Agenda 02/25/2025 Item #16B 6 (Approve the Collier Area Transit Disadvantaged Business Enterprise Program Update to ensute its compliance with Federal Transit Administration requirements and authorize its submital to the FTA)2/25/2025
Item # 16.13.6
ID# 2025-544
Executive Summary
Recommendation to approve the Collier Area Transit Disadvantaged Business Enterprise (DBE) Program Update to
ensure its compliance with Federal Transit Administration (FTA) requirements and authorize its submittal to the FTA.
OBJECTIVE: To make certain Disadvantaged Business Enterprises (DBEs) have an equal opportunity to receive and
participate in Federal Transit Administration (FTA) assisted contracts and ensure nondiscrimination in the award and
administration of these contracts.
CONSIDERATIONS: The Collier County Board of County Commissioners (the "Board") has received Federal
financial assistance from the 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 U.S. 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 May 9, 2024, the US Department of Transportation updated the DBE Final Rule at 49 CFR § 26.21(a). The update
included a modification of the requirements based on the agencies that fall within the Tier 1 or Tier 2 designation. Based
on the criteria, Collier Area Transit is designated Tier 1 as it awards prime contracts exceeding a cumulative total value
of $670,000 in FTA funds in a federal fiscal year, excluding transit vehicle purchases.
The final rule updates the DBE program requirements. Key changes include expanded reporting requirements for
recipients of federal transportation funds, refined definitions within the programs, administrative streamlining, and
modifications to the certification and decertification processes for DBEs. The necessary changes that were applicable to
Collier County have been incorporated into the CAT's DBE Program. The changes, which are minor, are as follows:
Section 3.7 Good Faith Efforts Procedures for contracts with DBE Contract Goals [26.531
Section 3.8 Counting DBE Participation [26.551
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.
• Expenditures to a DBE contractor will be counted toward DBE goals only if the DBE is performing a
commercially useful function on that contract as set forth in 49 CFR Part 26.55[c] [1-5]. For determining
whether a trucking company is performing a commercially useful function, Collier County will refer to 49 CFR
Part 26.55[d] (1-6].
• For establishing whether expenditures for materials or supplies count toward DBE goals, Collier County will
refer to 49 CFR Part 26.55 [e].
• 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.
This item is consistent with the Collier County strategic plan objective to design and maintain an effective transportation
system to reduce traffic congestion and improve the mobility of our residents and visitors. Additionally, the item is
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2/25/2025
Item # 16.13.6
ID# 2025-544
consistent with the objective to support access to health, wellness, and human services.
FISCAL IMPACT: Approval of the Disadvantaged Business Enterprises Program update ensures compliance with
federal requirements to receive annual appropriations awarded by FTA. FTA Grant Programs are typically funded
within CAT Grant Fund (4031).
GROWTH MANAGEMENT IMPACT: This item is consistent with Objective 12 of the Transportation Element of
the Growth Management Plan.
LEGAL CONSIDERATIONS: This item has been reviewed by the County Attorney, is approved as to form and
legality and requires majority vote for approval. -JAK
RECOMMENDATIONS: To approve the Collier Area Transit Disadvantaged Business Enterprise Program Update to
ensure its compliance with FTA requirements and authorize its submittal to the FTA.
PREPARED BY: Omar De Leon, Transit Manager, PTNE Divison
ATTACHMENTS:
DBE Program 2-25-25 update
DBE Program 2-25-25 update - TrackChanges
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COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
Collier Area Transit Disadvantaged Business
Enterprise Program
2/25/2025
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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] ........................ 5
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] ......................... 8
Section 2.6 Directory [26.31] ...................................... 9
Section 2.7 Overconcentration [26.33] ................................ 9
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] ................. 11
3.0 GOALS, GOOD FAITH EFFORTS, AND COUNTING ................ 13
Section 3.1 Set-asides or Quotas [26.43] .............................. 13
Section 3.2 Overall Goals [26.45] ................................... 13
Section 3.3 Failure to meet Overall Goals [26.47] ........................ 14
Section 3.4 Transit Vehicle Manufacturers Goals [26.49] ................... 14
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)] .............................. 15
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Section 3.7 Good Faith Efforts Procedures [26.53] ....................... 15
3.7.1. Award of Contracts with a DBE Contract Goal: 26.53(a) .............. 15
3.7.2. Evaluation of Good Faith Efforts: 26.53 (a) & (c) ................... 16
3.7.3. Information to be Submitted: 26.53 (b) .......................... 16
3.7.4 Administrative reconsideration [26.53(d)] ........................ 17
3.7.5 Good Faith Efforts when a DBE is terminated or substituted on a contract
[26.53(f)] .................................................... 17
Section 3.8 Counting DBE Participation [26.55] ......................... 18
4.0 CERTIFICATION STANDARDS [26.61 – 26.73] .................... 18
5.0 CERTIFICATION PROCEDURES [26.81] ......................... 19
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 – 26.91] ............ 19
Section 7.1 Availability of records .................................. 19
Section 7.2 Confidentiality ....................................... 19
Section 7.3 Cooperation ......................................... 20
Section 7.4 Intimidation and retaliation ............................... 20
ATTACHMENTS .............................................. 21
Organizational Chart ............................................ 22
Overall DBE Goal Calculation ...................................... 26
Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts (Forms 1
& 2) ....................................................... 27
DBE Monitoring and Enforcement Mechanisms .......................... 24
49 CFR Part 26 ................................................ 39
State of Florida UCP Agreement .................................... 35
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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.
Omar De Leon, Public Transit Manager has been delegated as the DBE Liaison Officer. In that
capacity, Mr. De Leon 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, Mr. De Leon 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
______________________________ ________________
Trinity Scott Date
Chief Executive Officer
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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.
Section 1.5 Record Keeping Requirements [26.11]
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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
6 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 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.).
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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:
Omar De Leon , Public Transit Manager
Collier County Public Transit & Neighborhood Enhancement Division
8300 Radio Rd
Naples, Florida 34104
(239) 252-4996
Omardeleon@colliercountyfl.gov
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
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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.
8. 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 http://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.
Section 2.5 Prompt Payment Mechanisms [26.29]
Prompt Payment: 26.29 (a)
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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 3 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/equalopportunityoffice/. 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.
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
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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, 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.
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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.
6. 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.
Section 2.10 Fostering Small Business Participation [26.39]
The BCC has incorporated the following non-discriminatory elements to its DBE program, in order
to facilitate completion on DOT-assisted public works projects by small business concerns (both
DBEs and non-DBE small businesses):
Small Business Program:
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Definition – 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).
Small Business Concern is one that:
• Is organized for profit, with a place of business located in the United States, which operates
primarily within the United States or which makes a significant contribution to the United
States economy through payment of taxes or use of America products, materials or labor;
• Has the legal form of an individual proprietorship, partnership, limited liability company,
corporation, joint venture, association, trust or cooperative.
• Is at least 51% owned and controlled by one or more individuals who are citizens of, or
permanent resident aliens in, the Unit States, except in the case of a joint venture, where
each entity to the venture must be 51% owned and controlled by one or more individuals
who are citizens of, or permanent resident aliens in, the United States.
A Small Business Concern shall not have average annual gross receipts (over the firm’s
previous three fiscal years) in excess of $22.41 million. How to calculate average annual
receipts and average employment of a firm can be found in 13 CFR 121.104 and 13 CFR
121.106, respectfully.
Program participants will be required to establish eligibility via (1) DBE certification in
connection with the Florida Unified Certification Program; (2) U.S. Small Business
Administration (SBA) 8A certification, or (3) documentation establishing participation as a
registered Dynamic Small Business with SBA. This documentation must be provided in the
submittal package in order to verify eligibility.
Certified DBEs are presumptively eligible to participate in the program. None of the
provisions of this Section shall be interpreted to impose any geographic preferences or
limitations, and the program is open to all small business concerns regardless of their location.
As part of this program element, the BCC will include the following strategies to begin
immediately following FTA approval of the DBE program:
• 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.
• The BCC will include in its construction contract provisions a requirement that prime
contractors affirmatively seek out small business as part of its subcontractor workforce.
Prime contractors will be required to provide information with their bid that identifies the
small businesses that will participate as subcontractors and the copes of work that will be
undertaken. Lack of small business participation will require the bidder to provide
evidence of the good faith efforts that were made. The good faith effort requirement will
be the same as identified in Section 3.0 – Goals, Good Faith Efforts, and Counting.
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• Procurement Services Division staff attendance at several annual trade fairs which include
representatives from small businesses.
• Attending meetings (local chamber of commerce) 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 4 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 in Collier County divided by the total number of all firms
based on the US Census data. 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
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
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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.
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 4 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:
1. Arrange solicitations, quantities, specifications, and delivery schedules in ways that
facilitate DBE and other small business participation.
2. Provide technical assistance.
3. 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.
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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 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 for contracts with DBE Contract Goals [26.53]
3.7.1. Award of Contracts with a DBE Contract Goal: 26.53(a)
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
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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.
3.7.2. Evaluation of Good Faith Efforts: 26.53 (a) & (c)
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:
1. 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.
3.7.3. Information to be Submitted: 26.53 (b)
The BCC treat bidders/offers’ compliance with good faith efforts’ requirements as a matter of
responsiveness.
Each solicitation for which a contract goal has been established will require the bidders/offerors
to submit the following information:
• The names and addresses of DBE firms that will participate in the contract;
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• 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.
3.7.4 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: Joanne Markiewicz, Procurement Services Division Director,
Procurement Services Division, 3327 East Tamiami Trail, Naples, Florida 34112, (239)
252-8975 or joannemarkiewicz@colliergov.net. 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.
3.7.5 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.
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
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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.
• Expenditures to a DBE contractor will be counted toward DBE goals only if the DBE is
performing a commercially useful function on that contract as set forth in 49 CFR Part
26.55[c] [1-5]. For determining whether a trucking company is performing a commercially
useful function, Collier County will refer to 49 CFR Part 26.55[d] (1-6].
• For establishing whether expenditures for materials or supplies count toward DBE goals,
Collier County will refer to 49 CFR Part 26.55[e].
• 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 – 26.73]
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.
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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/equalopportunityoffice/DBEProgram. The Florida UPC will meet all of the
requirements of certification procedures.
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 – 26.91]
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 7th 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
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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.
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ATTACHMENTS
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Attachment 1
Organizational Chart
Burt L. Saunders
BCC Chairman
Amy Patterson
County Manager
Trinity Scott
TMS
Department Head
Brian Wells
Public Transit &
Neighborhood
Enhancement Division
Director
Omar De Leon
Public Transit Manager
DBELO
Corene Sanger
Management Analyst I
Alexander Showalter
Planner II
Liz Soriano
Project Manager II
Elena Ortiz Rosado
Program Coordinator
Reporting Relationship
for DBE Matters
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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:
https://fdotxwp02.dot.state.fl.us/EqualOpportunityOfficeBusinessDirectory/Home.aspx
What is the Florida UCP DBE Directory?
The Florida Unified Certification Program Disadvantaged Business Enterprise (UCP DBE) is a
searchable listing of all certified Disadvantaged Business Enterprise (DBE) and Airport Concession
Disadvantaged Business Enterprise (ACDBE) firms eligible to perform work under the federal DBE
Program.
The Florida UCP DBE Directory is updated daily and includes information pertaining to the firm’s
certification status, including its assigned North American Industry Classification System (NAICS)
codes, available work locations and contact information. Advanced search options allow users a
means to customize searches, filter items, and sort results based on specific needs. The Florida
UCP DBE Directory makes extensive use of the following acronyms/terms.
How do I use this directory?
The Florida UCP DBE Directory is published to help contractors and consultants identify
subcontractors and subconsultants eligible to participate on federally funded contracts towards the
attainment of DBE goals.
• All certified DBE and ACDBE firms listed in this directory have been approved under the eligibility
standards and guidelines set forth in the Title 49 Code of Federal Regulations Parts 23 and 26.
• It is the contractor/consultant’s responsibility to evaluate the DBE’s ability to perform on any given
project.
Most popular browsers will view this site without issue. However the suggested browser is the latest
version of Internet Explorer.
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Attachment 3
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.
3. The BCC requires the prime contractor to obtain the BCC prior approval of the
substitute DBE and to provide copies of new or amended subcontracts, or
documentation of good faith efforts.
If the contractor fails or refuses to comply in the time specified the 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.
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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 USC 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.
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Attachment 4
Overall DBE Goal Calculation & Section 26.51: Breakout of Estimated
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Attachment 5
Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts
(Forms 1 & 2)
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Demonstration of Good Faith Efforts
(Forms 1 and 2 should be provided as part of the solicitation documents)
FORM 1: 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
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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 firm:
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.
By _________________________________________________________________
Signature Title
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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)
Attachment 6
State of Florida UCP Agreement
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Attachment 7
49 CFR Part 26
The text of 49 CFR Part 26 can be found at the link:
https://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&SID=4195360ce4431b02f1bc643ea0a6e638&rgn=div5&view=text&node=49:1.0.1.
1.20&idno=49
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COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
Collier Area Transit Disadvantaged Business
Enterprise Program
2/25/2025
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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].........................5
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]..........................8
Section 2.6 Directory [26.31].......................................9
Section 2.7 Overconcentration [26.33].................................9
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]..................11
3.0 GOALS, GOOD FAITH EFFORTS, AND COUNTING .................13
Section 3.1 Set-asides or Quotas [26.43]...............................13
Section 3.2 Overall Goals [26.45]...................................13
Section 3.3 Failure to meet Overall Goals [26.47].........................14
Section 3.4 Transit Vehicle Manufacturers Goals [26.49]....................14
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)]...............................15
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Section 3.7 Good Faith Efforts Procedures [26.53]........................15
3.7.1. Award of Contracts with a DBE Contract Goal: 26.53(a)...............15
3.7.2. Evaluation of Good Faith Efforts: 26.53 (a) & (c)....................16
3.7.3. Information to be Submitted: 26.53 (b)...........................16
3.7.4 Administrative reconsideration [26.53(d)].........................17
3.7.5 Good Faith Efforts when a DBE is terminated or substituted on a contract
[26.53(f)].....................................................17
Section 3.8 Counting DBE Participation [26.55]..........................18
4.0 CERTIFICATION STANDARDS [26.61 – 26.73].....................18
5.0 CERTIFICATION PROCEDURES [26.81]..........................19
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 – 26.91].............19
Section 7.1 Availability of records ...................................19
Section 7.2 Confidentiality ........................................19
Section 7.3 Cooperation ..........................................20
Section 7.4 Intimidation and retaliation ................................20
ATTACHMENTS ...............................................21
Organizational Chart .............................................22
Overall DBE Goal Calculation .......................................26
Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts (Forms 1
& 2)........................................................27
DBE Monitoring and Enforcement Mechanisms ...........................24
49 CFR Part 26 .................................................38
State of Florida UCP Agreement .....................................35
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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.
Omar De Leon, Public Transit Manager has been delegated as the DBE Liaison Officer. In that
capacity, Mr. De Leon 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, Mr. De Leon 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
______________________________ ________________
Trinity Scott Date
Chief Executive Officer
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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.
Section 1.5 Record Keeping Requirements [26.11]
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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
6 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 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.).
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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:
Omar De Leon , Public Transit Manager
Collier County Public Transit & Neighborhood Enhancement Division
8300 Radio Rd
Naples, Florida 34104
(239) 252-4996
Omardeleon@colliercountyfl.gov
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
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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.
8. 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 http://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.
Section 2.5 Prompt Payment Mechanisms [26.29]
Prompt Payment: 26.29 (a)
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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 3 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/equalopportunityoffice/. 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.
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
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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, 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.
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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.
6. 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.
Section 2.10 Fostering Small Business Participation [26.39]
The BCC has incorporated the following non-discriminatory elements to its DBE program, in order
to facilitate completion on DOT-assisted public works projects by small business concerns (both
DBEs and non-DBE small businesses):
Small Business Program:
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Definition – 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).
Small Business Concern is one that:
•Is organized for profit, with a place of business located in the United States, which operates
primarily within the United States or which makes a significant contribution to the United
States economy through payment of taxes or use of America products, materials or labor;
•Has the legal form of an individual proprietorship, partnership, limited liability company,
corporation, joint venture, association, trust or cooperative.
•Is at least 51% owned and controlled by one or more individuals who are citizens of, or
permanent resident aliens in, the Unit States, except in the case of a joint venture, where
each entity to the venture must be 51% owned and controlled by one or more individuals
who are citizens of, or permanent resident aliens in, the United States.
A Small Business Concern shall not have average annual gross receipts (over the firm’s
previous three fiscal years) in excess of $22.41 million. How to calculate average annual
receipts and average employment of a firm can be found in 13 CFR 121.104 and 13 CFR
121.106, respectfully.
Program participants will be required to establish eligibility via (1) DBE certification in
connection with the Florida Unified Certification Program; (2) U.S. Small Business
Administration (SBA) 8A certification, or (3) documentation establishing participation as a
registered Dynamic Small Business with SBA. This documentation must be provided in the
submittal package in order to verify eligibility.
Certified DBEs are presumptively eligible to participate in the program. None of the
provisions of this Section shall be interpreted to impose any geographic preferences or
limitations, and the program is open to all small business concerns regardless of their location.
As part of this program element, the BCC will include the following strategies to begin
immediately following FTA approval of the DBE program:
•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.
•The BCC will include in its construction contract provisions a requirement that prime
contractors affirmatively seek out small business as part of its subcontractor workforce.
Prime contractors will be required to provide information with their bid that identifies the
small businesses that will participate as subcontractors and the copes of work that will be
undertaken. Lack of small business participation will require the bidder to provide
evidence of the good faith efforts that were made. The good faith effort requirement will
be the same as identified in Section 3.0 – Goals, Good Faith Efforts, and Counting.
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•Procurement Services Division staff attendance at several annual trade fairs which include
representatives from small businesses.
•Attending meetings (local chamber of commerce) 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 4 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 in Collier County divided by the total number of all firms
based on the US Census data. 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
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
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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.
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 4 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:
1. Arrange solicitations, quantities, specifications, and delivery schedules in ways that
facilitate DBE and other small business participation.
2. Provide technical assistance.
3. 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.
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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 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 for contracts with DBE Contract Goals [26.53]
3.7.1. Award of Contracts with a DBE Contract Goal: 26.53(a)
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
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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.
3.7.2. Evaluation of Good Faith Efforts: 26.53 (a) & (c)
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:
1. 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.
3.7.3. Information to be Submitted: 26.53 (b)
The BCC treat bidders/offers’ compliance with good faith efforts’ requirements as a matter of
responsiveness.
Each solicitation for which a contract goal has been established will require the bidders/offerors
to submit the following information:
•The names and addresses of DBE firms that will participate in the contract;
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•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.
3.7.4 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: Joanne Markiewicz, Procurement Services Division Director,
Procurement Services Division, 3327 East Tamiami Trail, Naples, Florida 34112, (239)
252-8975 or joannemarkiewicz@colliergov.net. 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.
3.7.5 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.
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
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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.
•Expenditures to a DBE contractor will be counted toward DBE goals only if the DBE is
performing a commercially useful function on that contract as set forth in 49 CFR Part
26.55[c] [1-5]. For determining whether a trucking company is performing a commercially
useful function, Collier County will refer to 49 CFR Part 26.55[d] (1-6].
•For establishing whether expenditures for materials or supplies count toward DBE goals,
Collier County will refer to 49 CFR Part 26.55[e].
•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 – 26.73]
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.
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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/equalopportunityoffice/DBEProgram. The Florida UPC will meet all of the
requirements of certification procedures.
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 – 26.91]
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 7th 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
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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.
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ATTACHMENTS
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Attachment 1
Organizational Chart
Burt L. Saunders
BCC Chairman
Amy Patterson
County Manager
Trinity Scott
TMS
Department Head
Brian Wells
Public Transit &
Neighborhood
Enhancement Division
Director
Omar De Leon
Public Transit Manager
DBELO
Corene Sanger
Management Analyst I
Alexander Showalter
Planner II
Liz Soriano
Project Manager II
Elena Ortiz Rosado
Program Coordinator
Reporting Relationship
for DBE Matters
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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:
https://fdotxwp02.dot.state.fl.us/EqualOpportunityOfficeBusinessDirectory/Home.aspx
What is the Florida UCP DBE Directory?
The Florida Unified Certification Program Disadvantaged Business Enterprise (UCP DBE) is a
searchable listing of all certified Disadvantaged Business Enterprise (DBE) and Airport Concession
Disadvantaged Business Enterprise (ACDBE) firms eligible to perform work under the federal DBE
Program.
The Florida UCP DBE Directory is updated daily and includes information pertaining to the firm’s
certification status, including its assigned North American Industry Classification System (NAICS)
codes, available work locations and contact information. Advanced search options allow users a
means to customize searches, filter items, and sort results based on specific needs. The Florida
UCP DBE Directory makes extensive use of the following acronyms/terms.
How do I use this directory?
The Florida UCP DBE Directory is published to help contractors and consultants identify
subcontractors and subconsultants eligible to participate on federally funded contracts towards the
attainment of DBE goals.
•All certified DBE and ACDBE firms listed in this directory have been approved under the eligibility
standards and guidelines set forth in the Title 49 Code of Federal Regulations Parts 23 and 26.
•It is the contractor/consultant’s responsibility to evaluate the DBE’s ability to perform on any given
project.
Most popular browsers will view this site without issue. However the suggested browser is the latest
version of Internet Explorer.
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Attachment 3
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.
3. The BCC requires the prime contractor to obtain the BCC prior approval of the
substitute DBE and to provide copies of new or amended subcontracts, or
documentation of good faith efforts.
If the contractor fails or refuses to comply in the time specified the 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.
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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 USC 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.
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Attachment 4
Overall DBE Goal Calculation & Section 26.51: Breakout of Estimated
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Attachment 5
Collier Area Transit DBE Vendor Process & Forms Including Good Faith Efforts
(Forms 1 & 2)
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Demonstration of Good Faith Efforts
(Forms 1 and 2 should be provided as part of the solicitation documents)
FORM 1: 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
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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 firm:
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.
By _________________________________________________________________
Signature Title
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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)
Attachment 6
State of Florida UCP Agreement
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Attachment 7
49 CFR Part 26
The text of 49 CFR Part 26 can be found at the link:
https://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&SID=4195360ce4431b02f1bc643ea0a6e638&rgn=div5&view=text&node=49:1.0.1.
1.20&idno=49
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