Procedures
For purposes of this small business element, the Authority will require the following verification and/or
certification:
1. Florida Unified Certification Program (Florida UCP) DBE Certification — DBE certification by a
certifying member of the Florida UCP which stipulates that a firm has been determined to meet all the
requirements in accordance with 49 CFR Part 26. All certification determinations are evidenced by a
letter of DBE certification issued by a certifying member of the Florida UCP. It should be noted that the
Airport is a non-certifying member of the Florida UCP and relies on certification decisions of the Florida
Department of Transportation (FDOT). The FDOT certification staff applies the standards and procedures
for DBE certification applicants contained in Subparts D and E of 49 CFR 26.61 —26.91.
2. A non-DBE certified potential small business concern - may have to complete a simplified application
and/or provide the following information at time of response to a solicitation or a bid submittal, as
evidence of the small business status:
a. Evidence of SBA 8(a) or SBD Certification(as described in 13 CFR Parts 121 and 124);
b. A copy of the business tax returns for the most recent three-year period indicating the gross receipts;
and/or
c. A notarized statement from a Certified Public Accountant indicating the firm's average gross
receipts for the past three years.
3. Use of Personal Net Worth:
The Authority, in addition to the standards for small business concerns described above, plans to utilize
the current personal net worth standards of the DBE program (26.67),presently at $1.32 million.
3
E. Supportive Services
The Authority is a non-certifying member of the Florida UCP, but relies on certifications of the FDOT.
The Authority also does not provide direct supportive services and/or business development programs to
DBEs or small businesses. However, the Authority will coordinate and make referrals to other providers
of these and similar services, such as the Small Business Developments Center at Florida Gulf Coast
University. These services, as relevant, will also be referred to verified small business concerns. These
services may include:
1. The distribution and dissemination of information about the new Small Business Participation program, as
well as bid information to certified DBEs and by extension, to potential small business concerns.
2. Publicizing information on the Authority's Web site for the small business community with regard to
current, on-going and future opportunities at the Airport.
F. Implementation Plan and Time-Table—Collier County Airport Authority Small Business
Participation Plan (SBPP)
The Authority proposes to have its SBPP fully implemented within 120 days of the FAA final approval of
the plan. The Authority will utilize the timeframe to properly set up the program in order to maximize the
potential for ultimate success. These set-up activities will include:
1. Review upcoming projects to determine if any will be conducive for application of either of the two
selected SBPP strategies described in Section B, above.
2. Review necessary revisions and modifications to bid solicitation language etc.,prior to implementation.
3. Coordinate with the Florida UCP to initiate discussions as to whether any changes/modifications are
implicated in the UCP stakeholder agreement, due to verification of small business concerns.
4. Coordinate with other entities currently providing relevant supportive services and/or business
development for referrals to their programs, appropriate for the small business concerns that may contact
the Airport to increase their competitive opportunities at the Airport.
5. The Airport, during the pre-implementation period, may also seek consultation with the representative
small business community.
G. Principal Responsible Person
The principal responsible person for overseeing and implementing the Authority's SBPP will be the
currently designated Disadvantaged Business Enterprise Liaison Officer(DBELO).
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