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Agenda 04/23/2013 Item #16D 14/23/2013 16.D.1. EXECUTIVE SUMMARY Recommendation to approve a Resolution rescinding and replacing Resolution No. 2013 -31 adopting the Disadvantaged Business Enterprise (DBE) Program and goal setting process to ensure that DBE's have an equal opportunity to receive and participate in Federal Transit Administration assisted contracts by ensuring nondiscrimination in their award and administration. OBJECTIVE: To make certain Disadvantaged Business Enterprises (DBEs) have an equal opportunity to receive and participate in Federal Transit Administration assisted contracts and ensure nondiscrimination in the award and administration of these contracts. CONSIDERATIONS: The Collier County Board of County Commissioners (Board) receives Federal financial assistance from the Federal Transit Administration (FTA), and as a condition of receiving this assistance, the Board must comply with Title 49 of the Code of Federal Regulations (C.F.R.), part 26. The Board is required to have a DBE program in accordance with regulations of the United States Department of Transportation, as provided in Title 49 of the C.F.R. A DBE Program ensures that DBE's have an equal opportunity to receive and participate in FTA assisted contracts by ensuring nondiscrimination in their award and administration. On February 21, 2013, county staff submitted the DBE Program approved by the Board on February 12, 2013. On March 4, 2013, county staff received a letter from FTA's Civil Rights Office requesting additional revisions to the 2013 DBE program. Collier Area Transit will need to submit a corrected program that addresses the items identified by FTA. Failure to submit the revised DBE Program could result in delays in processing grants or draw -down restrictions. The requested changes will formalize the County's current procedures to ensure the DBE's and small business enterprises are provided the opportunity to receive and participate in FTA assisted contracts. FISCAL IMPACT: There is no fiscal impact with this item. LEGAL CONSIDERATIONS: This item has been reviewed and approved by the County Attorney's Office, is legally sufficient for Board action and only requires a majority vote for approval —SRT. GROWTH MANAGEMENT IMPACT: There is no growth management impact associated with this Executive Summary. RECOMMENDATION: That the Board approve the attached Resolution rescinding and replacing Resolution No. 2013 -31, adopt the attached DBE Program and Goal Setting Process, authorize its Chairwoman to execute the Resolution, authorize the Public Services Division Administrator to execute the Program, authorize the Public Transit Manager to sign any assurance, certifications or other documents that may be required in connection with the DBE Program and subsequent Programs, and authorize the Public Transit Manager to make necessary modifications to the DBE Program to ensure compliance with 49 CFR part 26. Prepared by: Trinity Scott, Public Transit Manager, Alternative Transportation Modes Department Packet Page -1098- 4/23/2013 16.D.1. COLLIER COUNTY Board of County Commissioners Item Number: 16.16.D.16.D.1. Item Summary: Recommendation to approve a Resolution rescinding and replacing Resolution No. 2013 -31 adopting the Disadvantaged Business Enterprise (DBE) Program and goal setting process to ensure that DBE's have an equal opportunity to receive and participate in Federal Transit Administration assisted contracts by ensuring nondiscrimination in their award and administration. Meeting Date: 4/23/2013 Prepared By Name: ScottTrinity Title: VALUE MISSING 3/13/2013 10:16:12 AM Submitted by Title: VALUE MISSING Name: ScottTrinity 3/13/2013 10:16:13 AM Approved By Name: MarkiewiczJoanne Title: Manager - Purchasing Acquisition ,Purchasing & Gene Date: 3/13/2013 1:33:03 PM Name: SotoCaroline Title: Management/Budget Analyst,Transportation Administr Date: 3/14/2013 3:17:53 PM Name: WardKelsey Title: Manager - Contracts Administration,Purchasing & Ge Date: 3/18/2013 11:24:05 AM Name: ArnoldMichelle Title: Director - Alt Transportation Modes,Alternative Tr Packet Page -1099- Date: 3/26/2013 2:02:50 PM Name: AlonsoHailey Title: Operations Analyst, Public Service Division Date: 4/2/2013 9:49:56 AM Name: CarnellSteve Title: Director - Purchasing /General Services,Purchasing Date: 4/2/2013 1:45:15 PM Name: TeachScott Title: Deputy County Attorney,County Attorney Date: 4/3/2013 9:45:11 AM Name: OberrathKaren Title: Senior Accountant, Grants Date: 4/11/2013 3:23:49 PM Name: KlatzkowJeff Title: County Attorney Date: 4/11/2013 4:27:17 PM Name: StanleyTherese Title: Management/Budget Analyst, Senior,Office of Manage Date: 4/12/2013 3:12:32 PM Name: FinnEd Title: Senior Budget Analyst, OMB Date: 4/14/2013 1:23:26 PM Name: OchsLeo Title: County Manager Date: 4/14/2013 9:51:22 PM Packet Page -1100- 4/23/2013 16.D.1. 4/23/2013 16.D.1. RESOLUTION No. 2013 RESOLUTION NO. 2013 - RESCINDING AND REPLACING RESOLUTION NO. 2013 -31, WHICH ADOPTED THE DISADVANTAGED BUSINESS ENTERPRISE ("DBE ") PROGRAM AND GOAL SETTING PROCESS, AND ADOPTING A REVISED DBE PROGRAM AND DBE GOAL SETTING PROCESS WHEREAS, the Board of County Commissioners (the "Board ") receives Federal financial assistance from the Federal Transit Administration (FTA), and as a condition of receiving this assistance, the Board must comply with Title 49 of the Code of Federal Regulations (CFR), part 26; and WHEREAS, on February 12, 2013, the Board approved Resolution No. 2013 -31, which adopted a Disadvantaged Business Enterprise ( "DBE ") program and DBE Goal Setting Process in accordance with the regulations of the United States Department of Transportation contained in 49 CFR, part 26; and WHEREAS, on February 28, 2011, 49 CFR part 26, was revised to require all DBE programs to include an element to structure contracting requirements to facilitate competition by small businesses; and WHEREAS, on March 4, 2013, county staff' received a letter from FTA's Civil Rights Office requesting additional revisions to the 2013 DBE Program; and WHEREAS, the Board wishes to rescind Resolution No. 2013 -31 and replace it with this duly adopted Resolution. NOW, THEREFORE BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF COLLIER COUNTY THAT: That it is the policy of the Board of County Commissioners to ensure that Disadvantaged Business Enterprises, as defined in Title 49 of the Code of Federal Regulations, part 26, have an equal opportunity to receive and participate in contracts partially or fully funded by the Federal Transit Administration. 2. That the policies and procedures set forth in the DBE Program and the DBE Goal Setting Process is approved. That the Collier County Public Services Division Administrator is authorized to execute the Objectives/Policy Statement of the Collier County DBE Program. 4. That the Public Transit Manager is authorized to sign any and all assurances, certifications and other documents which may be required in connection with the Program or subsequent Programs. Packet Page -1101- 0 4/23/2013 16. D.1. 5. That the Public Transit Manager is authorized to make necessary modifications to the DBE Program to ensure compliance with 49 CFR part 26. 6. Resolution No. 2013 -31 is hereby rescinded and replaced with this Resolution. This Resolution adopted this day of and majority vote in favor of passage. ATTEST DWIGHT E. BROCK, CLERK WE Deputy Clerk Approved as to form and legal sufficiency: By: { >, Scott R. Teach Deputy County Attorney 2013 after motion, second BOARD OF COUNTY COMMISSIONERS COLLIER COUNTY, FLORIDA I vr'vi gia r1. MIME, -sq. k- nmrwoman 01 Packet Page -1102- CA 4/23/2013 16.D.1. COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS Collier Area Transit Disadvantaged Business Enterprise Program 4/23/2013 Packet Page -1103- 4/23/2013 16.D.1. Table of Contents Collier County Board of County Commissioners Disadvantaged Business Enterprise Policy Statement...................... ............................... 4 1. GENERAL REQUIREMENTS ... ............................... 5 Section 1.1 Objectives [26.1] ........ ............................... 5 Section 1.2 Applicability [26.3] ...... ............................... 5 Section 1.3 Definitions [26.5] ....... ............................... 5 Section 1.4 Non - discrimination Requirements [26.1 & 26.7] .................. 5 Section 1.5 Record Keeping Requirements [26.11] ........................ 6 Section 1.6 Bidders List [26.11] ..... ............................... 6 Section 1.7 Federal Financial Assistance Agreement [26.13] .................. 6 2. ADMINISTRATIVE REQUIREMENTS ........................... 7 Section 2.1 DBE Program Updates [26.21 ] ............................. 7 Section 2.2 Policy Statement [26.23] ... ............................... 7 Section 2.3 DBE Liaison Officer (DBELO) [26.25] ........................ 7 Section 2.4 DBE Financial Institutions [26.27] .......................... 8 Section 2.5 Prompt Payment Mechanisms [26.29] ......................... 9 Section 2.6 Directory [26.31] ....... ............................... 9 Section 2.7 Overconcentration [26.33] ............................... 10 Section 2.8 Business Development Programs [26.35] ...................... 10 Section 2.9 Monitoring and Enforcement Mechanisms [26.37] ................ 10 Section 2.10 Fostering Small Business Participation [26.39] ................. 12 3.0 GOALS, GOOD FAITH EFFORTS, AND COUNTING ................ 12 Section 3.1 Set - asides or Quotas [26.43] .............................. 12 Section 3.2 Overall Goals [26.45] .... ............................... 12 Section 3.3 Failure to meet Overall Goals [26.47] ........................ 13 Section 3.4 Transit Vehicle Manufacturers Goals [26.49] ................... 13 Section 3.5 Breakout of Estimated Race - Neutral & Race - Conscious Participation [26.51 (a -c)] 14 Section 3.6 Contract Goals [26.51 (d -g)] .............................. 14 Page 2 of 50 Packet Page -1104- 4/23/2013 16.D.1. Section 3.7 Good Faith Efforts Procedures [26.53] ....................... 15 3.7.1 Administrative reconsideration [26.53(d)] ........................ 16 3.7.2 Good Faith Efforts when a DBE is terminated or substituted on a contract [ 26. 53( f)] ..................... ............................... 16 Section 3.8 Counting DBE Participation [26.55] ......................... 17 4.0 CERTIFICATION STANDARDS [26.61 — 26.73] .................... 17 5.0 CERTIFICATION PROCEDURES [26.81] ......................... 18 6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 —26.91] ............ 18 Section 7.1 Availability of records ... ............................... 18 Section 7.2 Confidentiality ........ ............................... 18 Section 7.3 Cooperation .......... ............................... 19 Section 7.4 Intimidation and retaliation ............................... 19 ATTACHMENTS ............... ............................... 20 Organizational Chart ............. ............................... 21 Overall DBE Goal Calculation ....... ............................... 25 Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts (Forms 1 & 2) ........................ ............................... 37 DBE Monitoring and Enforcement Mechanisms .......................... 45 49 CFR Part 26 ................. ............................... 47 State of Florida UCP Agreement ..... ............................... 48 Page 3 of 50 Packet Page -1105- 4/23/2013 16.D.1. Collier County Board of County Commissioners Disadvantaged Business Enterprise Policy Statement The Collier County Board of County Commissioners (BCC) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The BCC has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the BCC has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the BCC to ensure that DBEs are defined in part 26, have an equal opportunity to receive and participate in DOT — assisted contracts. It is also our policy: 1. To ensure nondiscrimination in the award and administration of DOT — assisted contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT - 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 DOT assisted contracts; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. Trinity Scott, Public Transit Manager has been delegated as the DBE Liaison Officer. In that capacity, Ms. Scott 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 BCC in its financial assistance agreements with the Department of Transportation. By placing this item on a regularly scheduled BCC agenda, Ms. Scott has disseminated this policy statement to the BCC and all of the components of our organization. We have distributed this statement to DBE and non -DBE business communities that perform work for us on DOT - assisted contracts as an attachment to each contract. The signed program statement will be posted on the Collier County website www.colliergov.net Steve Carrell Chief Executive Officer Page 4 of 50 Packet Page -1106- Date 4/23/2013 16.D.1. 1. GENERAL REQUIREMENTS Section 1.1 Objectives [26.1] It is the policy of the Collier County Board of County Commissioners (BCC) to ensure that Disadvantaged Business Enterprises (DBE)s are defined in part 26, have an equal opportunity to receive and participate in Department of Transportation (DOT)— assisted contracts. It is also our policy: 1. To ensure nondiscrimination in the award and administration of DOT — assisted contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT - 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 DOT assisted contracts; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. Section 1.2 Applicability [26.3] The BCC is the recipient of federal transit funds authorized by Titles I, III, V, and VI of ISTEA, Pub. L. 102 -240 or -by Federal transit laws in Title 49, U.S. Code, or Titles I, II, and V of the Teas -21, Pub. L. 105 -178 and as a condition of receiving this financial assistance, the BCC has signed an assurance that it will comply with 49 Code of Federal Regulations (CFR) Part 26. In accordance with these regulations, the BCC has established a DBE Program. Section 1.3 Definitions [26.5] The BCC will adopt the definitions contained in Section 26.5 of 49 CFR Part 26 for this program. Section 1.4 Non - discrimination Requirements [26.1 & 26.7] The BCC 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 BCC 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. Page 5 of 50 Packet Page -1107- 4/23/2013 16.D.1. Section 1.5 Record Keeping Requirements [26.11] The BCC will report DBE participation on a quarterly basis, using DOT Form 4630. These reports will reflect payments actually made to DBEs on DOT - assisted contracts. Section 1.6 Bidders List [26.11] The BCC approved an agreement with DOT and the Florida Department of Transportation (FDOT) that establishes the BCC as a non - certifying member of the national Unified DBE Certification Program (UCP) in September 2005. The BCC maintains a bidders list, consisting of information about all DBE and non -DBE firms that bid or quote on DOT - assisted contracts. The purpose of this requirement is to allow use of the bidder's list approach to calculating overall goals. The bidder's list will include the name, address, and other relevant contact information about the firm. However, it does not collect annual gross receipts information of firms. Such information is collected by certifying members of the National Unified Certification Program (UCP). Attachment 7 includes a copy of the UCP Agreement executed by the Collier County Board of County Commissioners. FDOT's website provides a list of UCP agencies that provide certification services and non- certification services in the State of Florida. http: / /www.dot. state. fl. us/ equalopportunityoffice /DBECertification /UCP %20CERTIFYING %20 ADDRESSES.pdf The BCC will create a listing of offerors by requiring offerors to report the required information, for their firm, and all firms who quote to them on subcontracts, by issuing a requirement that will be placed in all federally funded solicitations. Section 1.7 Federal Financial Assistance Agreement [26.13] The BCC has signed the following assurances, applicable to all DOT- assisted contracts and their administration: 1.7.1 Assurance The BCC shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT assisted contract or in the administration of its DBE Program or the requirements of 49 CFR part 26. The recipient shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of DOT assisted contracts. The recipient's DBE Program, as required by 49 CFR part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the BCC of its failure to carry out its approved program, the Department may impose sanction as provided for under part 26 and may, in appropriate cases, refer the Page 6 of 50 Packet Page -1108- 4/23/2013 16.D.1. 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. 1.7.2 Contract Assurance In each DOT - assisted contract, the following language will be utilized: The contractor, sub - recipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate. 2. ADMINISTRATIVE REQUIREMENTS Section 2.1 DBE Program Updates [26.21] Since the BCC has received a grant $250,000 or more in FTA planning capital, and or operating assistance in a federal fiscal year, this program will be carried out until all funds from DOT financial assistance have been expended. Updates representing significant changes in the program will be provided to Federal Transit Administration (FTA). Section 2.2 Policy Statement [26.23] The BCC will issue a signed and dated policy statement that expresses its commitment to the DBE program, states its objectives, and outlines responsibilities for its implantation. The statement will be circulated throughout the organization and to the DBE and non -DBE business communities that work on BCC DOT - assisted contracts. The policy statement is found on page 4 of this program document. Section 2.3 DBE Liaison Officer (DBELO) [26.25] We have designated the following individual as our DBE Liaison Officer: Trinity Scott, Public Transit Manager Collier County Alternative Transportation Modes 3299 East Tamiami Trail, Suite 103 Naples, Florida 34112 (239) 252 -5832 TrinityScott(a,collier ov�.net Page 7 of 50 Packet Page -1109- 4/23/2013 16.D.1. In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the BCC complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the Collie County Board of County Commission Chair concerning DBE program matters. An organization chart displaying the DBELO's position in the organization is found in Attachment 1 to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of two to assist in the administration of the program. The duties and responsibilities include the following: 1. Gathers and reports statistical data and other information as required by DOT. 2. Reviews third party contracts and purchase requisitions for compliance with this program. 3. Works with all departments to set overall annual goals. 4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race - neutral methods and contract specific goals attainment and identifies ways to improve progress. 6. Analyzes BCC's progress toward attainment and identifies ways to improve progress. 7. Participates in pre -bid meetings. S. Advises the CEO \governing body on DBE matters and achievement. 9. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 10. Plans and participates in DBE training seminars. 11. Acts as liaison to the Uniform Certification Process in Florida. 12. Provides outreach to DBEs and community organizations to advise them of opportunities. 13. Maintains the BCC's updated directory on certified DBEs. Section 2.4 DBE Financial Institutions [26.27] It is the policy of the BCC to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions, and to encourage prime contractors on DOT - assisted contract to make use of these institutions. Notification of solicitations for financial services will be sent to the institutions identified in the United States Department of Treasury, Financial Management Services Division, Minority Bank Deposit Program (MBDP) listings of financial institutions in the State of Florida. The availability of such institutions can be obtained at the U.S. Department of Treasure website h": / /www.fms.treas.gov /mbdp /current list.html. The BCC has reviewed FDOT's website DBE Directory and has determined there are no financial institutions owned and controlled by socially and economically disadvantaged individuals. This element will be re- evaluated at least every three years to coincide with the triennial goal setting process or when the Program is updated, whichever is earlier. Page 8 of 50 Packet Page -1110- 4/23/2013 16.D.1. Section 2.5 Prompt Payment Mechanisms [26.29] Prompt Payment: 26.29 (a) The BCC will include the following clause in each DOT - assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contract receives from the BCC. If retainage from DBE subcontractors is allowed per the contract, the prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractors work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the BCC. This clause applies to both DBE and non- DBE subcontracts. Retainage: 26.29 (b) The prime contractor agrees to return retainage payments to each subcontractor within 30 days after the subcontractors work is satisfactorily completed. Any delay or postponement of payment from the above referenced times frame bay occur only for good cause following written approval of the BCC. This, clause applies to both DBE and non -DBE subcontracts. Monitoring and Enforcement: 26.29(d) The BCC shall require in all DOT funded contracts language that allows it to monitor and enforce that prompt payment and return of retainage is in fact occurring on any contract which involves sub - contracting. The BCC will continue to require all prime contractors to report the DBE payments made to DBE subcontractors on all pay requests to monitor and enforce that prompt payment and return of retainage is in fact occurring. Failure of the Contractor to provide the DBE Participation Report may result in the invoice not being paid until the Contractor has provided the report. Further monitoring and enforcement is detailed in Section 2.9 and Attachment 5 of this document. Section 2.6 Directory [26.31] The BCC is required to participate in the Uniform Certification Program (UCP). The combined statewide directory, identifying all firms eligible to participate as a certified DBE, may be located at the Florida Department of Transportation website http: / /www. dot. state.fl.us /equalopportunitvoffice /. The BCC utilizes the FDOT website DBE Directory. The directory lists the firm's name, contact person, address, phone number, and the type of work the firm has been certified to perform as a DBE. The DBE Directory is updated in "real time" and is the single source for establishing program eligibility. Page 9 of 50 Packet Page -1111- 4/23/2013 16.D.1. Section 2.7 Overconcentration [26.33] The BCC has not identified that overconcentration exists in the types of work that DBEs perform. This was determined based upon a review of feedback provided by DBE's and non - DBE's during attendance at trade fairs and vendor meetings. This element will be re- evaluated at least every three years to coincide with the triennial goal setting process or when the Program is updated, whichever is earlier. If the BCC determines that there is an overconcentration in a certain type of work that unduly burdens the opportunity of non -DBE firms to participate in this type of work, appropriate measures will be developed and approved by the Federal Transit Administration to address this overconcentration. Section 2.8 Business Development Programs [26.35] The BCC has not established a formal business development program. We will re- evaluate the need for such a program every three years to coincide with the triennial goal setting process or when the Program is updated, whichever is earlier. While the BCC does not have a formal business development program, it does participate in the following activities designed to ensure that DBEs and Small Business Enterprises (SBEs) have the equal opportunity to participate in contracts: • Participate in training seminars and community outreach activities for the purpose of informing potential contractors of available business opportunities. • Email procurement advertisements to business that have been identified as certified DBEs and SBEs, which are likely to participate on the contract. • Attend trade fairs which include representatives which include representatives from these enterprises. • Encourage DBE and SBE attendance at solicitation conferences. Section 2.9 Monitoring and Enforcement Mechanisms [26.37] The BCC will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26. 1. We will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. 2. We will consider similar action under our own legal authorities, including responsibility determinations in future contracts, removal of firms from the prequalified bidders and consultants' lists or revocation of DBE certification if applicable, pursuant to Section 337.105; 337.16; and 339.0805, Florida Statutes. The regulation, provisions, and contract remedies available to in the events of non - compliance with the DBE regulation by a prime contractor include: actions for breach of contract; prosecution for any criminal activity or violation of County Code or Ordinance; enforcement of claims against any retainage, bond, Page 10 of 50 Packet Page -1112- 4123/2013 16. D .1. surety or insurance provided by contractor or any subcontractor, legal action on any County cause of action created under the applicable provisions of state or federal law; revocation, cancellation or termination of the contract between the BCC and the prime contractor for the project; any other action permitted at law or in equity; or, any self -help measures that the BCC may lawfully undertake to rectify the default. 3. We will also provide a monitoring and enforcement mechanism to verify that work committed to DBEs at contract award is actually performed by the DBEs. This will be accomplished by: a. Requiring the Contractor, prior to undertaking work on the project, provide the BCC with an accurate list of all DBEs who are or who are anticipated to be subcontractors working on the project, which list shall include an accurate detailed description of all work to be done by each DBE. This list shall be updated any time there is a change in the DBEs working on the project or a change in the allocation of work between or among DBEs. b. BCC review of the DBE list provided by the prime contractor and confirm its accuracy. The BCC may request, and prime contractor shall provide, copies of any subcontracts or other contractual documentation between prime contractor and any subcontractors to confirm the scope of work for each. c. Requiring the prime contractor to notify the BCC of the dates /times when the DBEs are anticipated to be performing each contractual task related to the project, so that the BCC can verify DBE participation in the project, and can verify that the DBEs identified in the Contractor provided list are participating in the project. d. Requiring the prime contractor to identify each DBE receiving payment on all payment notifications required to be provided to the BCC. Any DBE receiving payment shall indicate its status as a DBE on its payment notifications. The prime contractor must provide a DBE Participation Report to the BCC with each invoice submitted to the BCC for payment. Failure of the Contractor to provide the DBE Participation Report may result in the invoice not being paid until the Contractor has provided the report. 4. We will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. 5. The BCC will require prime contractors to maintain records and documents of payments to DBEs for three years following the performance of the contract. The records will be made available for inspection upon request by any authorized representative of the BCC or DOT. This reporting requirement also extends to any certified DBE subcontractor. We will perform interim reviews of contract payments to DBEs. The review will examine 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. Page 11 of 50 Packet Page -1113- 4/23/2013 16.D.1. Section 2.10 Fostering Small Business Participation [26.39] For the purpose of this section, a small business is defined as a firm that meets the definition as contained in 49 CFR Section 26.5 and Section 3 of the Small Business Act, 15 U.S.C. 631 et seq, which do not exceed the cap on average gross receipts specified in 49 CFR 26.65(b). The BCC has incorporated the following non - discriminatory elements into its DBE Program, in order to facilitate competition on DOT - assisted public works projects by small business concerns (both DBEs and non -DBE small businesses): • Removal of unnecessary and unjustified bundling of contract requirements that may preclude SBE participation in procurements as prime contractors or subcontractors; and • Letting prime contracts of a size that small business can reasonably compete for and perform. • Attendance at trade fairs which include representatives from small businesses. • Attending meetings and social events where in small business are represented. 3.0 GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 3.1 Set - asides or Quotas [26.43] The BCC does not use quotas in any way in the administration of this DBE program. Section 3.2 Overall Goals [26.45] A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachment 3 to this program. The goal will be updated every three years based on the January 28, 2011, Federal Register. In accordance with Section 26.45(f) the BCC will submit its overall goal to FTA on August 1, 2013 and every three years thereafter. The BCC may adjust the three year overall goal during the three year period to which it applies, in order to reflect changed circumstances. The BCC will submit an adjustment to FTA for review and concurrence. The BCC will also request use of project specific DBE goals as appropriate, and/or will establish project specific DBE goals as directed by FTA. The process generally used by the BCC to establish overall DBE goals is to first develop a base figure for the relative availability of DBE's. The relative availability of DBEs is the total number of ready, willing and able DBE firms divided by the total number of all firms for the types of contracts anticipated. Once the base figure has been calculated, we must examine all of the evidence available to our area to determine what adjustment, if any, is needed to the base figure to arrive at the overall goal. Types of evidence to consider include current capacity of DBE's to perform the work, disparity studies, input from interested parties. Before establishing the overall goal, the BCC will, at a minimum, consult with minority and general contractor's groups, community organizations, and other officials or organizations to Page 12 of 50 Packet Page -1114- 4/23/2013 16.D.1. obtain information concerning the availability of disadvantaged and non - disadvantaged business, the effects of discrimination on opportunities for DBES, and the BCC's efforts to establish a level playing field for the participation of DBE's. Following this consultation, the BCC will publish a notice of the proposed overall goals, informing the public that the proposed goal and its rational are available for inspection during normal business hours at our principal office for 30 days following the date of the notice, and informing the public that the BCC and DOT will accept comments on the goals for 45 days from the date of the notice. The publishing of the notice of the proposed overall goal will be in a newspaper, or other media, of general circulation focused on minority readers. The notice will also be included on the BCC's Internet website. Normally this notice will be issued by June 1. The notice must include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. The overall goal submission to DOT will include: the goal (including the breakout of estimated race - neutral and race - conscious participation, as appropriate); a copy of the methodology, worksheets, etc., used to develop the goal; a summary of information and comments received during this public participation process and the BCC's responses; and proof of publication of the goal in media outlets listed above. The BCC will begin using our overall goal on October 1, unless the BCC has received other instructions from DOT. If the BCC establishes a goal on a project basis, the BCC will begin using our goal by the time of the first solicitation for a DOT - assisted contract for the project. Section 3.3 Failure to meet Overall Goals [26.47] If the BCC does not have an approved DBE Program or overall goal, or if the BCC fails to implement the program in good faith, the BCC is in noncompliance with its program and corrective action(s) must be documented. The analysis does not have to be transmitted to DOT. If the BCC fails to meet its overall goals in a given year, a determination of the reason(s) or unless the BCC is notified by DOT of the required analysis, the analysis and corrective action(s) will be retained for three years and it will be made available to the FTA upon request for their review. Section 3.4 Transit Vehicle Manufacturers Goals [26.49] The BCC will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA - assisted transit vehicle procurements, to certify that it has complied with the requirements of this section. Alternatively, the BCC may, at its discretion and with FTA approval, establish project- specific goals for DBE participation in the procurement of transit vehicles in lieu of the TVM complying with this element of the program. Page 13 of 50 Packet Page -1115- 4/23/2013 16.D.1. Section 3.5 Breakout of Estimated Race - Neutral & Race - Conscious Participation [26.51 (a -c)] The breakout of estimated race - neutral and race - conscious participation can be found in Attachment 3 to this program. The BCC will meet the maximum feasible portion of its overall goal using race - neutral means of facilitating DBE participation. In order to do so, the BCC will carry out information and communication programs on contracting procedures and specific contract opportunities. This will include the utilization of directories and other reference sources that list DBEs ensuring the dissemination to bidders on prime contracts of lists of potential DBE subcontractors. Section 3.6 Contract Goals [26.51 (d -g)] The BCC will use contract goals to meet any portion of the overall goal the BCC 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 BCC will establish contract goals only on those DOT - assisted contracts that have subcontracting possibilities. The BCC 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 BCC will express a contract goal as a percentage of total amounts of DOT - assisted contract. The BCC will arrange solicitations, times for the presentation of bids, quantities, specifications and delivery schedules in ways that facilitate participation by DBEs and other small business and by making contracts more accessible to small businesses, by means such as those provided in section 2.10 of this document. Below is a 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 BCC to practice nondiscrimination based on race, color, sex, or national origin in the award or performance of this contract. All firms qualifying under this solicitation are encouraged to submit bids /proposals. Award of this contract will be conditioned upon satisfying the requirements of this bid specification. These requirements apply to all bidders /offerors; including those who qualify as a DBE. A DBE contract goal of _ percent has been established for this contract. The bidder /offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (Attachment 1), to meet the contract goal for DBE participation in the performance of this contract. The bidder /offeror will be required to submit the following information: (1) the names and addresses of DBE firms that will participate in the contract; (2) a description of the work that each DBE firm will perform; (3) the dollar amount of the participation of each DBE firm participating; (4) Written documentation of the bidder /offeror's commitment to Page 14 of 50 Packet Page -1116- 4/23/2013 16.D.1. 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); and (5) if the contract goal is not met, evidence of good faith efforts. Section 3.7 Good Faith Efforts Procedures [26.53] In those instances where a contract - specific DBE goal is included in a procurement/solicitation, the BCC will not award the contract to a bidder who does not either: (1) meet the contract goal with verified, countable DBE participation; or (2) documents it has made adequate good faith efforts to meet the DBE contract goal, even though it was unable to do so. It is the obligation of the bidder to demonstrate it has made sufficient good faith efforts prior to submission of its bid. The DBELO is responsible for determining whether a bidder /offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive. The BCC evaluation of good faith efforts will be conducted in accordance with Appendix A to Part 26 — Guidance Concerning Good Faith Efforts. The processes used by the BCC to determine whether good faith efforts have been made by a bidder are as follows: If bidder /offeror does not meet the established DBE goal, and is required to submit documentation of good faith effort, then a good faith efforts submission shall be provided within three business days from the bid/proposal submittal date, which shall include documentation that the bidder /proposer made a good faith effort to meet the goal. The BCC may allow a longer period based on submittal of a request demonstrating good cause for such extension. Good faith efforts at a minimum include, the following items (where applicable): a. Attendance at the pre -bid meeting; b. Advertisement in trade association newsletters and minority- focused media within a reasonable time before bids are due for specific sub -bids that would be at least equal to the percent goal for DBE utilization specified for the project. c. Notifications in writing to minority contractor associations within a reasonable time before bids are due of a solicitation for specific sub -bids. d. Direct negotiation with DBEs for specific sub -bids. The BCC will ensure that all information is complete and accurate and adequately documents the bidder /offer's good faith efforts before the BCC commits to the performance of the contract by the bidder /offeror. Page 15 of 50 Packet Page -1117- 4/23/2013 16.D.1. Each solicitation for which a contract goal has been established will require the bidders /offerors to submit the following information: • The names and addresses of DBE firms that will participate in the contract; • A description of the work that each DBE will perform; • The dollar amount of the participation of each DBE firm participating; • Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; • Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractors commitment and • If the contract goal is not met, evidence of good faith efforts. 3.7.1 Administrative reconsideration [26.53(d)] Within 5 days of being informed by BCC that it is not responsive because it has not documented sufficient good faith efforts, a bidder /offeror may request administrative reconsideration. Bidder /offerors should make this request in writing to the following reconsideration official: Purchasing Director, Purchasing Department, 3327 East Tamiami Trail, Naples, Florida 34112. The reconsideration official will not have played any role in the original determination that the bidder /offeror did not document sufficient good faith efforts. As part of this reconsideration, the bidder /offeror will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder /offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. We will send the bidder /offeror a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to the Department of Transportation. 3.7.2 Good Faith Efforts when a DBE is terminated or substituted on a contract [26.53(f)] The BCC requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE contract goal with the BCC'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 BCC 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 BCC prior to consideration of the request to terminate. The DBE will then have five (5) days to respond and advise the BCC of why it objects to the proposed termination. Page 16 of 50 Packet Page -1118- 4/23/2013 16. D.1. In those instances where "good cause" exists to terminate a DBE's contract, the BCC 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 BCC 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 BCC will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, our contracting office will issue an order stopping all or part of payment /work until satisfactory action has been taken. If the contractor still fails to comply, the contracting officer may issue a termination for default proceeding. Section 3.8 Counting DBE Participation [26.55] The BCC will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. Only the value of the work actually performed by the DBE will count toward DBE goals. Such value will be counted as follows: • The entire amount that is performed by the DBE; • The entire amount of reasonable fees or commissions charged by a DBE firm for providing a bona fide service or for providing bonds or insurance required for the performance of the DOT - assisted contract; • The value of work subcontracted by a DBE to another DBE is counted toward DBE goals. • When a DBE performs as part of a joint venture, the portion of the total dollar value of the contract equal to the defined portion of the work of the contract that the DBE performs will be counted. • A DBE's participation will not be counted toward DBE goals of the prime contractor or the BCC's overall goal until the DBE is paid. 4.0 CERTIFICATION STANDARDS [26.61 — 26.731 The BCC is a non - certifying member of the Unified Certification Program (UCP) in the State of Florida. All firms must apply through the UCP to be certified in the State of Florida. The local certifying agency in the southwest Florida area is the Lee County Port Authority located at the Southwest Florida International Airport. The BCC will use the DBE directory administered by the Florida Department of Transportation and listed on the UCP website to verify if a firm is DBE certified by the Florida UCP. Page 17 of 50 Packet Page -1119- 4/23/2013 16.D.1. The Florida UCP certifies DBEs in accordance to the Federal Regulations. An Annual Meeting of the Florida UCP is scheduled for all members to attend and discuss any issues or needed changes to the UCP Program 5.0 CERTIFICATION PROCEDURES [26.81] The BCC is a non - certifying member of a Unified Certification Program (UCP) administered by Florida Department of Transportation Equal Opportunity Office, 605 Suwannee Street, MS 65, Tallahassee, Florida 32399 -0450. The EEO Office can be contacted by telephone: (850) 414- 4747, fax: (850) 414 -4879, and website at www.dot.state.fl.us/equalopportunilyoffice/DBEProgram. The Florida UPC will meet all of the requirements of certification procedures. 6.0 DENIAL OF DBE STATUS AND APPEALS 126.83 — 26.911 Any firm or complainant may appeal our decision in a certification matter to DOT. Such appeals may be sent to: Department of Transportation Office of Civil Rights Certification Appeals Branch 400 7t' Street, SW Room 2104 Washington, D.C. 20590 7.0 INFORMATION, CONFIDENTIALITY, COOPERATION [26.109] Section 7.1 Availability of records The BCC will safeguard from disclose to third parties information that may reasonably regarded as confidential business information, consistent federal, state, and local law. In responding to requests for information concerning any aspect of the DBE program, the BCC complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a). The BCC may make available to the public any information concerning the DBE program release of which is not prohibited by Federal law. Section 7.2 Confidentiality Notwithstanding any contrary provisions, the BCC will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than DOT) without the written consent of the firm that submitted the information. Notwithstanding the provisions of this section, the identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the investigation, proceeding or hearing, or result in a denial of appropriate administrative due process to other parties, the complainant must be advised for the purpose of waiving the privilege. Complainants are advised Page 18 of 50 Packet Page -1120- 4/23/2013 16.D.1. that, in some circumstances, failure to waive the privilege may result in the closure of the investigation or dismissal of the proceeding or hearing. Section 7.3 Cooperation The BCC will require prime contractors to maintain records and documents of payments to DBE's for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of the BCC or DOT. This reporting requirement also extends to any certified DBE subcontractor. The BCC will perform interim audits of contract payments to DBEs. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of DBE participation. All participants in the Department's DBE program (including, but not limited to, recipients, DBE firms and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet contract goals) are required to cooperate fully and promptly with DOT and recipient compliance reviews, certification reviews, investigations, and other requests for information. Failure to do so shall be a ground for appropriate action against the party involved. Section 7.4 Intimidation and retaliation The BCC will not and will not allow a contractor, or any other participant in the program, to intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or privilege secured by this part or because the individual or firm has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. Page 19 of 50 Packet Page -1121- 4/23/2013 16. D.1. ATTACHMENTS Page 20 of 50 Packet Page -1122- Reporting Relationship for DBE Matters 4/23/2013 16.D.1. Attachment 1 Organizational Chart 3eorgia Hiller, Esq. Leo Ochs County Manager Steve Carnell Trinity Scott Public Transit Manager`, "DBELO Yousi Cardeso Brandy Otero Operations Analyst Associate Project' Manager, Page 21 of 50 Packet Page -1123- 4/23/2013 16.D.1. Attachment 2 DBE Directory The BCC does not certify DBEs but rather uses the list of DBEs identified in the Florida Department of Transportation (FDOT) Uniform Certification Program (UCP) Directory. The DBE directory can be found at: hM2s : / /www3.dot.state.fl.us/EqualQp ortunilyOffice/biznet/mainmenu asp How to Use the System: • Introduction: BizNet is the web publication of the FDOT Business Directory. It displays all firms in the central BizTrak database regardless of whether they are certified or not. BizNet is open to the public and allows users to perform several critical functions: • Search the directory by multiple criteria • Source subcontractors or subconsultants for contract work • Download directory listings to excel spreadsheets • Submit a new bidder for inclusion in the Business Directory • Edit their company's existing business profile • Apply for DBE certification by completing the on -line application • Main Menu: The Main Menu is a navigational screen that directs users to the 5 different search screens, the Download Directory screen, Add New Bidder screen, and the DBE Certification Application. Other features include: • Hyperlink to secure log on page for UCP member agencies • Ability to 'quick search' the database by firm name • Button to access on -line help including Glossary, FAQ, and technical support Contacts • Button to access page for submitting comments and suggestions for site improvements • Exit the Biz Net System button to log off and exit BizNet. • Searches: BizNet searches are divided into three layers. o Search Selection Screens Page 22 of 50 Packet Page -1124- 4/23/2013 16.D.1. o Results Screens o Detail Business Profile Screens • Search Selection Screens: Search selection screens display different criteria that can be used to narrow a search of the Business Directory. Below is the list of the Search Selection Screens and the criteria each offers: • Search by Firm Name — The firm name search allows users to search for business using letters that either "begin" or are "included in" the business name. • Search by Business Description — The business description search allows users to search for businesses by inputting all or part of a work description and includes optional criteria for certification status, county (physical location and available work locations) and district (physical location and available work locations). • Search by Specialty Code — The specialty code search allows users to search for businesses by selecting an FDOT specifically industry code and includes optional criteria for certifications status, county (physical location and available work locations) and district (physical location and available work locations). • Search by NAICS (North American Industry Classification System) search allows users to search for businesses by selecting a NAICS industry code and includes optional criteria for certification status, county (physical location and available work locations) and district(physical location and available work locations). Note: If a user does not know the Specialty or NAICS Code needed, he /she can click on the Specialty or NAICS Lookup hyperlinks provided below the code listings on each Search Selection page. After choosing your search options from the selected search screen, click on view results to display the search results. If you wish to exit the screen, there are a series of navigational buttons at the bottom of the screen that allow users to quickly navigate between search screens without having to return to the main menu. • Results Screens: Search results are displayed in an alphabetized list for easy viewing. Each business that meets the search criteria is displayed. o The total number of matching businesses are listed in red at the top of the page. o If results include more than 50 firms, hyperlinks will appear at the top of the page for each group of 50. Group 1 -50 will be displayed on the first page. o To view a business profile of any business listed on the results screen, click the underlined firm name. o To send an email to a business, click on the firm's underlined email address. Page 23 of 50 Packet Page -1125- 4/23/2013 16.D.1. o At the bottom of each results screen is a series of navigational buttons that can be used to change screens rather than view a business profile. • Business Profile Screens: The business profile provides a printable report of a business's contact information, certification status, and industry codes. Page 24 of 50 Packet Page -1126- 4/23/2013 16.D.1. Attachment 3 Overall DBE Goal Calculation Page 25 of 50 Packet Page -1127- 4/23/2013 16.D.1. Amount of Goal The BCC's overall goal for the following time period 2011 -2013 is the following: 5.67% of the Federal financial assistance we will expend in DOT - assisted contracts (exclusive of FTA funds to be used for the purchase of transit vehicles. Methodology used to Calculate Overall Goal Step 1 Determine the base figure for the relative availability of DBE's. The base figure for the relative availability of DBE's was calculated as follows: Base Figure = Ready, willing, and able DBEs All firms ready, willing and able The data source used to derive the numerator and denominators were: The Unified Certification Program of the State of Florida. When we divided the numerator by the denominator we arrived at the base figure for our overall goal and that number was 5.67 %. Step 2 After calculating a base figure of the relative availability of DBE's, evidence was examined to determine what adjustment was needed to the base figure in order to arrive at the overall goal. The types of data or information that can be considered when adjusting the base figure include: BCC DBE's to perform work on FTA assisted contracts. Determining current BCC DBE's to perform work on FTA assisted contracts as measured by the volume of work DBEs have performed in recent years. The historical overall DBE goals accomplished by the BCC on FTA projects for several recent fiscal years are examined relative to the above consideration. The BCC will continually assess the availability of research documents and demographic studies that may provide additional data on the extent to which DBE firms are "ready, willing and able" to engage in contracting opportunities, and successfully performing on contracts as determined by subcontract and prime awards. Page 26 of 50 Packet Page -1128- 4/23/2013 16.D.1. Public Participation Before establishing the overall goal, the BCC will, at a minimum, consult with minority and general contractor's groups, community organizations, and other officials or organizations to obtain information concerning the availability of disadvantaged and non - disadvantaged business, the effects of discrimination on opportunities for DBES, and the BCC's efforts to establish a level playing field for the participation of DBE's. Following this consultation, the BCC will publish a notice of the proposed overall goals, informing the public that the proposed goal and its rational are available for inspection during normal business hours at our principal office for 30 days following the date of the notice, and informing the public that the BCC and DOT will accept comments on the goals for 45 days from the date of the notice. The publishing of the notice of the proposed overall goal will be in a newspaper, or other media, of general circulation focused on minority readers. The notice will also be included on the BCC's Internet website. Normally this notice will be issued by June 1. The notice must include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. Breakout of Estimated Race - Neutral & Race Conscious Participation The BCC will meet the maximum feasible portion of its overall goal using race - neutral means of facilitating DBE participation. In order to do so, the BCC will carry out information and communication programs on contracting procedures and specific contract opportunities. This will include the utilization of directories and other reference sources that list DBEs ensuring the dissemination to bidders on prime contracts of lists of potential DBE subcontractors. The BCC estimates that, in meeting the overall goal of 5.67 %. The 5.67% will be obtained from race - neutral participation and 0% through race- conscious measures. In order to ensure that the BCC's DBE program will be narrowly tailored to overcome the effects of discrimination, if the BCC uses contract goals, we will adjust the estimated break -out of race - neutral and race - conscious participation as needed to reflect the actual DBE participation (see 26.51(f)) and we will track and report race - neutral and race conscious participation separately. For reporting purposes, race- neutral DBE participation includes, but is not necessarily limited to, the following: DBE participation through a prime contract a DBE obtains through customary competitive procurement procedures; DBE participation through a subcontract on a prime contract that does not carry DBE goal; DBE participation 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. The BCC will maintain data separately on DBE achievements in those contracts with and without contract goals, respectfully. Page 27 of 50 Packet Page -1129- 0 Collier Area Transit's Disadvantaged Business Enterprises Program FY2011- 2012 -2013 DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM GOAL SETTING PROCESS FY 2011 -2012 -2013 The Collier County Board of County Commissioners (BCC) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26, The BCC has received Federal financial assistance from the Federal Transit Administration (FTA), and as a condition of receiving this assistance, the BCC agrees to comply with 49 CFR Part 26. It is the policy of the BCC to ensure that DBE's as defined in part 26, have an equal opportunity to receive and participate in FTA- assisted contracts. The BCC will not 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 BCC 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. The Goal setting process contained in this Attachment to Collier County's Disadvantaged Business Enterprise Program outlines the adopted process to determine the relative availability of DBE's to perform the types of contracts anticipated in FY 2011; 2012 and 2013. The purpose of this process is to determine the percentage of all ready, willing and able "Establishments" that are DBE'S and to establish a DBE Goal. U.S. Department of Transportation (DOT), 49 CFR Part 26 establishes a Three Step Process. Each step used by Collier County is outlined below. Page 28 of 50 Packet Page -1130- 4/23/2013 16.D.1. Step I Collier County / Collier Area Transit has executed the Florida Unified Certification Program Agreement. 49 CFR Part 26 Subpart E- Certification Procedures Section 26.81, requires that all United States Department of Transportation (USDOT) Recipients participate in a statewide Unified Certification Program. Collier County / Collier Area Transit is committed to operate in fall compliance with 49 CFR Part 26, Subpart E. Collier County / Collier Area Transit will utilize certified D.B.E. vendors through the Florida Unified Certification Program Agreement, Collier County / Collier Area Transit expects to have contracting or subcontracting possibilities in the following areas, paratransit services, motor vehicle parts, building contractors and electrical contractors. On March 19, 2010, Collier Area Transit staff utilized the Florida Department of Transportation Equal Opportunity Office Disadvantaged Business Online Directory for certified DBE vendors in Collier County and FDOT District One. Staff identified 5 ready, willing and able certified DBE's (certified by the FDOT, Equal Opportunity Office, in the Disadvantaged Business Enterprise Directory) as published as transit certified for Collier County and FDOT District One as of March 19, 2010. Staff identified 162 ready, willing and able TOTAL establishments transit certified DBE's • (certified by the FDOT, Equal Opportunity Office, in the Disadvantaged Business Enterprise Directory) that currently provide service in our service area. n LA The process used to obtain the percent of DBE's to TOTAL establishments by NAICS code and the potential contract percent is illustrated below. Regional Certified by FDOT UCP Program DBE 5 - 5.67% Weighted average Total FDOT UCP Program DBE Potential Bidders 162 The percent of DBE establishments by NAICS codes available in the Collier County and FDOT District One area is 5.84 %. Collier Area Transit has 3 paratransit subcontractors that appear to qualify for FDOT UCP Transit Certification as a DBE Vendor. Each has been provided repeated information on becoming certified, and each continues to receive such information. Page 29 of 50 Packet Page -1131- 4/23/2013 16. D.1. 4/23/2013 16.D.1. ctERAREATRANSIT Collier Area Transit Disadvantaged Business Enterprise Program Fiscal Year 20111201212013 Review April 9, 2010 Name of Grantee: Collier County / Collier Area Transit Approximate number of un- obligated funds available for contracting in Fiscal Year 2011 -2012 -2013: Based on the Program of Projects submitted the last three years and taking into consideration the future projects for the next three years as outlined In the financially feasible Transportation Development Plan (TDP) Collier Area Transit is forecasting the submission of 5307 grant applications FY 2011, 2012 and 2013 as outlined below. Page 30 of 50 Packet Page -1132- ry r, r 1 �y � y FY ItemlALI 2010/2011 201112012 201212013 1 % Enhancement $25,629 $27,879 $29,884 1% security $25,529 $27,679 $29,894 10% ADA $256,291 $276,794 $298,938 RoMM stock Replacement $1,088,000 $1,132,900 $1,132,900 Preventive Maintenance $689,883 $825,412 $1,020,275 Operations ;477,477 $477,477 $477,477 otiail 78fi1�2:: Page 30 of 50 Packet Page -1132- 4/23/2013 16.D.1. r Public notice has been published and copies of the notice, as well as a copy of the affidavit of publication are included in the grantee's submission. Yes. Please find enclosed a copy of the published Public Notice, and a copy of the affidavit of the publication. ♦ Public notice for Fiscal Year 2010/11; 2011/2012; 201212013 October 1, 2010 through September 30, 2013 and the appropriate FTA Region is included in the notice. Yes, please find closed copies of the published Public Notice for Fiscal Years 2010/11; 201112012; 201212013. ♦ DBE notice was published in general circulation media available, minority- focused media, and trade association publications. Note: Using the grantee's website does not meet the DOT DBE regulations requirement as outlined in 49 CFR Part 26.45 (g) (2). Collier Area Transit published the public notice in the Naples Daily News (general circulation media) and the Spanish news paper Nuevos Ecos. Collier County has limited availability on Creole focus media. ♦ Grantee's DBE goal submission includes information regarding the grantee's consultation with minority and women organization, general contracting groups, and other interested persons or groups and evidence that these entities were provided an opportunity in the development of the goal as outlined in 49 CFR Part 26.45 (g) (1). Page 31 of 50 Packet Page -1133- 4/23/2013 16.D.1. Collier Area Transit has paratransit subcontractors, the majority of whom could be classified as Disadvantaged Business Enterprise businesses. It is noted that none of them are certified as such through the State of Florida. Collier Area Transit consults with these minorities owned subcontractors, and provides information on our DBE program through flyer distribution at all of our community outreach programs. These efforts are utilized to contact business, and community organizations concerning the availability contracting opportunities with Collier Area Transit. Please find enclosed samples flyers that are used in this effort as well as the outreach distribution list and a copy of our Power Point presentation. ♦ The proposed DBE goal is based on contracting opportunities projected to take place in the upcoming federal fiscal years 2010/11; 2011/2012; 201212013, (October 1, 2010 to September 30, 2013). Yes. ♦ The amount of federal funds available for contracting has been provided, broken out into categories of contracting, and calculations have been verified for accuracy. Yes. ♦ The goal is based on a two step process. No. Please find enclosed Collier Area Transit's goal setting process. Collier Area Transit uses a three step process, Stop III Is RacelGender- Neutral and Race /Gender - Conscious Split methodology. Page 32 of 50 Packet Page -1134- 4/23/2013 16.D.1. In developing the Step II calculation, a disparity study was used. If so, the study was current. Step 2 of the Goal setting process is designed to adjust the Step One base figure to make It as precise as possible. All "relevant and reliable" data must be gathered and considered during this step of the process. (Relevant and reliable data include past participation, evidence from "disparity" studies, statistical disparities in the ability of DBE's to obtain financing, etc., data on self employment, education and training, and any other data that would help to better measure the percentage of work that DBE's would be likely to obtain in the absence of discrimination.) (Many different types of studies have been referred to as disparity studies. The term is broadly used In the regulation to mean any type of study designed to investigate the existence of discrimination in contracting.) Staff is not aware of any disparity studies pertaining to this area. ♦ The overall annual goal which results from the adjustment in #7 above has been divided into race neutral and race conscious split. RacelGender- Neutral and Race /Gender- Conscious Split methodology. Staff reviewed the "U.S. Department of Transportation Office of Small and Disadvantaged Business Utilization" guidelines prior to preparing the DBE Goal. The guidelines for step 3 provide assistance in determining what factors to consider in projecting the overall portion of the goal that will be met through race/gender-neutral means. With one exception, the examples are based on past participation or experience. As in step 2, this is our eighth plan. Therefore, in determining the race/gender- Page 33 of 50 Packet Page -1135- 4/23/2013 16.D.1. neutral and race /gender- conscious split, staff used the available data below. Race /Gender- 5.67% Neutral Total DBE 6% This data will be continually reviewed and updated throughout the balance of FY 2010, and reviewed for FY 2011 D.B.E. goals. ♦ Is there a justification for the race neutral / race conscious split? Collier County's 2010111; 201112012; 2012/2013 goal has been based on Race /Gender Neutral. ♦ The grantee is a current (active) member of the state UCP. Yes. Collier County's Board of County Commissioners approved participation in the State of Florida UCP. Collier Area Transit's Mission is to Identify and safely meet the transportation needs of Collier County, through a courteous, reliable, cost - effective, and environmentally sound team commitment. Page 34 of 50 Packet Page -1136- 4/23/2013 16.D.1. G1ama Carter Public Transit Manager Collier Area Transit (CAT) 2885 S. Horseshoe Drive Naples, Florida 34104 20 October 2010 RE: DBE Program Goal Approval Federal Transit Administration ID #1032 Dear Ms Carter, Based upon our review, we find that all of the required elements are present and that that your program meets the requirements of part 26. You are not required to submit regular updates to your DBE program as long as you remain in compliance; you are required to notify FTA of any significant changes to the program. In assessing the program, we examined the overall goal submitted for FY 2010. Your DBE goal information for the period of August 1, 2010 through August 1, 2013is as follows: 5W% 5.679'. i 0% FTA's review considered the overall goal as well as the description of the data and methodology used in arriving at the overall goal, including the base figure calculation and evidence supporting the calculation; adjustments, if any, made to the base figure and the evidence supporting the adjustments; a summary of the relevant evidence in your jurisdiction; the projection of the proportion of your overall goal that you will meet through race neutral as opposed to race conscious means and the basis of your projections; and the evidence of public participation in setting your overall goal. Page 35 of 50 Packet Page -1137- U.S. Department REGION N 61 Forsyth Stmet &W. Alabama, Florida, Georgia, Suite trrso of Transportation Kentucky, Mies"ppi, Atlanta, GA 30303.8617 Federal Transit North Garoina, Puerto 404- BU-35M Administration R m, South Caroime, 404.562.3505 (fax) Tennessee G1ama Carter Public Transit Manager Collier Area Transit (CAT) 2885 S. Horseshoe Drive Naples, Florida 34104 20 October 2010 RE: DBE Program Goal Approval Federal Transit Administration ID #1032 Dear Ms Carter, Based upon our review, we find that all of the required elements are present and that that your program meets the requirements of part 26. You are not required to submit regular updates to your DBE program as long as you remain in compliance; you are required to notify FTA of any significant changes to the program. In assessing the program, we examined the overall goal submitted for FY 2010. Your DBE goal information for the period of August 1, 2010 through August 1, 2013is as follows: 5W% 5.679'. i 0% FTA's review considered the overall goal as well as the description of the data and methodology used in arriving at the overall goal, including the base figure calculation and evidence supporting the calculation; adjustments, if any, made to the base figure and the evidence supporting the adjustments; a summary of the relevant evidence in your jurisdiction; the projection of the proportion of your overall goal that you will meet through race neutral as opposed to race conscious means and the basis of your projections; and the evidence of public participation in setting your overall goal. Page 35 of 50 Packet Page -1137- After reviewing this information, we have determined that the goal setting methodology you used is consistent with the requirements of 49 CFR §26.45 and that you have followed the requirements for public participation in setting your overall goal consistent with 49 CFR §26.45(g). Further, we have also reviewed your projection of the portion of your overall goal that you expect to meet through race neutral and race conscious means. That projection is subject to modification during the fiscal year as provided in 49 CFR §26.51. Since an annual review of your goal is required, if you haven't already done so, please submit an updated goal as soon as possible. As you are aware, you must submit a separate overall DBE goal for programs funded by the Federal Highway Administration and the Federal Aviation Administration. If you have any questions or need assistance, please contact me at 444 -865 -5628 or contact me via e-mail Franl:.Billue0doteov. cerely , i's B Regional Civil Rights Officer Page 36 of 50 Packet Page - 1138 4/23/2013 16.D.1. 4/23/2013 16.D.1. Attachment 4 Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts (Forms I & 2) Page 37 of 50 Packet Page -1139- DISADVANTAGED BUSINESS ENTERPRISE FTA FUNDED PROJECTS / EXPENDITURES • All DBE requirements will be provided to the vendor through the following means: • Formal IFB • Review federal DBE clause language is included in IFB package • Bidders List submittal required to bid • DBE Participation Statement required to bid • Check DBE validity (after bidder selected) at httPs://www3.dot.state.fl.us/EqualOpportunitvOffice/biznet/mai nmenu.asP. • Print out BizNet Profile for record. • Review federal DBE clause language is included in contract • • Formal RFP • Review federal DBE clause language is included in RFP package • Review federal DBE clause language is included in contract • Prior to work order/ Purchase order issued: • Bidders List submittal required • DBE Participation Statement required • Check DBE validity at httos: / /www3. dot. state. fl. us /EqualOpportunitvOffice /biznet /mai nmenu.asP. • Print out BizNet Profile for record. • Purchase Order (when no formal IFB or RFP is.required) • Prior to purchase order issued, forms to be attached to REQ: • Bidders List submittal required • DBE Participation Statement required from vendor • Check DBE validity at https://www3.dot.state.fl.us/EqualOpportunityOffice/biznet/mai nmenu.asP. • Print out BizNet Profile for record. • Attach DBE clause language to purchase order Vendor DBE Payment Reporting • Subcontractor Payment Report required monthly from Prime if participation • Reporting Requirement is in clause language but form and reporting is reiterated through through NTP and /or precon, kickoff meeting, etc. • Invoices submitted without Subcontractor Report concurrent to billing period will be rejected by Project Manager • Budget Analyst / Grant Coordinator will retain an additional copy of Subcontractor report in separate file for preparation of biannual DBE reporting. Page 38 of 50 Packet Page -1140- 4/23/2013 16.D.1. 4/23/2013 16.D.1. MM OP ",TED DEE Qf," MSE PAFMOPATIONSTATSWENT � -+d k'3 veto- .A P *N, kA1M. ii w{ awA.i.nv4. � L;rw FNefti.6 it a V; Tr .dv'Y[`Tib i4:'T@i utliiii ,_ DCADWOWWIMIA 4&MOWTV lar? 4 4 r k DL,a*,u., nnmw t a ONeALTATICK7 r k I ,tA cnvl l f it isTktS x arwwwl, g *TL Yi FttlAiAwF'f 1'Hi U hi'#t ir b 41, . .�k tX i 3 - CAL �ma !ti'*'.I` °+i € :: S, �.. x`�-� t Vic-. a'7, r°�, ,.'£ .. I'm w iA' L ft &fWOMM Muftua puffmacgumuft-I ME WK . , . MMIFOUM MW DR%a Aw DW tow Ow I TES' AL k vn ucor iv" MmL ,. lw f T?. Th6 imfimti� 6 b*uu 7S Aod hqs6n - e d Mfi Z .. : ate, t YTR B n�a iii t m� an . ll and aftell . - i L asti Ev mmbm22 the Olum wal im sliald to , ilm idd %film w . " rt5hnk a. Page 39 of 50 Packet Page -1141- 4/23/2013 16.D.1. STATE OF FLOW W OE➢AR"J"T OF TRANSPORTATION 3754482 BID OPPORTUNITY LIST FOR PROFESSIONAL CONSULTANT PROd1R19ffNT ow SERVICES, AND COMMODITIES & CONTRACTUAL SERVICES rime Contractor/Prime Consultant AddressfPhone Number: Procurement Number/Advertisement Number: 49 CFR Part 26.11 The list Is intended to be a listing of all fines that are participating, or attempting to participate, on DOT - assisted contracts. The list must include all firms that bid on prime contracts, or bid or quote subcontracts and supplies materials on DOT - assisted projects, including both DBEs and non -DBEs. For consulting companies this list must include all subconsultants contacting you and expressing an Interest In teaming with you on a specific DOT- assisted project. Prime contractors and consultants must provide Information for Numbers 1, 2, 3 and 4, and should provide any information they have available on Numbers 5, 6, 7, and 8 for themselves, and their subcontractors and subconsuitants. 1. Federal Tax ID Number: 2. Firm Name: 3. Phone: 4. Address: 5. Year Firm Established: 1. Federal Tax ID Number: 2. Firm Name: W3. Phone: . Address: 5. Year Firm Established: 1. Federal Tax ID Number: 2, Firm Name: 3, Phone: 4. Address: 5. Year Firm Established; 1. Federal Tax ID Number: 2. Firm Name: 3. Phone; 4. Address: S. Year Firm Established: 6. ❑ DBE 8. Annual Gross Receipts ❑ Non -DBE Less than $1 million Between $1 - $5 million ❑ Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 million 0 Subconsultant ❑ More then $15 million 6. j] DBE 8. Annual Gross Receipts (] Non -DBE ❑ Less than $1 million ❑ Between $1 - $5 million 0 Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 minion ❑ Subconsultant ❑ More than $15 million 6. ❑ DBE 8. Annual Gross Receipts ❑ Non -DBE ❑ Less than $1 million [j Between $1 - $5 million ❑ Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 million ❑ Subconsultant ❑ More than $15 million 6. ❑ DBE 8. Annual Gross Receipts ❑ Non -ORE ❑ Less than $1 million ❑ Between $1 - $5 million ❑ Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 million ❑ Suticonsultant ❑ More than $15 million AS APPLICABLE, PLEASE SUBMIT THIS FORM WITH YOUR: BID SHEET (invitation to aid — ITB) LETTERS OF RESPONSE (LOR) PRICE PROPOSAL (Request for Proposal — RFP) REPLY (invitation to Negotiate — ITN) Page 40 of 50 Packet Page -1142- STATE OF FLORIDA DEPARTMENT OF TPAMPORTATM 774430.10 CONSTRUCTION CONTRACTORS COLIAL OPPORR1NnV OFFICE OWN BID OPPORTUNITY LIST . Piease complete and mail or fax to: Equal Opportunity Office 605 Suwannee St., MS 65 Tallahassee, FL 32399 -0450 TELEPHONE: (850) 414 -4747 FAX: (850) 414 -4879 This Information may also be Included in your bid or proposal package. Prime Contractor /Consultant: Address/Telephone Number, Bid/Proposal Number: Quote Submitted MM/YR: 49 CFR Part 26.11 requires the Florida Department of Transportation to develop and maintain a 'bid opportunity list" The list is intended to be a listing of all firms that are participating, or attempting to participate, on DOT - assisted contracts. The list must include all firms that bid on prime contracts, or bid or quote subcontracts and materials supplies on DOT - assisted projects, including both DBEs and non -DBEs. For consulting companies this list must include all subconsultants contacting you and expressing an interest in teaming with you on a specific DOT assisted project. Prime contractors and consultants must provide Information for Nos.1, 2, 3 and 4 and should provide any information they have available on Numbers 5, 6, 7, and 8 for themselves, and their subcontractors and subconsultants. ,t. Federal Tax to Number: 6. ❑ DBE 8. Annual Gross Receipts 2. Firm Name: ❑ Non -DBE ❑ Less than $1 million 3. Phone: ❑ Between $1 - $5 million 4. Address: © Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 million ❑ Subconsultant ❑ More than $15 million 5. Year Firm Established: 1. Federal Tax to Number: 6. ❑ DBE 8. Annual Gross Receipts 2. Firm Name: ❑ Non -DBE ❑ Less than $1 million 3. Phone: ❑ Between $1 - $5 million 4. Address: ❑ Between $5 - $10 million 7. ❑ Subcontractor ❑ Between $10 - $15 million ❑ Subconsultant ❑ More than $15 million 5. Year Firm Established: 1. Federal Tax ID Number: 6. ❑ DBE 2. Firm Name: ❑ Non -DBE 3. Phone: 4. Address: 7. ❑ subcontractor ❑ Subaonsuhant 0 5. Year Firm Established: Page 41 of 50 Packet Page -1143- 8. Annual Gross Receipts ❑ Less than $1 million ❑ Between $1 - $5 million ❑ Between $5 - $10 million ❑ Between $10 - $15 million ❑ More than $15 million 4/23/2013 16.D.1. � � � _ & � a � §§ § � § � 0 Q 0 / ƒ k k O k O ( \ / m 2 j 3 § # ) } ) ± k r § ± 3 2k) § ` \ ) })/ ! E } � \ � § [ f / ! ! v , ) § i \ \ { / $ \g � k I { \k { ±« ! \ {} . .). !} # B \} } ! )]\ §� .4 k ) k u \ \� u / )k( § )) ± / [ �f u u \ ) } } } )\ %% ± / 5 2 G \ Page 4 of 5 Packet Pa g -1144- ( ; § ` \ ) E { ! E } � \ � § [ f / ! ! v , ) § i \ \ { / � k I { \k { ±« ! \ {} . !} # B \} } ! )]\ §� .4 4/23/2013 16.D.l. 4/23/2013 16.D.1. Demonstration of Good Faith Efforts (Forms 1 and 2 should be provided as part of the solicitation documents) FORM l: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION The undersigned bidder /offeror has satisfied the requirements of the bid specification in the following manner (please check the appropriate space): The bidder /offeror is committed to a minimum of % DBE utilization on this contract. The bidder /offeror (if unable to meet the DBE goal of %) is committed to a minimum of % DBE utilization on this contract a submits documentation demonstrative good faith efforts. Name of bidder's /offeror's firm: State Registration No. Date: By: Print Name By: Signature Title Page 43 of 50 Packet Page -1145- 4/23/2013 16.D.1. Demonstration of Good Faith Efforts (Forms 1 and 2 should be provided as part of the solicitation documents) FORM 2: LETTER OF INTENT Name of bidder's /offeror's firm: Address: City: State: Zip: Name of DBE firm: Address: City: State: Zip: Telephone: Description of work to be performed by DBE fun: The bidder /offeror is committed to utilizing the above -name 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. I:3 Signature Title If the bidder /offeror does not receive award of the prime contract, any and all representations in this Letter of Intent and Affirmation shall be null and void. (Please submit this page for each subcontractor) Page 44 of 50 Packet Page -1146- 4/23/2013 16. D.1. Attachment 5 DBE Monitoring and Enforcement Mechanisms In the event that a DBE goal has been established by the Solicitation the prime contractor covenants and agrees as follows: 1. The BCC requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE contract goal without the BCC's prior written consent. Prior written consent shall 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 BCC its request to terminate, the prime contractor shall give notice in writing to the DBE of its intent to do so. A copy of this notice shall be provided to the BCC prior to consideration of the request to terminate. The DBE shall have five (5) days to respond and advise the BCC why it objects to the proposed termination. The five day period may be reduced if the matter is one of public necessity, e.g., safety. 2. In those instances where "good cause" exists to terminate a DBEs contract, the BCC requires 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 prime contract shall notify the BCC immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. The BCC requires the prime contractor substitute DBE and to provide copies documentation of good faith efforts. to obtain the BCC prior approval of the of new or amended subcontracts, or If the contractor fails or refuses to comply in the time specified the BCC may issue an order stopping all or part of payment/work until satisfactory action has been taken. If the contractor still fails to comply, the BCC may issue a termination for default proceeding. 4. The prime contractor shall provide the DBE Liaison Officer with at least thirty (30) days written notice prior to instituting any legal action against a DBE subcontractor. 5. The prime contractor shall provide the DBE Liaison Officer with monthly updates as to the prime contractor's continuing compliance with the DBE requirements set forth in the Solicitation. The prime contract shall submit with each invoice a report of DBE expenditures. Such report must show each DBE, the amount of such DBE's subcontract, the amount earned to date, the amount earned with respect to that invoice and the amount remaining to be earned. Page 45 of 50 Packet Page -1147- 4/23/2013 16.D.1. 6. The prime contractor shall make prompt and full payment to any DBE subcontractor (including the payment of any retainage) within the later of- a. Thirty (30) days after the DBE subcontractor's work is satisfactorily completed, or b. Thirty (30) days after the prime contractor receives payment from the BCC for satisfactory completion of the accepted work. The BCC will bring to the attention of the USDOT any false, fraudulent, or dishonest conduct in connection with the program, so the 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 of Program Fraud and Civil Penalties rules) provided in Section 26.109. These may include: 1. Suspension or debarment proceedings pursuant to 49 CFR part 26. 2. Enforcement action pursuant to 49 CFR part 31. 3. Prosecution pursuant to 18 US 1001. The BCC will also consider similar action under state legal authorities, including responsibility determinations in future contracts, removal of firms from the prequalified bidders and consultants' lists or revocation of DBE certification if applicable, pursuant to Section 337.105; 337.16; and 339.0808, Florida Statutes. Page 46 of 50 Packet Page -1148- 4/2312013 16.D.1. Attachment 6 49 CFR Part 26 The text of 49 CFR Part 26 can be found at the link: http://www.eefr.gov/cgi-bin/text- idx?c=ecfr&SID=4195360ce443 l b02fl bc643eaOa6e638 &rgn =div5 &view =text &node = 49:1.0.1. 1.20 &idno =49 Page 47 of 50 Packet Page -1149- 4/23/2013 16.D.1. Attachment 7 State of Florida UCP Agreement Page 48 of 50 Packet Page -1150- 4/23/2013 16.D.1. EXECUITVF, SUMMARY Y�Iz- Recommendation to approve, sip and entente an agreement with the 'State of /1163 Florida to participate in the Unified Certification Program (UCP). QHJECTIVE: To acquire Board approval to execute the UCP agreement bemeen Collier County and the State of Florida Department of Transportation per Federal Transit Administration Regulation 49 Cr, R Part 26. C0NgJ)E,RATI0N- As a Federal Transit AdminisTration grant recipient, Collier County MtLqt implement a Disadvantaged Business Enterprise (DBE) program to he in compliance with FTA regulations. FTA regulation 49 CFI 26, Subpart E — Certification Procedures Section 26.81 require-, that all United States Department of Transportation (USDOT) recipients participate in a statewide Unified Certification Program (UCP). The Unified Certification Program agreciumtt between Colficr Coutipy and the Florida Department of Transportation is required in order to receive Federal Transit Administration grant funds for the transit system, FISCAL IMPACT: There is no fiscal impact associated with this Executive Summary. GROWTH MANAGEMENT IMPACT: Consistent wid) Objective 12 of the Transportation Element of the CMYk-th Management Plan. RECOMMENDATION: That the Board approve the execution of the Unified Certification Program agreement between Collier County and the State of Florida. Prepared by: Lisa Hendrickson. Senior Planner, Alternative Ti ransportation Modes Attachment; tinified Certification Program Agreement Page 49 of 50 Packet Page -1151- STATE OF FLQRIDA UNIFIED CERTIFICATION PROGRAM UCP AGREEMENT SIGAATURE and DECLARATION OFSTATUS 'F�V W'T"VESS H'HEREO'r, the t =MCP jWemhers exectue this Agreement prepared �r},r � 7 j by audwrized sigwtvres, and attached re nlutions appropriate. ATTEST:' - bf1,ikzl'rf +oer r- (i atarrk' AtU;til to cmirs"'s Name, primed coma [gate 4/23/2013 16.D.1. 1683 01ilrj rj -� COVA+ . CO' liYt0 —ss rke Signaraq Entity Name, inted SignwUre and Title t'ree§. uJ. Vin_ f , e � Name and Tide, printed I This 7i► day of" , V c 2005 i Approved all o { riti I tf (Attarnek_ fying Member Status 7 Non - Certifying Member Status X 18 Page 50 of 50 Packet Page -1152- 4/23/2013 16.D.1. ScottTrinity Subject: FW: DBE Program Review Determination - 1032 Attachments: Sample DBE Program Pilot.pdf From: rebecca.rand @dot.gov [maiIto:rebecca.rand @dot.gov] Sent: Monday, March 04, 2013 3:37 PM To: ScottTrinity; StanleyTherese Subject: RE: DBE Program Review Determination - 1032 Hello: I have reviewed your most recent DBE Program submission. POLICY STATEMENT (Section 26.1, 26.23) This is addressed on page 6 and the statement is an attachment. It needs to be a part of the body of the Program. Signed and dated by CEO /highest officer —The Board of Directors does not need to sign the Policy Statement. The head of the agency must sign the policy statement to ensure that she /he is aware of the Program and its day to day implications. The signature of the head of the board is not acceptable since that person is not involved in the day to day operations of the agency. Also, the signature must be at the end of the "Policy Statement ". See sample program. Internal dissemination External dissemination DBE financial institutions (Section 26.27) Explain if /how many financial institutions your evaluation produced and how nterested individuals can get this information from CAT. Explain how CAT provides appropriate means to monitor and enforce the requirements prompt payment and retainage clauses (Section 26.29(d)) Since these 2 clauses are combined, make sure the heading states both "Prompt Payment" and Retainage" Overconcentration (Section 26.33) Provide explanation /comment regarding overconcentration analysis. Le. there is not currently any overconcentration per analysis on [date]. The analysis involved.... We will examine overconcentration specify timeframe for regular re- evaluation, e.g., every 1 year, 18 months, etc.) SMALL BUSINESS PROVISION (critical elements) (Section 26.39) Part of this information may be contained under the Business Development Program section. These two are different items. Please see sample program. Business Development still must be addressed in the Program even if you do not have one. Does not include a method to verify business size. - Most use the SBA definition. The official Q & A's regarding small business from USDOT can be found here: http: / /www.fta.dot.gov /12326 14267.htmi - Question 4 addresses how recipients should define a small business. Question 6 addresses micro -small business programs, and Question 9 includes the verification requirements. Does not include specific timeframes for implementing small business program. Must be no later than nine months following FTA approval of DBE Program. Fails to demonstrates active, effective steps to increase small business participation OR outreach* Please include /develop specific outreach efforts that are coupled with a strategy to create contracting opportunities for small businesses. *Outreach alone is insufficient and should be coupled with a strategy for creating contracting opportunities for small businesses. Packet Page -1153- 4/23/2013 16. D.1. Small Business Element Strategies ** (what Grantee is going to do. The more checked boxes in this section, the better.) DBE set - asides are made only on the basis of business size. (Set- asides based on race and /or gender are forbidden.) Requiring Prime Contractors to Identify Small Business Sub Contracts on Large Procurement Creating an Alternative Acquisition Strategy Joint Venture Opportunities for Small Businesses Contract Unbundling /Assessment of Contract Size Business Development Opportunities Other Strategies "Recipients may choose one or more of the listed strategies or may develop any alternative strategy that can be effective in creating contracting opportunities for small businesses. Overall goals (Section 26.45) Include a general explanation of the steps involved in calculating the goal. See sample program. FTA does not approve goals. FTA concurs with the methodology used in reaching the goal. Please correct this statement on page 10. Explain the breakout of race - neutral and race - conscious participation - See the end Attachment 4 in sample program. Meeting Overall Goals / Contract Goals (Section 26.51) Please address race neutral means. See sample program Information to be submitted (Section 26.53(b)) Please address how [Recipient] treats bidder /offers' compliance with good faith efforts' requirements as a matter of [responsiveness] or [responsibility]. DBE termination /replacement (Section 26.53(f)) Be more specific. See procedure and language used and reference to regulations in sample program. Address good cause and prior written consent, etc. Sample bid specification — Please Include this section. See sample program Information, confidentiality, cooperation (Section 26.109) Please review sample program — address such things and releasing personal financial information, release to DOT etc. ATTACHMENTS AND APPENDICES Organizational chart - Please clearly indicate the head of the transit agency (person who handles day to day operations) and the DBELO and show that the DBELO has direct and independent access to the head of the agency. DBE Directory or link /instructions on how to access it Agency policies of Monitoring & Enforcement Mechanisms - See Attachment 3 in sample program Breakout of race - neutral and race - conscious participation - See the end Attachment 4 in sample program Form 1 & 2 for Demonstration of Good Faith Efforts - See Attachment 5 in sample program. You can use your own forms but they must include commitment % and signatures Regulation: 49 CFR Part 26 (most current version) or directions/ link on how to access it I hope this helps. Your prompt attention to this is appreciated as your "in- Review" submission status has expired. Please contact me with any questions. Rebecca Rebecca E. Rand Civil Rights Officer, Region VII Packet Page -1154- 4/23/2013 16. D.1. Federal Transit Administration 901 Locust Street, Room 404 Kansas City, MO 64106 Direct: (816) 329 - 3928 /Main: 3920 Fax: (816)329 -3921 Rebecca. Rand @dot.eov f Unless otherwise specified, the contents of this message are intended for purposes of informal communication and do not represent official FTA or DOT policy or information. Packet Page -1155-