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Agenda 02/23/2016 Item #16G 1 2/23/2016 16.G.1 . EXECUTIVE SUMMARY Recommendation that the Board of County Commissioners, in its capacity as the Collier County Airport Authority, approve the attached Disadvantaged Business Enterprise Program and Goals for the Collier County Airport Authority for Fiscal Year 2016 through Fiscal Year 2018. OBJECTIVE: To ensure that Disadvantaged Business Enterprises (DBE) have an equal opportunity to receive and participate in federally assisted contracts. CONSIDERATIONS: The Airport Authority anticipates receiving federal funding for projects at the Marco Island Executive Airport and the Immokalee Regional Airport during fiscal years 2016 through 2018. As a recipient of federal financial assistance from the United States Department of Transportation (USDOT), the Airport Authority is required to establish a DBE program and submit DBE goals for Federal Aviation Administration(FAA) funded projects to the FAA, in accordance with USDOT 49 CFR Part 26. To ensure compliance with current federal regulations,the FY2016—FY2018 DBE program and goals for the Airport Authority were established by Ken Weeden & Associates, Inc., a full service DBE program consultant. The Airport Authority proposes the following goals for construction and engineering for FAA funded Airport Improvement Projects for FY2016—FY2018 as follows: • Marco Island Executive Airport has a goal of 5.6%. • Immokalee Regional Airport has a goal of 5.9%. As required, the proposed goals were posted on the Airport Authority website on January 6, 2016. The methodologies used in developing these goals were made available for review and comment through February 8,2016. No comments were received. The Airport Authority also sent correspondence to representatives of minority, women's and general contractor groups, and community organizations to solicit input and feedback on the proposed DBE goals and methodologies,requesting feedback by January 22, 2016.Again,no comments were received. FISCAL IMPACT: There is no fiscal impact associated with this Executive Summary. LEGAL CONSIDERATIONS: This item is approved for form and legality and requires a majority vote for Board approval. —JAB GROWTH MANAGEMENT IMPACT: There is no growth management associated with this Executive Summary. RECOMMENDATION: To approve and authorize the Chairman to execute the attached Collier County Airport Authority DBE program, and approve the FY2016 —FY2018 DBE goals of 5.6% for the Marco Island Executive Airport and 5.9% for the Immokalee Regional Airport,pending FAA approval. PREPARED BY: Justin Lobb,Airports Manager,Collier County Airport Authority Attachment: 1) Collier County Airport Authority FY 2016-2018 DBE program and goals http://apps3.colliergov.net/agenda/ftp/2016BCCMeetings/AgendaFeb2316/GrowthMgrnt/CC AA FYI6-1.8 DBE program &jzoals.pdf Packet Page -975- 2/23/2016 16.G.1 . COLLIER COUNTY Board of County Commissioners Item Number: 16.16.G.16.G.1. Item Summary: Recommendation that the Board of County Commissioners, in its capacity as the Collier County Airport Authority, approve the attached Disadvantaged Business Enterprise Program and Goals for the Collier County Airport Authority for Fiscal Year 2016 through Fiscal Year 2018. Meeting Date: 2/23/2016 Prepared By Name: BrueggemanDebra Title: Operations Coordinator,Airport Authority 1/25/2016 3:45:05 PM Submitted by Title: Manager-Airport,Airport Authority Name: LobbJustin 1/25/2016 3:45:07 PM Approved By Name: LobbJustin Title: Manager-Airport,Airport Authority Date: 1/26/2016 4:26:43 PM Name: KearnsAllison Title: Manager-Financial&Operational Sprt, Capital Construction&Maintenance Budget/Fiscal Date: 1/27/2016 11:37:54 AM Name: ShueGene Title: Division Director-Operations Support, Growth Management Department Date: 1/28/2016 2:41:56 PM Name: MarcellaJeanne Title: Executive Secretary,Transportation Administration Date: 1/28/2016 4:30:34 PM Packet Page-976- 2/23/2016 16.G.1. Name:BelpedioJennifer Title:Assistant County Attorney, CAO General Services Date: 2/1/2016 1:43:11 PM Name: StanleyTherese Title: Manager-Grants Compliance,Grants Management Office Date: 2/12/2016 4:20:33 PM Name: IsacksonMark Title: Division Director-Corp Fin&Mgmt Svc, Office of Management&Budget Date: 2/13/2016 1:22:04 PM Name: TeachScott Title:Deputy County Attorney, County Attorney Date: 2/16/2016 1:54:54 PM Name: CasalanguidaNick Title:Deputy County Manager,County Managers Office Date: 2/16/2016 2:07:18 PM Packet Page -977- I Collier County Airport Authority Marco Island Executive Airport (MKV) Immokalee Regional Airport (IMM) z401 4.1RP44,, Cr 14A u --0,, c l ( MIMS Ca "IC Disadvantaged Business Enterprise Program January 2016 ADOPTED BY: COLLIER COUNTY AIRPORT AUTHORITY, ATTEST COLLIER COUNTY, FLORIDA DWIGHT E. BROCK,CLERK By: Chairman Donna Fiala, District 1 Commissioner Approved as to form and legality: k42 Jennifer A. Belpedio Assistant County Attorney 0 --- TABLE of CONTENTS POLICv 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 OBE 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 2 1 Ilia _. UNITED STATES DEPARTMENT OF TRANSPORTATION DBE PROGRAM-49 CFR PART 26 Collier County Airport Authority for Collier County General Aviation Airports Naples FL POLICY STATEMENT Section 26.1L26'23 Objectives/Policy Statement | / The Collier County Airport Authority .. .! <hereafter 'theAuthuhty') has established a Disadvantaged Business Enterprbe(UGE)programinaccordancewbh regulations mftheU.S.UwpertmentofTransportation (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 playi field on which DBEs can compete fairly for USD01-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 MOT assisted contracts; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. Justin Lwbb,Airport Manager,Collier County Airport Authority,2U05 Mainsail Drive,Suite 1,Naples,FL 34114,239-642'7878 has been designated an the DBE Liaison Officer(DBEL0). In that capacity,the Airport Manager is responsible for implementing all aspects of the OBE 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-bld conferences, and/or outreach � | meetings conducted by the Authority. ) a Copies of the Policy statement will be mailed to all of the agencies/organizations consulted�m the development of the DBE goal m*modo�g» 7h�.mn`nkrme Au�o��pn�yfor me��/County 'xwianon*oponts available to additional small,minority,and women business development agencies. 3 __ __ _ SUBPART A—GENERAL REQUIREMENTS Section 26.1 Objectives The o 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 OBE 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'ass|sted 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,OBE non-OBE status. The Authority will collect this information in the following ways: 4 ~~�� 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.0 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. 5 10) __ _ _--_ SUBPART B-ADM REQUIREMENTS Section 26.21 DBE Progronm , The Authority will continue to carry out this program until all funds from USDOTOnanda| assistance have been eupanded, and will provide to USDOT updates representing si |0cant changes in the prognamn. ~ Section26.23poUicwS%a0enmemV The Policy Statement is elaborated on the first page of this program. . � Section 26.25 DBE Liaison Officer(OBELO) The Authority has designated the following individual as its DBE Liaison Officer: Justin Lmb6, Airport Manager, Collier County Airport Authority, 2005 Mainsail Drive, Suite 1, Naples, FL34114° 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 CPR 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 co tract 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 pie-bid meetings. 8. Advises the Authority on DBE matters and achievement. 9. Chairs the DOE 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 DOE training seminars. 12. Provides outreach to DBEs and community organizations to advise them of opportunities. �� ---' 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 Authority will include the following clause in each USDOT-assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for so��c��pe�umpncemf/� con��tno �t� than bh�� B0V �� 0mm �emecp�^o each po�ent�ep�meowt�ct�r receives 7h�p� from receipt — from ,/,n� agrees further to return re payments to each subcontractor within thirty(30)days afte r the subcontractors work is satisfactorily completed. Any delay or postpone e nt of payment from the above referenced frame e may occur only for good cause following written approval of the Authq�A^ This dmuseoom/�s�o6��D@Eon�n�n-��Esubcontracts.' applies SemMom26.31 Directory The Authority uses the Florida Unified Certification Program (FL UCP) DBE Directory, maintained bxtheF|mMdaDepa�n�entofTrannpw�adon (FDOT). The Directory\btathe�rn/w'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' 23g'642-7878' The Directory may be found at http //*^w'aot'*tate.fl.va/egualvp»prtuoitrocfice/. Section 26.33 Overconomwkrat|mn The Authority has not identified that overconcentration exists in the types of work that DBEs perform. Section 26.35 Business D Programs The Authority has not established a business development program. 7 E 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 USD01 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) 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, prmvisimns, andcontrantnomned|esava||mb|etqthe4uthndtyintheexentofnon-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 clqrfication,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 OBEs, 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 Q, 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. 8 � � � - - SWBpARTC—GOAUS, 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 ca|cv|aUmnis'�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, woments 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 USOOT. 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 U3OOT'ass|sted 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; 9 -�___ ' — — — — -- ---- I Establish specific steps and milestones to correct problems identified in the analysis; and 3. Maintain a copy of the pJan on file for at least three(3)years. Section 26.49 Transit Vehicle Manufacturers Goals ' m/A Section 26.51(a-c) Breakout of Est nuaKad 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). TheAuthmrity*/iUexpnesxtheircmntractQoa|sosapercmntageofthefederalshareofaUSDOT' assisted contract. . ' Section 26.53 Good Faith Efforts Procedures Demonstration of aood 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. 10 — i -__ Information tnbe submitted (26.5](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 OBE firms that will participate in the contract; | | � . 2. A description of the work that each 08E 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(0) 11 ---- .-- 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 bv Section 36.S3hR(3)Pfthe 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)' 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 mftheU.S' DepartmentofTransportation, 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 requ|rennentxapp|yto all bidders, including those who qualify as a DBE. A DBE cuntractMma| ofpercenthmybeenestabUshedfmrth|scontract. The bidder shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26, to m et the contract goal for DBE participation in the pw�nrmnam�eoYthis�ontra�� 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 OBE firm will perform; (3) The dollar amount of the participation of each OBE firm participating; 12 ___ ______ (4) Written documentation of the bidder's commitment to use a DBE subcontractor whose participation it submits to meet the contract goat (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]3 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 httu:8www.dut.state.Uu»/*nua|onoortumtvof0cey � | The certification application forms and documentation requirements are found in Attachment 6 to this program. SUBPART E—CERTF��V�� m�� } CERTIFICATION 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 13 ^+��K�& � participate as DBEs in 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 vv�hFedenm� � local andca| |a� ' Notwithstanding any contrary provisions of state or local law, the Authority v will not release personal financial information submitted in response to the personal net worth rmquiremmenttm a third party(other than USDOT)without the written consent of the submitter. Monitoring Payments to OBEs 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 ac1ual 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 Form 1&2 for Demonstration of Good Faith Efforts ) | Attachment 6 CertificatIon Application Forms Attachment 7 Procedures for Removal of DBEs Eligibility Attachment 8 Regulations:49 CFR Part 26 � Auachment9 Fostering Small Business Participation 14 �mN��) � Attachment 1 Organizational Chart Collier County Airport Authority Organizational Chart Co Met- County Airport Authority Airports Manager DBELO Attachment 2 DBE Directory https://www3.dotstateii.us/EqualOpportunitvOfficeibiznetimainmenu*oso 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 (�heAuthmrim/>, . ' ' 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 [FR 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. ( G. 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 ay the DBE that was termninated'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: . u. Review bid package documentation thoroughly,obtaining clanfication, if necessary. b. Review monthly reports regarding employment as well as DBE participation to ensure adherence to plan 05 represented in bid documents and as stipulated in this program. c. Monitor progress of payments to OBEs 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 in26.1U9. 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 Attachment 4 overall Goal Calculation FY 2016-2018 DISADVANTAGED BUSINESS ENTERPRISE PROGRAM METHODOLOGY for Immokalee Regional Airport IMMOKALEE, FLORIDA With Assistance From 91,4 & 411 Ken Weeden &Associates, Inc. December 2015 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-AlP 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 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 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 U date Airport Layout Plan(ALP) Engineering 541330 Rehabilitation of Taxiway Bravo(Design) Engineering 541330 Highway&Street 237310 Rehabilitation of Taxiway Bravo Site Pre• 238910 (Construction) Engineering 541330 Landscaping 561730 FY 2018 projects PROJECT ACTIVITY NAICS Taxiway C Extension,airport perimeter road i 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 b Relevant NAICS Codes—FY 2016 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,US.Census Bureau. 2. Florida UCP DBE Directory,December 2015. 3 Table 3b: DBES—Immokalee Regional Airport b Relevant NAICS Codes—FY 2018 541330 4 179 2.2% 100.0% 2.2% WEIGHTED STEP 1 DBE BASE FIGURE= 2.2% SOURCES: 1. 2013 County Business Patterns,U.S.Census Bureau. 2. Florida LICP 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 OBE 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%. IL 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: "(i0 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 Table 4: Collier County Airport Authority DBE Accom lishment 33127 MKY Taxiway Construction 2.8% 3.8% 1.0% 33227 IMM RW 9-27 Rehab- Design 3.0% 3.0% 0.0% 33228 MKY RW 17-35&Apron Rehab-Desi:n 3.0% 3.1% 0.1% 33295 X01 South Taxiway Construction 3.1% 4.4% 1.3% 33300 IMM RW 9-27 Rehab-Construction 4.- 4.4% 4.5% 0.1% 33300 IMM RW 9-27 Rehab-Construction ' 4.4% 3.2% -1.2% 33301 IvIKY RW17-35&Apron Rehab-Constr. 42% 5.8% 1.6% 33301 MKY RW 17-35&Apron Rehab-Constr. 4.2% 10.5% 63% MEDIAN 3.7% ; 4.1% I 0.6% 1 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 Stepl project Year adjustment Goal (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 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 f or 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(1)) 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. VL 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 he 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 4 Ken Weeden&Associates, Inc. December 2015 METHODOLOGY for Establishing the FY 2016- FY 2018 Overall Disadvantaged 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 it 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 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©/0 • 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 I NAICS New terminal,auto parking,aircraft parking area,and removal of existing terminal facility Engineering (Design) 541330 ( FY 2017 projects PROJECT I ACTIVITY NAICS Building Construction 236220 Highway&Street 2373.10 Drainage 237990 New terminal,auto parking,aircraft parking - , Electrical 238210 area,and removal of existing terminal facility (Construction) Site Prep Fencing 238990 Engineering 541330 1 Landscaping 238910 I 561730 i .... _ FY 2018 pro ects 1 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 ._ , '-.4i l'',VZ:Av..,,,44.-" ..#3.;: *,--,,, .‘',..: :ft kisi, tila5.. I 541330 4 179 2.2% 100.0% 22% 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. 3 Table 3b: DBES-Marco Island Executive Airport b Relevant NAICS Codes-FY 2017 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% L238210 4 299 1.3% 15% 0.0% 238910 5 73 6.8% 9.2% 0.6% 238990 7 214 33% 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% J• SOURCES: 1. 2013 County Business Patterns,U.S.Census Bureau 2. Florida UCP DBE Directory,December 2015. Table 3c: DBES-Marco Island Executive Airport b Relevant NAICS Codes-FY 2018 541330 4 179 2.2% 100.0% 2.2% 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 12%. 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 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 r lishment 33127 1 MKY Taxiway Construction 2.8% 3.8% 1.0% 33227 IMM RW 9-27 Rehab-Design 3.0% _3.010 O.O lc, 33228 MKY RW 17-35&.Apron Rehab- Design 3.0% 3.1% 4 0.1% 33295 X01 South Taxiway Construction 3.1% j 4.4% 1.3% 33300 1MM RW 9-27 Rehab-Construction 4.4% 4.5% 0.1% 33300 1MM RW 9-27 Rehab-Construction 4.4% 3.2% 4.2% 33301 MKY RW 17-35&Apron Rehab-Constr. 4.2% 5.8% 1.6% 33301 MKY RW 17-35&Apron Rehab-Constr. i 4.2% 10.5% 6.3% MEDIAN j 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 establish a leve 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 F1/2016- FY2018 Overall Goal Total Fiscal Step 2 Overall }�|0E�Qoal Stepl project Year adjustment Goal (dollars) ^ costs ` ^ 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% 4.1Y6 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 20I8. 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 xo/kjmtk/ns, 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 Co subcontract portions of work that they might otherwise perform with their own forces); 2 Disseminating inihnnnbvn 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 [36.51[0) 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 D08 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 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. 8 Resourcesi 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 9 Attachment 5 Form 1 & 2 for Demonstration of Good Faith Efforts Collier County Airport Authority 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 Authority 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.) Attachment 6 • • Certification Application Forms http://www,dastateRusiegualopportunitvoffice/dbecertificationtshtm Attachment 7 Procedures for Removal of a DBE's Eligibility 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. I. 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 ineli ible, 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. Hea[ . 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 C. Separation of functions. The FL UCP will ensure that the decision in a proceeding to remove a firm's eli ibi|ity 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 ||. 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. 2 2. The firm does not become ineli ible 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 ] Office of Civil Rights 400 7th Street SW, Room 2401 Washington DC 20590 ) 4 Attachment 8 Regulations : 49 CFR Part 26 www.ecfr.gov Attachment 9 Fostering Small Business Participation ( 26. 39) 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 Coal" 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 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: (4)(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 US. 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 firm 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 All 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. 1). 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). 4