Resolution 2013-031 RESOLUTION No. 2013 31
RESOLUTION NO. 2013- 31 RESCINDING AND
REPLACING RESOLUTION NO. 2001-245, WHICH ADOPTED
THE DISADVANTAGED BUSINESS ENTERPRISE ("DBE")
PROGRAM AND GOAL SETTING PROCESS, AND
ADOPTING A REVISED DBE PROGRAM AND DBE GOAL
SETTING PROCESS
WHEREAS, the Board of County Commissioners has received Federal financial
assistance from the Federal Transit Administration (FTA), and as a condition of receiving this
assistance, the BCC must comply with Title 49 of the Code of Federal Regulations (CFR), part
26; and
WHEREAS, on June 8, 2001, the BCC adopted a Disadvantaged Business Enterprise
("DBE") program and DBE Goal Setting Process in accordance with the regulations of the
United States Department of Transportation contained in 49 CFR,part 26; and
WHEREAS, on February 28, 2011, 49 CFR part 26, was revised to require all DBE
programs to include an element to structure contracting requirements to facilitate competition by
small businesses.
NOW, THEREFORE BE IT RESOLVED BY THE BOARD OF COUNTY
COMMISSIONERS OF COLLIER COUNTY THAT:
1. That it is the policy of the Board of County Commissioners to ensure that Disadvantaged
Business Enterprises, as defined in Title 49 of the Code of Federal Regulations, part 26,
have an equal opportunity to receive and participate in contracts partially or fully funded
by the Federal Transit Administration.
2. That the policies and procedures set forth in the DBE Program and the DBE Goal Setting
Process is approved.
3. That the Collier County Board of County Commissioners Chairperson is authorized to
execute the Objectives/Policy Statement of the Collier County DBE Program.
4. That the Public Transit Manager is authorized to sign any and all assurances,
certifications and other documents which may be required in connection with the DBE
Program.
5. Resolution No. 2001-245 is hereby rescinded and replaced by this Resolution.
1
This Resolution adopted this /P. day of February, 2013 after motion, second and majority
vote in favor of passage.
Al'1'EST BOARD 0 COUNTY OMMISSIONERS
DWIGHT E. BROCK,CLERK COLLIE' 0 Y,. LORIDA
By:
By: aQ ,l„ 1►•' _•QC - Gel;avA T4 filer,Esq.Chairwoman
Deputy Cl •S
Chittilli el
AttiSt
gnat*,
Approved as to form and legal sufficiency:
By: Qi9)1C-■
Scott R. Teach
Deputy County Attorney
2
COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
Collier Area Transit Disadvantaged Business
Enterprise Program
2/12/2013
Table of Contents
1. GENERAL REQUIREMENTS 4
Section 1.1 Objectives [26.1] 4
Section 1.2 Applicability [26.3] 4
Section 1.3 Definitions [26.5] 4
Section 1.4 Non-discrimination Requirements [26.7] 4
Section 1.5 Record Keeping Requirements [26.11] 5
Section 1.6 Bidders List [26.11] 5
Section 1.7 Federal Financial Assistance Agreement [26.13] 5
2. ADMINISTRATIVE REQUIREMENTS 6
Section 2.1 DBE Program Updates [26.21] 6
Section 2.2 Policy Statement [26.23] 6
Section 2.3 DBE Liaison Officer (DBELO) [26.25] 6
Section 2.4 DBE Financial Institutions [26.27] 7
Section 2.5 Prompt Payment Mechanisms [26.29] 8
Section 2.6 Directory [26.31] 8
Section 2.7 Overconcentration [26.33] 8
Section 2.8 Business Development Programs [26.35] 8
Section 2.9 Monitoring and Enforcement Mechanisms [26.37] 9
Section 2.10 Fostering Small Business Participation [26.39] 9
3.0 GOALS, GOOD FAITH EFFORTS, AND COUNTING 9
Section 3.1 Set-asides or Quotas [26.43] 9
Section 3.2 Overall Goals [26.45] 10
Section 3.3 Failure to meet Overall Goals [26.47] 10
Section 3.4 Transit Vehicle Manufacturers Goals [26.49] 11
Section 3.5 Breakout of Estimated Race-Neutral & Race-Conscious Participation [26.51
(a-c)] 11
Section 3.6 Contract Goals [26.51 (d-g)] 11
Section 3.7 Good Faith Efforts Procedures [26.53] 11
3.7.1 Administrative reconsideration [26.53(d)] 12
Page 2 of 36
3.7.2 Good Faith Efforts when a DBE is terminated or substituted on a contract
[26.53(1)] 12
Section 3.8 Counting DBE Participation [26.55] 13
4.0 CERTIFICATION STANDARDS [26.61 — 26.73] 13
5.0 CERTIFICATION PROCEDURES [26.81] 13
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83 —26.91] 14
Section 7.1 Availability of records 14
Section 7.2 Confidentiality 14
Section 7.3 Cooperation 14
Section 7.4 Intimidation and retaliation 15
ATTACHMENTS 16
Collier County Board of County Commissioners Disadvantaged Business Enterprise Policy
Statement 17
Organizational Chart 18
Fiscal Year(FY) 2011, 2012 & 2013 DBE Goal Calculation 19
Breakout of Estimated Race Neutral & Race Conscious Participation 2 2
DBE Program Goal Approval 2 8
Collier Area Transit DBE Vendor Process & Forms 31
Page 3 of 36
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 & 26.71
The BCC will never exclude any person from participation in, deny any person the benefits of, or
otherwise discriminate against anyone in connection with the award and performance of any
contract covered by 49 CFR part 26 on the basis of race, color, sex, or national origin.
In administering its DBE program, the BCC will not, directly or through contractual or other
arrangements, use criteria or methods of administration that have the effect of defeating or
substantially impairing accomplishment of the objectives of the DBE program with respect to
individuals of a particular race, color, sex, or national origin.
Page 4 of 36
Section 1.5 Record Keeping Requirements [26.11]
The BCC will report DBE participation on a quarterly basis, using DOT Form 4630. These
reports will reflect payments actually made to DBEs on DOT-assisted contracts.
Section 1.6 Bidders List [26.11]
The BCC will create 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, DBE or non-DBE status, age, and annual gross receipts of firms.
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.).
This language will appear in financial assistance agreements with sub-recipients.
Page 5 of 36
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 126.21]
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 in
Attachment I to this program document.
Section 2.3 DBE Liaison Officer (DBELO) [26.25]
We have designated the following individual as our DBE Liaison Officer:
Trinity Scott, Public Transit Manager
Collier County Alternative Transportation Modes
3299 East Tamiami Trail, Suite 103
Naples, Florida 34112
(239) 252-5832
TrinitvScott ZI colliergov.net
In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and
ensuring that the BCC complies with all provision of 49 CFR Part 26. The DBELO has direct,
independent access to the Collie County Board of County Commission Chair concerning DBE
program matters. An organization chart displaying the DBELO's position in the organization is
found in Attachment 2 to this program.
Page 6 of 36
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 [26.271
•
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. This element will be re-evaluated at least
every five years or when the Program is updated, whichever is earlier.
Page 7 of 36
Section 2.5 Prompt Payment Mechanisms [26.29]
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 10 days from the receipt
of each payment the prime contract receives from BCC. If retainage from DBE
subcontractors is allowed per the contract, the prime contractor agrees further to
return retainage payments to each subcontractor within 10 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.
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.fi.us/equalopportunityoffice/.
Section 2.7 Overconcentration [26.33]
The BCC has not identified that overconcentration exists in the types of work that DBEs
perform.
Section 2.8 Business Development Programs [26.35]
The BCC is not required to establish a formal business development program. The following
activities are 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.
• Encourage DBE and SBE attendance at solicitation conferences.
Page 8 of 36
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 out own legal authorities, including responsibility
determinations in future contracts.
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 requiring the Contractor to 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 into its DBE Program, in
order to facilitate competition on DOT-assisted public works projects by small business concerns
(both DBEs and non-DBE small businesses);
• Removal of unnecessary and unjustified bundling of contract requirements that may
preclude SBE participation in procurements as prime contractors or subcontractors; and
• Letting prime contracts of a size that small business can reasonably compete for and
perform.
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.
Page 9 of 36
Section 3.2 Overall Goals [26.45]
A description of the methodology to calculate the overall goal and the goal calculations can be
found in Attachment 3 to this program. The goal will be to update 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 DOT on August 1,
every three years. 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 approval.
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 your principal office for 30 days following the date of the notice, and
informing the public that you and DOT will accept comments on the goals for 45 days from the
date of the notice. The publishing of the notice of the proposed overall goal will be in a
newspaper, or other media, of general circulation focused on minority readers. The notice will
also be included on the BCC's Internet website. Normally this notice will be issued by June 1.
The notice must include addresses to which comments may be sent and addresses (including
offices and websites) where the proposal may be reviewed.
The overall goal submission to DOT will include a summary of information and comments
received during this public participation process and the BCC's responses.
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.
Page 10 of 36
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. This section of the program will be updated when the goal
calculation is updated.
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.
Section 3.7 Good Faith Efforts Procedures [26.53]
The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can
demonstrate that it has done so either by meeting the contract goal or documenting good faith
efforts. Examples of good faith efforts are found in Appendix A to Part 26.
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 responsible.
The BCC will ensure that all information is complete and accurate and adequately documents the
bidder/offer's good faith efforts before the BCC commits to the performance of the contract by
the bidder/offeror.
Page 11 of 36
Each solicitation for which a contract goal has been established will require the bidders/offerors
to submit the following information:
• The names and addresses of DBE firms that will participate in the contract;
• A description of the work that each DBE will perform;
• The dollar amount of the participation of each DBE firm participating;
• Written and signed documentation of commitment to use a DBE subcontractor whose
participation it submits to meet a contract goal;
• Written and signed confirmation from the DBE that it is participating in the contract as
provided in the prime contractors commitment and
• If the contract goal is not met, evidence of good faith efforts.
3.7.1 Administrative reconsideration [26.53(d)]
Within 5 days of being informed by BCC that it is not responsive because it has not
documented sufficient good faith efforts, a bidder/offeror may request administrative
reconsideration. Bidder/offerors should make this request in writing to the following
reconsideration official: Purchasing Director, Purchasing Department, 3327 East
Tamiami Trail, Naples, Florida 34112. The reconsideration official will not have played
any role in the original determination that the bidder/offeror did not document sufficient
good faith efforts.
As part of this reconsideration, the bidder/offeror will have the opportunity to provide
written documentation or argument concerning the issue of whether it met the goal or
made adequate good faith efforts to do so. The bidder/offeror will have the opportunity
to meet in person with our reconsideration official to discuss the issue of whether it met
the goal or made adequate good faith efforts to do. We will send the bidder/offeror a
written decision on reconsideration, explaining the basis for finding that the bidder did or
did not meet the goal or make adequate good faith efforts to do so. The result of the
reconsideration process is not administratively appealable to the Department of
Transportation.
3.7.2 Good Faith Efforts when a DBE is terminated or substituted on a contract
[26.53(0]
The BCC will require a contractor to make good faith efforts to replace a DBE that is
terminated or has otherwise failed to complete its work on a contract with another
certified DBE, to the extent needed to meet the contract goal. The BCC will require the
prime contractor to notify the DBE Liaison officer immediately of the DBE's inability or
unwillingness to perform and provide reasonable documentation.
In this situation, the BCC will require the prime contractor to obtain our prior approval of
the substitute DBE and to provide copies of new or amended subcontracts, or
documentation of good faith efforts.
Page 12 of 36
If the contractor fails or refuses to comply in the time specified, our contracting office
will issue an order stopping all or part of payment/work until satisfactory action has been
taken. If the contractor still fails to comply, the contracting officer may issue a
termination for default proceeding.
Section 3.8 Counting DBE Participation [26.55]
The BCC will count DBE participation toward overall and contract goals as provided in 49 CFR
26.55. Only the value of the work actually performed by the DBE will count toward DBE goals.
Such value will be counted as follows:
• The entire amount that is performed by the DBE;
• The entire amount of reasonable fees or commissions charged by a DBE firm for
providing a bona fide service or for providing bonds or insurance required for the
performance of the DOT-assisted contract;
• The value of work subcontracted by a DBE to another DBE is counted toward DBE
goals.
• When a DBE performs as part of a joint venture, the portion of the total dollar value of
the contract equal to the defined portion of the work of the contract that the DBE
performs will be counted.
• A DBE's participation will not be counted toward DBE goals of the prime contractor or
the BCC's overall goal until the DBE is paid.
4.0 CERTIFICATION STANDARDS [26.61 —26.73]
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.
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.11.us/equalopportunitvoffice/DBEProgram. The Florida UPC will meet all of the
requirements of certification procedures.
Page 13 of 36
6.0 DENIAL OF DBE STATUS AND APPEALS [26.83—26.911
Any firm or complainant may appeal our decision in a certification matter to DOT. Such
appeals may be sent to:
Department of Transportation
Office of Civil Rights Certification Appeals Branch
400 7th Street, SW
Room 2104
Washington, D.C. 20590
7.0 INFORMATION, CONFIDENTIALITY, COOPERATION [26.109]
Section 7.1 Availability of records
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 provision of Federal or state law, the BCC will not release any information
that may reasonably be construed as confidential business information to any third party without
the written consent of the firm that submitted the information. However, the BCC must transmit
this information to DOT in any certification appeal proceeding or to any other state to which the
individual's firm has applied for certification.
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
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
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.
Page 14 of 36
Section 7.4 Intimidation and retaliation
The BCC will not and will not allow a contractor, or any other participant in the program, to
intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of
interfering with any right or privilege secured by this part or because the individual or firm has
made a complaint, testified, assisted, or participated in any manner in an investigation,
proceeding, or hearing under this part.
Page 15 of 36
ATTACHMENTS
Page 16 of 36
Attachment 1
Collier County Board of County Commissioners Disadvantaged Business Enterprise Policy
Statement
The Collier County Board of County Commissioners (BCC) has established a Disadvantaged
Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of
Transportation (DOT), 49 CFR Part 26. The BCC has received Federal financial assistance from
the Department of Transportation, and as a condition of receiving this assistance, the BCC has
signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the BCC to ensure that DBEs are defined in part 26, have an equal opportunity
to receive and participate in DOT—assisted contracts. It is also our policy:
1. To ensure nondiscrimination in the award and administration of DOT — assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for DOT-assisted
contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance with applicable
law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
permitted to participate as DBEs;
5. To help remove barriers to the participation of DBEs in DOT assisted contracts;
6. To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
Trinity Scott, Public Transit Manager has been delegated as the DBE Liaison Officer. In that
capacity, Ms. Scott is responsible for implementing all aspects of the DBE program.
Implementation of the DBE program is accorded the same priority as compliance with all other
legal obligations incurred by the BCC in its financial assistance agreements with the Department
of Transportation.
Ms. Scott has diss•minated this policy statement to the BCC and all of the components of our
organ', .t.on. W: have distributed this statement to DBE and non-DBE business communities
that p rfoI m wor for us on DOT-assisted contracts as an attachment to each contract.
BCC, Chair Date
Georgia A. Hiller, Esq.
•
irk '�
ATTEST i utiiciase�
DWIGHT E. BROCK, CLERK Approv r
A:test n ch la IP Page 17 of 36
ognaturt Nit*
Attachment 2
Organizational Chart
Reporting Relationship neorgia for DBE Matters
Leo Ochs
County Manager
Steve Carnell
Public Services Divison
Administrator
4; Michelle Arnold
Alternative
Transportation Modes
Director
•I
Trinity Scott
Public Transit
Manager
DBELO
! � 1
YousiCardeso Brandy Otero
Operations Analyst Associate Project
Manager
Page 18 of 36
Attachment 3
Fiscal Year(FY) 2011, 2012 & 2013 DBE Goal Calculation
Page 19 of 36
Collier Area Transit's Disadvantaged Business Enterprises
• Program FY 2011-2012-2013
DISADVANTAGED BUSINESS ENTERPRISE(DBE)PROGRAM GOAL SETTING
PROCESS FY 2011-2012-2013
The Collier County Board of County Commissioners (BCC) has established a
Disadvantaged Business Enterprise(DBE)program in accordance with regulations of the
U.S. Department of Transportation (DOT), 49 CFR Part 26. The BCC has received
Federal financial assistance from the Federal Transit Administration (FTA), and as a
condition of receiving this assistance,the BCC agrees to comply with 49 CFR Part 26.
It is the policy of the BCC to ensure that DBE's as defined in part 26, have an equal
opportunity to receive and participate in FTA-assisted contracts.
The BCC will not exclude any person from participation in,deny any person the benefits
of, or otherwise discriminate against anyone in connection with the award and
performance of any contract covered by 49 CFR part 26 on the basis of race,color,sex,or
• national origin.
In administering Its DBE program, the BCC will not,directly or through contractual or
other arrangements, use criteria or methods of administration that have the effect of
defeating or substantially impairing accomplishment of the objectives of the DBE program
with respect to individuals of a particular race,color,sex,or national origin.
The Goal setting process contained in this Attachment to Collier County's Disadvantaged
Business Enterprise Program outlines the adopted process to determine the relative
availability of DBE's to perform the types of contracts anticipated in FY 2011; 2012 and
2013.
The purpose of this process is to determine the percentage of all ready,willing and able
"Establishments"that are DBE'S and to establish a DBE Goal.
U.S. Department of Transportation (DOT), 49 CFR Part 26 establishes a Three Step
Process. Each step used by Collier County is outlined below.
•
Page 20 of 36
Step 1
. Collier County / Collier Area Transit has executed the Florida Unified Certification
Program Agreement. 49 CFR Part 26 Subpart E-Certification Procedures Section 26.81,
requires that all United States Department of Transportation (USDOT) Recipients
participate in a statewide Unified Certification Program. Collier County / Collier Area
Transit is committed to operate in full compliance with 49 CFR Part 26,Subpart E.
Collier County / Collier Area Transit will utilize certified D.B.E. vendors through the
Florida Unified Certification Program Agreement.
Collier County / Collier Area Transit expects to have contracting or subcontracting
possibilities in the following areas, paratransit services, motor vehicle parts, building
contractors and electrical contractors.
On March 19, 2010, Collier Area Transit staff utilized the Florida Department of
Transportation Equal Opportunity Office Disadvantaged Business Online Directory for
certified DBE vendors in Collier County and FDOT District One.
Staff identified 5 ready, willing and able certified DBE's (certified by the FDOT, Equal
Opportunity Office,in the Disadvantaged Business Enterprise Directory)as published as
transit certified for Collier County and FDOT District One as of March 19,2010.
Staff identified 162 ready,willing and able TOTAL establishments transit certified DBE's
. (certified by the FDOT, Equal Opportunity Office, in the Disadvantaged Business
Enterprise Directory)that currently provide service in our service area.
The process used to obtain the percent of DBE's to TOTAL establishments by NAICS code
and the potential contract percent is illustrated below.
Regional Certified by FDOT UCP Program DBE 5 -5.67'/o Weighted average
Total FDOT UCP Program DBE Potential Bidden 162
The percent of DBE establishments by NAICS codes available in the Collier County and
FDOT District One area is 5.84%. Collier Area Transit has 3 paratrsnsit subcontractors
that appear to qualify for FDOT UCP Transit Certification as a DBE Vendor. Each has
been provided repeated Information on becoming certified,and each continues to receive
such information.
•
Page 21 of 36
Attachment 4
Breakout of Estimated Race Neutral & Race Conscious Participation
Page 22 of 36
catERAREAIANSI
1t`
Collier Area Transit Disadvantaged Business Enterprise Program
Fiscal Year 2011/2012/2013 Review
April 9, 2010
- Name of Grantee:
Collier County/Collier Area Transit
Approximate number of un-obligated funds available for
contracting in Fiscal Year 2011-2012-2013:
Based on the Program of Projects submitted the last three
years and taking into consideration the future projects for
the next three years as outlined in the financially feasible
Transportation Development Plan (TOP) Collier Area Transit
is forecasting the submission of 5307 grant applications FY
2011, 2012 and 2013 as outlined below.
530! f ogsrarn-of Projects
FY FY FY
11 Item/AU 2010/2011 2011/2012 2012/2013
1%Enhancement $25,829 $27,679 $29,894
.
1%Security $25,629 $27,679 $29,894
!s r
10%ADA $256,291 $276,794 $298,938
Rolling stock Replacement $1,088,000 $1,132,900 $1,132,900
Preventive Maintenance $689,883 $825,412 $1,020,275
Operations k477,477, $477,477 $477,477
.•C Total Amount $2;582,909 $2.,767,942 $2,989,377_
Nit
Page 23 of 36
• ♦ Public notice has been published and copies of the notice,
as well as a copy of the affidavit of publication are included
in the grantee's submission.
Yes. Please find enclosed a copy of the published
Public Notice, and a copy of the affidavit of the
-Or publication.
♦ Public notice for Fiscal Year 2010/11; 2011/2012; 2012/2013
October 1, 2010 through September 30, 2013 and the
appropriate FTA Region is included in the notice.
Yes, please find closed copies of the published Public
Notice for Fiscal Years 2010/11; 2011/2012; 2012/2013.
♦ DBE notice was published in general circulation media
available, minority-focused media, and trade association
publications. Note: Using the grantee's website does not
meet the DOT DBE regulations requirement as outlined in 49
CFR Part 26.45 (g) (2).
Collier Area Transit published the public notice in the
Naples Daily News (general circulation media) and the
Spanish news paper Nuevos Ecos. Collier County has
limited availability on Creole focus media.
''' • Grantee's DBE goal submission includes information
regarding the grantee's consultation with minority and women organization, general contracting groups, and other
interested persons or groups and evidence that these
entities were provided an opportunity in the development of
the goal as outlined in 49 CFR Part 26.45 (g) (1).
a+`
Page 24 of 36
Collier Area Transit has paratransit subcontractors, the
majority of whom could be classified as Disadvantaged
Business Enterprise businesses. It is noted that none of
them are certified as such through the State of Florida.
° Collier Area Transit consults with these minorities
owned subcontractors, and provides Information on our
DBE program through flyer distribution at all of our
community outreach programs. These efforts are
utilized to contact business, and community
organizations concerning the availability contracting
opportunities with Collier Area Transit. Please find
enclosed samples flyers that are used In this effort as
well as the outreach distribution list and a copy of our
Power Point presentation.
♦ The proposed DBE goal is based on contracting
opportunities projected to take place in the upcoming federal
fiscal years 2010/11; 2011/2012; 2012/2013, (October 1,
2010 to September 30, 2013).
Yes.
♦ The amount of federal funds available for contracting has
been provided, broken out into categories of contracting, and
calculations have been verified for accuracy.
Yes.
V
• The goal is based on a two step process.
No. Please find enclosed Collier Area Transit's goal
setting process. Collier Area Transit uses a three step
process, Step Ill is Race/Gender-Neutral and
Race/Gender-Conscious Split methodology.
Page 25 of 36
�` ♦ In developing the Step II calculation, a disparity study was
used. If so, the study was current.
Step 2 of the Goal setting process is designed to adjust
the Step One base figure to make it as precise as
possible. All "relevant and reliable" data must be
gathered and considered during this step of the
• process. (Relevant and reliable data include past
V participation, evidence from "disparity" studies,
statistical disparities in the ability of DBE's to obtain
financing, etc., data on self employment, education and
training, and any other data that would help to better
measure the percentage of work that DBE's would be
likely to obtain in the absence of discrimination.) (Many
different types of studies have been referred to as
disparity studies. The term is broadly used in the
0' regulation to mean any type of study designed to
investigate the existence of discrimination in
contracting.) Staff is not aware of any disparity studies
pertaining to this area.
♦ The overall annual goal which results from the adjustment in
#7 above has been divided into race neutral and race
conscious split.
Race/Gender-Neutral and Race/Gender-Conscious Split
methodology.
Staff reviewed the "U.S. Department of Transportation
Office of Small and Disadvantaged Business Utilization"
' guidelines prior to preparing the DBE Goal. The
"V. guidelines for step 3 provide assistance in determining
what factors to consider in projecting the overall portion
of the goal that will be met through race/gender-neutral
means. With one exception, the examples are based on
past participation or experience. As in step 2, this is our
eighth plan. Therefore, in determining the race/gender-
Page 26 of 36
neutral and race/gender-conscious split, staff used the
available data below.
�' -- o
Race/Gender- 5.67/o
Neutral
Total DBE 6%
This data will be continually reviewed and updated
throughout the balance of FY 2010, and reviewed for FY
2011 D.B.E. goals.
♦ Is there a justification for the race neutral / race conscious
split?
v
Collier County's 2010/11; 2011/2012; 2012/2013 goal has
or
been based on Race/Gender Neutral.
♦ The grantee is a current(active) member of the state UCP.
Yes. Collier County's Board of County Commissioners
approved participation in the State of Florida UCP.
•
y
Collier Area Transit's Mission is to Identify and safely meet
:1 the transportation needs of Collier County, through a
courteous, reliable, cost-effective, and environmentally
sound team commitment.
4
y
Page 27 of 36
Attachment 5
DBE Program Goal Approval
Page 28 of 36
U.S. Department REGION IV 61 Forsyth Street,S.W
Alabama,Florida,Georgia, Suite 17T50
of Transportation Kentucky,Mississippi, Atlanta,GA 30303-8917
Federal Transit North Carolina,Puerto 404-562-3500
Administration Rico,South Carolina, 404-562-3505(fax)
Tennessee
Glama Carter
Public Transit Manager
Collier Area Transit(CAT)
2885 S.Horseshoe Drive
Naples,Florida 34104
20 October 2010
RE: DBE Program Goal Approval
Federal Transit Administration ID#1032
Dear Ms Carter,
Based upon our review,we find that all of the required elements are present and that that your
program meets the requirements of part 26. You are not required to submit regular updates to
your DBE program as long as you remain in compliance;you are required to notify FTA of any
significant changes to the program.
In assessing the program,we examined the overall goal submitted for FY 2010.
Your DBE goal information for the period of August 1,2010 through August 1,2013is as
follows:
5.87% 5.67% 0%
FTA's review considered the overall goal as well as the description of the data and
methodology used in arriving at the overall goal, including the base figure calculation and
evidence supporting the calculation;adjustments, if any,made to the base figure and the
evidence supporting the adjustments;a summary of the relevant evidence in your jurisdiction;
the projection of the proportion of your overall goal that you will meet through race neutral as
opposed to race conscious means and the basis of your projections;and the evidence of public
participation in setting your overall goal.
Page 29 of 36
After reviewing this information,we have determined that the goal setting methodology you
used is consistent with the requirements of 49 CFR§26.45 and that you have followed the
requirements for public participation in setting your overall goal consistent with 49 CFR
§26.45(g). Further,we have also reviewed your projection of the portion of your overall goal
that you expect to meet through race neutral and race conscious means. That projection is
subject to modification during the fiscal year as provided in 49 CFR§26.51.
Since an annual review of your goal is required,if you haven't already done so,please submit
an updated goal as soon as possible. As you are aware,you must submit a separate overall DBE
goal for programs funded by the Federal Highway Administration and the Federal Aviation
Administration.
If you have any questions or need assistance,please contact me at 404-865-5628 or contact me
via e-mail Frank.Billue@dot.gov.
4Icerely,
/► fp
At I isBi e
Regional Civil Rights Officer
Page 30 of 36
Attachment 6
Collier Area Transit DBE Vendor Process & Forms
Page 31 of 36
DISADVANTAGED BUSINESS ENTERPRISE
FTA FUNDED PROJECTS/EXPENQITURES
• All DBE requirements will be provided to the vendor through the following means:
• Formal IFB
o Review federal DBE clause language is included in IFB package
• Bidders List submittal required to bid
• DBE Participation Statement required to bid
• Check DBE validity(after bidder selected)at
https://www3.dot.state.fl.us/EqualOpportunity0ffice/biznetimai
nmenu.asp.
• Print out Biz Net Profile for record.
o Review federal DBE clause language is included in contract
• Formal RFP
o Review federal DBE clause language is included in RFP package
o Review federal DBE clause language is included in contract
o Prior to work order/purchase order issued:
• Bidders List submittal required
• DBE Participation Statement required
• Check DBE validity at
https://www3.dot.state.fl.us/EqualOpportunityOffice/biznet/mai
• nmenu.asp.
• Print out BizNet Profile for record.
• Purchase Order(when no formal IFB or RFP is required)
o Prior to purchase order issued,forms to be attached to REQ:
• Bidders List submittal required
• DBE Participation Statement required from vendor
• Check DBE validity at
https://www3.dot.state.fLus/EqualOpportunity0ffice/biznet/mai
nmenu.asp.
• Print out BizNet Profile for record.
o Attach DBE clause language to purchase order
Vendor DBE Payment Reporting
o Subcontractor Payment Report required monthly from Prime if participation
o Reporting Requirement is in clause language but form and reporting is reiterated
through through NTP and/or precon,kickoff meeting,etc.
o Invoices submitted without Subcontractor Report concurrent to billing period
will be rejected by Project Manager
o Budget Analyst/Grant Coordinator will retain an additional copy of
Subcontractor report in separate file for preparation of biannual DBE reporting.
•
Page 32 of 36
E 1EE ST.ATEVENT
COWER COINiTY DEPARTMENT INFORMATION
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PRIME VENDOR/COINTRACTOIR INFORMATION
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Page 33 of 36
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION STS-04O-A2
BID OPPORTUNITY LIST FOR PROFESSIONAL CONSULTANT PROCUREMENT
SERVICES,AND COMMODITIES&CONTRACTUAL SERVICES 0.77
grime Contractor/Prime Consultant:
Address/Phone Number:
Procurement Number/Advertisement Number:
49 CFR Part 26.11 The list is intended to be a listing of all firms that are participating,or attempting to participate,on
DOT-assisted contracts.The list must Include all firms that bid on prime contracts,or bid or quote subcontracts and
supplies materials on DOT-assisted projects,including both OBEs and non-OBEs.For consulting companies this list must
include all subconsultants contacting you and expressing an interest in teaming with you on a specific DOT-assisted
project.Prime contractors and consultants must provide information for Numbers 1,2,3 and 4,and should provide any
Information they have available on Numbers 5,6,7,and 8 for themselves,and their subcontractors and subconsultants.
1. Federal Tax ID Number: 6. ❑DBE 8. Annual Gross Receipts
2. Firm Name: ❑Non-DBE
3. Phone: 0 Less than$1 million
4. Address: ❑Between$1-$5 million
❑Between$5-$10 million
7. ❑Subcontractor ❑Between$10-$15 million
❑
Subconsultant ❑More than$15 million
5. Year Firm Established:
1. Federal Tax ID Number: 6. ❑DBE 8. Annual Gross Receipts
2. Firm Name: ❑Non-DBE
3. Phone: ❑Less than$1 million
3. Address: ❑Between$1-$5 million
❑Between$5-$10 million
7. ❑Subcontractor ❑Between$10-$15 million
❑Subconsultant ❑More than$15 million
5. Year Firm Established:
1. Federal Tax ID Number: 6. ❑DBE 8. Annual Gross Receipts
2. Firm Name: ❑Non-DBE
3. Phone: ❑Less than$1 million
4. Address: ❑Between$1-$5 million
❑Between$5-$10 million
7. ❑Subcontractor ❑Between$10-$15 million
❑Subconsultant ❑More than$15 million
5. Year Firm Established:
1. Federal Tax ID Number: 6. ❑DBE 8. Annual Gross Receipts
2. Firm Name: ❑Non-DBE
3. Phone: ❑Less then$1 million
4. Address: ❑Between$1 -$5 million
❑Between$5-$10 million
7. ❑Subcontractor ❑Between$10-$15 million
❑Subconsultant ❑More than$15 million
5. Year Firm Established:
AS APPLICABLE,PLEASE SUBMIT THIS FORM WITH YOUR: BID SHEET(Invitation to Bid-ITB)
LETTERS OF RESPONSE(LOR)
PRICE PROPOSAL(Request for Proposal-RFP)
REPLY(Invitation to Negotiate-ITN)
Page 34 of 36
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 271030-10
• CONSTRUCTION CONTRACTORS EQUAL OPPORTUNITY OFFICE
BID OPPORTUNITY LIST
•
• Please complete and mail or fax to:
Equal Opportunity Office
605 Suwannee St.,MS 65
Tallahassee,FL 32399-0450
TELEPHONE: (850)414-4747
FAX: (850)414-4879
This information may also be Included in your bid or proposal package.
Prime Contractor/Consultant:
Address/Telephone Number:
Bid/Proposal Number:
Quote Submitted MM/YR:
49 CFR Part 28.11 requires the Florida Department of Transportation to develop and maintain a"bid opportunity list."The
list is intended to be a listing of all firms that are participating,or attempting to participate,on DOT-assisted contracts.The
list must include all firms that bid on prime contracts,or bid or quote subcontracts and materials supplies on DOT-assisted
projects,including both DBEs and non-DBEs.For consulting companies this list must include all subconsultants
contacting you and expressing an interest In teaming with you on a specific DOT assisted project.Prime contractors and
consultants must provide information for Nos.1,2,3 and 4 and should provide any Information they have available on
Numbers 5,6,7,and 8 for themselves,and their subcontractors and subconsultants.
•. Federal Tax ID Number: 6. ❑ DBE 8. Annual Gross Receipts
2. Firm Name: ❑ Non-DBE ❑ Less than$1 million
3. Phone: ❑ Between$1-$5 million
4. Address: ❑ Between$5-$10 million
7. ❑ Subcontractor ❑ Between$10-$15 million
❑ Subconsultant ❑ More than$15 million
5. Year Firm Established:
1. Federal Tax ID Number: 8. ❑ DBE 8. Annual Gross Receipts
2. Firm Name: C7 Non-DBE ❑ Less than$1 million
❑ Between$1-$5 million
4. Address: ❑ Between$5-$10 million
7. ❑ Subcontractor ❑ Between$10-$15 million
❑ Subconsultant ❑ More than$15 million
5. Year Firm Established:
1. Federal Tax ID Number: 6. ❑ DBE 8. Annual Gross Receipts
2. Firm Name: ❑ Non-DBE ❑ Less than$1 million
3. Phone: ❑ Between$1-$5 million
4. Address: ❑ Between$5-$10 million
7. ❑ Subcontractor ❑ Between$10-$15 million
• ❑ Subconsultant ❑ More than$15 million
5. Year Firm Established:
Page 35 of 36
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