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Home My WebLink About2018-02-20 Meeting AgendaCommission Meeting Agenda Commission Chamber 2/20/2018 2:00 PM INVOCATION: Reverend Jerry O'Neal, Senior Pastor, First Southern Methodist Church. PLEDGE OF ALLEGIANCE TO THE FLAG OF THE UNITED STATES OF AMERICA. RECOGNITION(S) Employee of the Month A. Congratulations! Ms. Leadra Collins, Public Education Specialist Augusta Utilities Department, Augusta's February 2018 Employee of the Month. Attachments Five (5) minute time limit per delegation DELEGATIONS B.Ms. Grace Brady regard the construction of a traffic round-a-bout on Story Mill/Fulcher and Henderson Roads. Attachments C.Mr. Michael Farrow regarding the benefits of the Richmond County Wellness Center. Attachments CONSENT AGENDA (Items 1-28) PLANNING 1. SA-53 – A request for concurrence with the Augusta Georgia Planning Commission to approve a petition to amend the Land Subdivision Regulations for Augusta Georgia by amending Section 106– Definitions & Section 405 – Flagpole Lots. 1st Reading. (Approved by the Attachments Commission February 6, 2018 - second reading) 2. Z-18-08 – A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by David A. Smith Jr. requesting a change of zoning from Zone A (Agriculture) to Zone LI (Light Industry) to establish an equipment storage area affecting property containing approximately 7.2 acres and located at 3960 Mike Padgett Highway. Tax Map 184-0-080-00-0 CONTINUED from January meeting. DISTRICT 1 1. The home on the property shall not be used for residential purposes. 2. Development permitting shall be contingent upon submission and approval of site plans indicating compliance with all applicable development regulations, including, but not limited to, zoning, engineering, environmental, and landscaping. 3. Any buildings constructed shall be for dry storage only, and no restroom facilities may be constructed within the buildings. 4. An opaque fence 6-feet in height shall be installed around the perimeter of the storage area to screen its contents from the highway and adjoining parcels. 5. A 50- foot undisturbed buffer shall be maintained along the side of the parcel that adjoins agricultural-zoned land. 6. Landscaped buffering meeting the requirements of the Augusta Tree Ordinance shall be installed along the side of the parcel that adjoins agricultural-zoned land. 7. Any future curb cuts must be approved by the Traffic Engineering Department or the Georgia Department of Transportation. Attachments 3. Z-18-10 - A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by Johnson Laschober and Associates, on behalf of George Locke McKnight, requesting a change of zoning from Zone R-1C (One-family Residential) to Zone R-3B (Multiple-family Residential) affecting property containing 2.39 acres and known as 2083 Heckle Street and 2026 Warren Street. Tax Map 035-3-238-00-0 and Tax Map 035-3- 216-00-0. CONTINUED from January meeting. DISTRICT 3 1. The development shall not exceed 43 units (23 -2 bedroom and 20 – 1 bedroom), and overall density of 17.2 units/acre, in accordance with the submitted conceptual plan. 2. The applicant shall conduct a traffic study to determine whether road improvements will be required. 3. All required parking shall be provided off-street, an additional 0.25 spaces per unit shall be provided as guest parking. Parking shall be enclosed in a fence screened with landscaping in accordance with the requirements of the Tree Ordinance. 4. The developer shall coordinate with Traffic Engineering to explore the feasibility of a designated multi- use path along Heckle Street extending to the Walton Way commercial Attachments corridor. 5. Facades of existing warehouse buildings shall be preserved to maintain aesthetic cohesion. New building facades shall be designed in a manner that is complimentary to the existing architectural style. 6. Sidewalks shall be installed on the subject parcel. 7. A lighting plan shall be included with the development plans. All exterior lighting shall be downcast and/or directed away from adjoining residences. 8. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 9. Detention pond shall be underground. 4. Z-18-11 –A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by COEL Development Co. Inc, requesting a rezoning requesting a change of zoning from Zone A (Agriculture) and Zone R-MH (Manufactured Home Residential) to Zone R-1 (One-family Residential) affecting property containing 89.46 acres and known as 2111 Powell Road. Tax Map 064-0-154-00-0 DISTRICT 3 1. A 20-foot buffer of double evergreen trees and a 6-foot solid board fence must be installed on the rear property line of lots 84 through 106; adjacent to Tax Parcel 064-0- 004-01-0. The tree buffer shall be maintained by the Homeowners Association for Haynes Station. The fence shall be maintained by each property owner. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 4. The development plan shall not exceed 2.75 lots/acre density indicated on the conceptual site plan dated September 12, 2017.5. Development shall not be permitted in wetlands or flood plains.6. Sidewalks shall be provided throughout the development. Attachments 5. Z-18-12 – A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by COEL Development Co. Inc. requesting a Special Exception to allow detached dwellings developed in accordance with Section 13 provided that the density does not exceed three (3) units per acre per Section 8-2 (a) of the Comprehensive Zoning Ordinance for Augusta-Richmond County affecting property containing 89.46 acres and known as 2111 Powell Road. Tax Map 064-0-154-00-0 DISTRICT 3 1. A 20-foot buffer of double evergreen trees and a 6-foot solid board fence must be installed on the rear property line of lots 84 through 106; adjacent to Tax Parcel 064-0-004-01-0. The tree buffer shall be maintained by the Homeowners Association for Haynes Station. The fence shall be maintained by each property owner. The Concept Plan reviewed is Attachments considered for illustrative purposes of the present zoning action only, and does not meet development plan submission criteria. 3. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 4. The development plan shall not exceed 2.75 lots/acre density indicated on the conceptual site plan dated September 12, 2017. 5. Development shall not be permitted in wetlands or flood plains. 6. Sidewalks shall be provided throughout the development. 6. ZA-R-250 – A request for concurrence with the Augusta Georgia Planning Commission to approve a petition to amend the Comprehensive Zoning Ordinance for Augusta Georgia by amending Section 2 (Definitions), Section 7 (A-Agriculture) and Section 14 (R- MH-Manufactured Home Residential) by adding flagpole lots as permitted uses and to prohibit flagpole lots in all other residential zoning classifications. 1st Reading (Approved by the Commission February 6, 2018 - second reading) Attachments PUBLIC SERVICES 7.Motion to approve New Location: A.N. 18-03: request by James Edward Miller for a retail package Beer & Wine License to be used in connection with Circle K Store #203271 located at 3947 Harper Franklin Blvd. District 3. Super District 10. (Approved by Public Services Committee February 13, 2018) Attachments 8.Motion to approve New Ownership Application: A.N. 18-04: request by Sumit K. Patel for a retail package Beer & Wine License to be used in connection with VK Foodmart, LLC located at 2940 Inwood Drive. (District 5 - Super District 9) (Approved by Public Services Committee February 13, 2018) Attachments 9.Motion to approve New Ownership Application: A.N. 18-05: request by Amelia D. Legutki for a retail package Beer & Wine License to be used in connection with Walgreen d/b/a Riteaid #11831 located at 2501 Tobacco Rd. District 4. Super District 9. (Approved by Public Services Committee February 13, 2018) Attachments 10.Motion to approve New Ownership Application: A.N. 18-06: request by Amelia D. Legutki for a retail package Beer & Wine License for Walgreen d/b/a Riteaid #11834 located at 2803 Wrightsboro Rd. Suite 17. District 3. Super District 10. (Approved by Public Services Committee February 13, 2018) Attachments 11.Motion to approve New Ownership Application: A.N. 18-07: request by Amelia D. Legutki for a retail package Beer & Wine License to be used in connection with Walgreen d/b/a Riteaid #11832 located at 1503 Walton Way. District 1. Super district 9.(Approved by Public Services Committee February 13, 2018) Attachments 12.Motion to approve New Ownership Application: A.N. 18-08: request by Amelia D. Legutki for a retail package Beer & Wine License to used in connection with Walgreen d/b/a Riteaid #11836 located at 3650 Wheeler Rd. District 3. Super District 10.(Approved by Public Services Committee February 13, 2018) Attachments 13.Motion to approve award of RFP 17-278, Dyess Park Improvement Design Services, to POND & Co. for engineering and design professional services for $69,650. (Approved by Public Services Committee February 13, 2018) Attachments 14.Motion to approve award of RFP 17-277, Fleming Park Improvement Design Services, to Johnson, Laschober & Associates, P.C. for engineering and design professional services for $98,040. (Approved by Public Services Committee February 13, 2018) Attachments 15.Motion to approve award of RFP 17-276, Jamestown Park Improvement Design Services, to W. K. Dickson & Co. for engineering and design professional services for $42,000. (Approved by Public Services Committee February 13, 2018) Attachments 16.Motion to approve award of RFP 17-279, Lake Olmstead Park Improvement Design Services, to 2 KM Architects, Inc. for engineering and design professional services for $145,000. (Approved by Public Services Committee February 13, 2018) Attachments 17.Motion to approve award of RFP 17-298, Lombard Mill Pond Preserve Trail Improvement Design Services to POND & Co. for engineering and design professional services for $45,580. (Approved by Public Services Committee February 13, 2018) Attachments ADMINISTRATIVE SERVICES 18.Motion to adopt the 2018 Augusta, Georgia Disadvantaged Business Enterprise (DBE) Policy Statement and Program for USDOT Federal Transit Administration (FTA) funded projects. (Approved by Administrative Services Committee February 13, 2018) Attachments 19.Motion to approve merging two part-time positions to create one full- time Communication Specialist Position. (Approved by Administrative Services Committee February 13, 2018) Attachments 20.Motion to approve HCD to publishing the advertisement for a 15-day Public Comment per the Citizen Participation Plan and submit the 2017 Consolidated Annual Performance and Evaluation Report (CAPER) report to HUD thereafter once comments are received with no return to Commission. (Approved by Administrative Services Committee February 13, 2018) Attachments 21.Motion to approve tasking the Administrator with reviewing the criteria for the career ladders that the General Counsel presented and bring back a recommendation whether that criteria needs to be adjusted. (Approved by Administrative Services Committee February 13, 2018) Attachments FINANCE 22.Motion to approve Augusta Commercial Property Insurance coverage for 2018 offered through Affiliated FM, current carrier, for a premium of $399,565 for full blanket coverage and limited flood coverage in flood prone areas. (Approved by Finance Committee February 13, 2018) Attachments ENGINEERING SERVICES 23.Motion to accept proposal from Johnson, Laschober & Associates, P.C. to provide engineering services for the Utilities Department’s Fort Gordon Cyber CoE Campus Utilities. RFQ 13-124 (Approved by Engineering Services Committee February 13, 2018) Attachments 24.Motion to accept proposal from Johnson, Laschober & Associates, P.C. to provide engineering services for the Utilities Department’s Fort Gordon Block 10 Irrigation System project. RFQ 13-124 (Approved by Engineering Services Committee February 13, 2018) Attachments 25.Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-042-00-0) - 1928 Florida Road. (Approved by Engineering Services Committee February 13, 2018) Attachments 26.Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-043-00-0) - 1926 Florida Road.(Approved by Engineering Services Committee February 13, 2018) Attachments 27.Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-044-00-0) - 1922 Florida Road. (Approved by Engineering Services Committee February 13, 2018) Attachments PETITIONS AND COMMUNICATIONS 28.Motion to approve the minutes of the regular meeting of the Augusta Commission held February 6, 2018 and Special Called meeting held February 13, 2018. Attachments ****END CONSENT AGENDA**** AUGUSTA COMMISSION 2/20/2018 AUGUSTA COMMISSION REGULAR AGENDA 2/20/2018 Upcoming Meetings www.augustaga.gov (Items 29-31) ADMINISTRATIVE SERVICES 29.Motion to approve amendment to Probation Services Order to adjust the experience categories for the Chief Probation Officer.(No recommendation from Administrative Services Committee February 13, 2018; and provide additional information relative to the amendment) Attachments ENGINEERING SERVICES 30.Motion to award contract to CH2M Hill for RFP Item #17-207 Strategic Asset Management Planning. (No recommendation from Engineering Services Committee February 13, 2018) Attachments LEGAL MEETING A. Pending and Potential Litigation. B. Real Estate. C. Personnel. 31.Motion to approve execution by the Mayor of the affidavit of compliance with Georgia's Open Meeting Act. Commission Meeting Agenda 2/20/2018 2:00 PM Invocation Department: Department: Caption:Reverend Jerry O'Neal, Senior Pastor, First Southern Methodist Church. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Employee of the Month Department: Department: Caption: Congratulations! Ms. Leadra Collins, Public Education Specialist Augusta Utilities Department, Augusta's February 2018 Employee of the Month. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo February 14, 2018 Leadra Collins has been a Public Education Specialist with the Utilities Department since January 2016. She possesses excellent project management and communication skills which are demonstrated in her commitment to the city of Augusta. She exhibits a professional and humble demeanor. She is always willing to help others, look for ways to collaborate with other departments and with pride, care and concern, consistently fulfills department obligations in a timely manner. Leadra is a hard-working, team player who provides valuable insight and expertise to our department. This is a well-deserved honor. Not only does she understand the departmental missions and visions, but also the personal role she plays in helping to achieve those goals. Through her accurate and informed assessments, Leadra streamlines day-to-day operations by providing high-quality services at the lowest possible cost to the department for both in house and contracted services. One of her many noteworthy skills is the ability to ensure the public has accurate and accessible information. Not only is she is committed to educating and informing the citizens of Augusta but is equally dedicated to achieving positive results for the programs and initiatives of the City as well. Leadra is an engaged individual. She goes the extra mile without clockwatching, works with enthusiasm and performs effectively and efficiently to ensure success. People are and will always be our greatest asset and Leadra’s stellar contributions are certainly one of those assets contributing to the success of our entire organization. Please join us in applauding and recognizing Leadra Collins as the February 2018, City of Augusta Employee of the Month. Commission Meeting Agenda 2/20/2018 2:00 PM Grace Brady Department: Department: Caption:Ms. Grace Brady regard the construction of a traffic round-a-bout on Story Mill/Fulcher and Henderson Roads. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo AGENDA ITEM REQUEST FORM commission meetings: First and third ruesdays of each month - 2:00 p.m. committee meetings: second and last Tuesdays of each month - l:00 p.m. commission)committee: (Please check one and insert meeting date) ,/t / Commission Date of Meeting , lrDl \ g Public Safety Committee Date of Meeting T--f- Public Services Committee Date of Meeting Adminishative Services Committee Date of Meeting Engineering Services Committee Date of Meeting Finance Committee Date of Meeting contact Information for IndividuauPresenter Making the Request: Name: Address: Telephone Number: Fax Number: '/aL-23t-'o795 E-Mail Address: Caption/Topic of Discussion to be placed on the Agenda: /"rl Ms. Lena J. Bonner Clerk of Commission Suite 220 Municipal Building 535 Telfair Street Augusta, GA 30901 Telephone Number: 7 06-821-1820 Fax Number: 706-821-1838 E-Mail Address: nmorawski@augustaga.gov Requests may be faxed, e-mailed or delivered in person and must be received in the Clerk,s Office no later than 5:00 p.m. on the Wednesday preceding the Commission meeting and 5:00 p.m. on the Tuesday preceding the Committee meeting of the following week. A five- minute time limit will be allowed for presentations. Please send this request form to the following address: Commission Meeting Agenda 2/20/2018 2:00 PM Michael Farrow Department: Department: Caption:Mr. Michael Farrow regarding the benefits of the Richmond County Wellness Center. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo AGENDA ITEM REQUEST FORM commission meetings: First and third ruesdays of each month - 2:00 p.m. committee meetings: second and last Tuesdays of each month - l:00 p.m. commission/committee: (Please check one and insert meeting date) // Commission DateofMe"ting 2fe/ /tt Date of Meeting Date of Meeting Date of Meeting Date of Meeting Date of Meeting Public Safety Committee Public Services Committee Administrative Services Committee Engineering Services Committee Finance Committee Contact Information for Individual/Presenter Making the Request: Name: Address: Telephone Number: Fax Number: E-Mail Address: Caption/Topic of Discussion to be placed on the Agenda: Please send this request form to Ms. Lena J. Bonner Clerk of Commission Suite 220 Municipal Building 535 Telfair Street Augusta, GA 30901 the following address: Telephone Number: Fax Number: E-Mail Address: 706-821-1820 706-821-1838 nmorawski@augustaga.gov Requests may be faxed, e-mailed or delivered in person and Office no later than 9:00 a.m. on the Thursday preceding meeting of the following week. A five-minute time limit wilr must be received in the Clerk's the Commission or Committee be allowed for presentations. Commission Meeting Agenda 2/20/2018 2:00 PM SA-53 Department:Planning and Development Department:Planning and Development Caption: SA-53 – A request for concurrence with the Augusta Georgia Planning Commission to approve a petition to amend the Land Subdivision Regulations for Augusta Georgia by amending Section 106– Definitions & Section 405 – Flagpole Lots. 1st Reading. (Approved by the Commission February 6, 2018 - second reading) Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo Ordinance SA-53 All changes in the Subdivision Regulation text are represented by strikethrough in red. All amendments to the text are in red. SA-53 ORDINANCE NO. A resolution by the Augusta, Georgia Planning Commission r@ommending that the Land Subdivision Regulations be amended as follows: AN ORDINANCE TO AMEND SECTIONS 106 and 405 OF THE SUBDIVISION REGULATIONS OF AUGUSTA, GEORGIA, ADOPTED BY THE AUGUSTA COMMISSION ON MARCH 18, 1997 BY PROVIDING FOR ADDITIONAL INFORMATION TO BE INCLUDED ON THE SUBDTVISION PLAN: THE AUGUSTA COMMISSION HEREBY ORDAINS: SECTION I. That the Ordinance regulating the subdivision of land in Augusta, Georgia, is amended by adding to ARTICLE I - Section 106 - Definitions - Flagrole Lot Flagpole lots are so named because of the long, slender strips of land, resembling.,flagroles That extend from the tpically rectangular main sectioos of these Iots - or the "iug,, --out to the public or private right-of-way. Each "flagpole" typically provides legal accesJto a public or private road and the flagpoles generally share a corlmon driveway, insiae of an ingress- egress easement, for means of access to each lot. Easement, Flagrole Lot(s): Lots shall provide a minimum sixty (60) foot right-of-way and aminimum roadway or pavement width of trventy-four (24) feet, or meet the minor-residential street specifications outlined in the most recent edition ofAugusta Engineering Sheet and Road Design Technical Manual, whichever is greater. SECTION II. That the Ordinance regulating the subdivision of land in Augusta, Georgia, isamended by deleting the following from ARTICLE rv - Section 405-I: I. tots created after the effective date of this Ordinance shall have ingress and egress by means of a public street or highway, or a private street per a05(|(l), not tess than iS feet in width to isolated lots (flagrole lots), SECTION III. That lhe-Qydinance regulating the subdivision of land in Augusta, Georgia, isamended by adding the following to ARTICLE IV - Section 4os-l: I. Lots created after the effective date of this Ordinance shall have ingress and egress by means of a public street or highway, or a private street per a05(J)(l), not less thanthirty (30) feet in width to flagpole lots. 1. Flagpole lots may only be allowed on A (Agricultural) or R-MH @esidential -Manufactured Housing) zoned property SA.53 SECTION IV. That the Ordinance regulating the subdivision of land in Augusta, Georgia, is amended by deleting the following from ARTICLE IV - Section 405-J : l. No flagpole lots shall have a width of less than twenty-five (25) feet at any point. 6. If a Concept Plan provides for common driveways with all weather surface treafrnent, then upon approval of such plan, the subdivider shall construct all corlmon driveways per the plan before any Final Plats are submitted. 10. Ease,rnents providing @illmon driveways for flagpole lots shall be recorded on plats containing such lots. SECTION V. That the Ordinance regulating the subdivision of land in Augusta, Georgia, is amended by adding the following to ARTICLE IV - Section 405-I : 1. No flagpole lots shall have a width of less than thirty (30) fea at anypoint. 6. If a Concept Plan provides for @rlmon driveways with all-weather surface feafinent, then upon approval of such plan, the subdivider shall construct all corlmon driveways per the plan before any Final Plats are submitted for review and approval 10. Easements providing corlmon driveways for flagpole lots shall be delineated on the plat containing such flagpole lots. SECTION VI. All Ordinances or parts of Ordinances in conflict with this Ordinance are hereby repealed. Done in Open Meeting under the Common Seal thereof this day of 2018. APPROVED THIS day of ATTEST: 2018. MAYOR, AUGUSTA COMMISSION AUGUSTA, GEORGIA CLERK OF COMMISSION sA-53 First Reading: Second Reading: All changes in the Subdivision Regulation text are represented bystrikethrough in red. AII amendments to the text are in red. Section 106. Definitions. Words and phrases used in these Regulations shall have the meaningor meanings set forth as follows. Words or phrases notlerein defined shall have theiicustomary dictionary meanings where such meanings are not inconsistent with the contextand intent of these Regulations. When not inconsirt"rrt *itt the context and intent oftheseRegulations, words used in the singular shall include the plural and words used in thepresent tense shall include the future. The terms "shall" or'will'are mandatory the word "mayu is permissive. Containing the following: Engineer: Shall mean the duly designated Engineer of the Augusta Commission to performthe duties of engineer as herein specified, o. the Director of tt r Engineering DepartmentofAugusta, Georgia. Final Plat: A complete and exact subdivision plat prepared for official recording asrequired by these Regulations. Flagpole lots are so named because of the long, slender strips of land, resembling"flagPoles. That extend from the typically reciangular main sections of these lots * or the"flag" - out to the public or private right-of-way. Each "flagpole" typically provides legal access to a public or private road and the flagpoles generally share a "o*rron drivewaylinside of an ingress-egress easement, for means of access to each lot. Frontage: The distance for which property abuts one side of a street, road, highway, orother publit Yuy measured along the dividing line between the property and s-uch ioad,highwaS or other public way. Hardship (Variance): A hardship is a relaxation or variance of the terms of this Ordinancewhere such variance will not be conlrary to the public interest and where, owing toconditions peculiar to the property, a literal enforcement of the ordinance would result inunnecessary and undue hardship. Health Departrnent: The Richmond county Health Departrnent. Improvements: Those physical additions and changes to the land that may be necessary toproduce usable and desirable lots. Land or Territory Subdivisions: A parcel or tract of land, the dimensions of which areshown on a map or filed with the Clerk of Superior Court of Richmond County, Georgia,as of the date of the adoption of this Ordinancl. Lot, Comer: A lot which abuts on two or more streets andlor roads at their intersection, orupon a curved street, provided that the two sides of the lot, or the tangents to the curve ofthe street line at its starting points at or within the side lines of the lotJntersect to form aninterior angle of not more than 135 degrees. Lot Depth: The distance between front and rear lot lines. If two opposite sides of said lotare not parallel, the depth shall be desmed to be the mean distance betrveen the front andrear lot lines. Lot, Double Frontage: A continuous (through) lot ofthe same depth as the width of a blockcontaining two (2) tiers of lots and which is accessible from both of the streets upon whichit fronts. Lot, lnterior: A lot which is not a corner lot. Lot of Record: A parcel of land the dimensions of which are shown on a map on file withE_c]"* of superior court of Richmond county, Georgia, or in commo.r- .r59 by cityofficials, and which actually exists as so shown, or *| part of such parcel held in arecorded ownership separate from the ownership of the ,"-uirdo thereof. section 106' Definitions' words and phrases used in these Regulations shall have the meaningor meanings set forth as follows. words or phrases notlerein defined shall have theircustomary dictionary meanings Ylo such meanings are not inconsistent with the contextand intent of these Regulations. when not inconsisint with the context and intent oftheseRegulations, words used in the singular shall include the plural and words used in thepresent tense shall include the future. The terms "shall" or ,ivill, are mandatory, the word"may' is permissive. Containing the following: Engineer: shall mean the duly designated Engineer of the Augusta commission to performthe duties of engineer as herein specified, oith. Director of the Engineering DepartmentofAugusta, Georgia. Final Plat: A complete and exact subdivision plat prepared for official recording asrequired by these Regulations. Flagpole lots are so named because of the long, slender strips of land, resembling"flagpoles' That extend from the typically reciangular main sections of these lots - or the"fla8" - out to the public or private.lgt t-or-*uy. iu"r, "flagpole,'typi"uiry provides legalaccess to a public or private road and the flagloles generally share u fo*rnon driveway,inside of an ingress-egress easement, ror means of a-ccess to each lot. Frontage: The distance for which property abuts one side of a street, road, highway, orother publi" Yu, measured along tie ai"iiing line between the property and such road,highway, or other public way. Hardship (Variance): Ahardship is a relaxation or variance of the terms of this ordinancewhere such variance will not be *-ltrury to the public interest and where, owing toconditions peculiar 1o t" Pfoperty, a literal enforcement of the ordinance would result inunnecessary and undue hardship. Health Deparhnent: The Richmond county Health Departrnent. Improvements: Those physical additions and changes to the land that may be necessary toproduce usable and desirable lots. Land or Territory subdivisions: A parcel or tract of land, the dimensions of which areshown on a map or filed with the clerk of Supoio, co.rrt of Richmond county, Georgia,as of the date of the adoption of this Ordinancl. Lot' corner: A lot which abuts on two or more streets andlor roads at their intersection, orupon a curved street, provided that the two sides of the lot, or tfr" r*g""tr to the curve ofthe street line at its starting points at or within the side lines of the lot, intersect to form aninterior angle of not -or"iha, 135 degrees. H.Lots for other than residential use shall include sufficient splce for off-street parking, loadingand unloading, and circulation of traffic unless wairld by the Augusta planning &Development Departrnent. J. Lots created after the effective date of this ordinance shall have ingress and egress by meansof a public street or highway, or a private street per 405(J)( I ), not less than thirty (30) feet inwidth to flagpole lots, l. Flagpole lots may only be ailowed on A (Agricultural) or R-MH (Residential Manufactured Housing) zoned property Subdivision of land into one or more flagpole lots shall comply with the followingrequironents: l.No flagpole lots shall have a width of less than thirty (30) feet at any point. No portion of a flagrole lot less than sixty (60) feet in width shall be located withinone hundred (100) feet ofa street intersection, railroad crossing or stream crossing. Minimum lot size for flagpole lots, excluding portions of lots less than sixty (60) feetin width shall be twenty thousand (20,000) square feet. Flagpole lots, where "flagroles" are contiguous, shall have a corlmon drivewayconstructed by the owner to serve all lots for ingress and egress with cross easefirentsthereto extending from the sheet right-of-waylo a point where the lot widens to awidth of sixty (60) feet or greater. Cgmmon driveways serving two or more lots shall have all-weather surface treafrnentwhich is acceptable to the Director in consultation with the Engineering Departrnent,glven the soils, topographS and other site conditions. The all-weather surface ofcgTmon driveways shall at a minimum have a width of ten feet and a stable shouldereight feet in width on either side of the all-weather surface. The Executive Directormay request a certification from a professional engineer, who may be an employee of -Augusla' that a proposed corlmon driveway plan consisting oi surface i"rt "rr,,base, shoulders, and other design consideratiinr ir upproprut" for the partiJar siteconditions' In situations where extraordinary trarastrips can be demonstrated, therequirement for an all-weather surface may be waived by the Director in consultationwith the Engineering Departrnent. 1. 2. J. 4. 5. 40 7. If a Concept Plan provides for common driveways with all-weather surfbcetreatment, then upon approval of such plan, the subdivicler shall construct allcommon driveways per the plan before any Final Plats are subrnitted for reviewand approval If a Concept Plan provides for common driveways with all-weather surface treatment,then covenants and/or homeowner's association documents which at a minimumgovern maintenance of the common driveway shall be completed and executed afterapproval of said concept plan but before any Final plats are submitted. There shall be a minimum distance of 400 hundred (400) feet between co*mondriveways of flagpole lot subdivisions. common driveways for flagpole lot subdivisions shall serve no more than four (4)lots. 8. 9. 10. 10. 11. Easements providing common driveways for flagpole lots shall be delineated onthe plat containing such flagrole lots. Plats containing flagpole lots shall include the following owner,s acknowledgment: "Easements providing ingress and egress are the private property of the owner, whohas full arld peryePal responsibilit for their maintenince. The owner releasesAugusta, Georgia, from any and all .lui-r, damages, o, a"--as arising on accountof such easements.,' 41 Commission Meeting Agenda 2/20/2018 2:00 PM Z-18-08 Department:Planning and Development Department:Planning and Development Caption: Z-18-08 – A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by David A. Smith Jr. requesting a change of zoning from Zone A (Agriculture) to Zone LI (Light Industry) to establish an equipment storage area affecting property containing approximately 7.2 acres and located at 3960 Mike Padgett Highway. Tax Map 184-0-080-00-0 CONTINUED from January meeting. DISTRICT 1 1. The home on the property shall not be used for residential purposes. 2. Development permitting shall be contingent upon submission and approval of site plans indicating compliance with all applicable development regulations, including, but not limited to, zoning, engineering, environmental, and landscaping. 3. Any buildings constructed shall be for dry storage only, and no restroom facilities may be constructed within the buildings. 4. An opaque fence 6-feet in height shall be installed around the perimeter of the storage area to screen its contents from the highway and adjoining parcels. 5. A 50-foot undisturbed buffer shall be maintained along the side of the parcel that adjoins agricultural-zoned land. 6. Landscaped buffering meeting the requirements of the Augusta Tree Ordinance shall be installed along the side of the parcel that adjoins agricultural-zoned land. 7. Any future curb cuts must be approved by the Traffic Engineering Department or the Georgia Department of Transportation. Background: Analysis: Financial Impact: Alternatives:Cover Memo Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Z-18-10 Department:Planning and Development Department:Planning and Development Caption: Z-18-10 - A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by Johnson Laschober and Associates, on behalf of George Locke McKnight, requesting a change of zoning from Zone R-1C (One-family Residential) to Zone R-3B (Multiple- family Residential) affecting property containing 2.39 acres and known as 2083 Heckle Street and 2026 Warren Street. Tax Map 035-3-238-00-0 and Tax Map 035-3-216-00-0. CONTINUED from January meeting. DISTRICT 3 1. The development shall not exceed 43 units (23 -2 bedroom and 20 – 1 bedroom), and overall density of 17.2 units/acre, in accordance with the submitted conceptual plan. 2. The applicant shall conduct a traffic study to determine whether road improvements will be required. 3. All required parking shall be provided off- street, an additional 0.25 spaces per unit shall be provided as guest parking. Parking shall be enclosed in a fence screened with landscaping in accordance with the requirements of the Tree Ordinance. 4. The developer shall coordinate with Traffic Engineering to explore the feasibility of a designated multi-use path along Heckle Street extending to the Walton Way commercial corridor. 5. Facades of existing warehouse buildings shall be preserved to maintain aesthetic cohesion. New building facades shall be designed in a manner that is complimentary to the existing architectural style. 6. Sidewalks shall be installed on the subject parcel. 7. A lighting plan shall be included with the development plans. All exterior lighting shall be downcast and/or directed away from adjoining residences. 8. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 9. Detention pond shall be underground. Background: Cover Memo Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Z-18-11 Department:Planning and Development Department:Planning and Development Caption: Z-18-11 –A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by COEL Development Co. Inc, requesting a rezoning requesting a change of zoning from Zone A (Agriculture) and Zone R-MH (Manufactured Home Residential) to Zone R-1 (One-family Residential) affecting property containing 89.46 acres and known as 2111 Powell Road. Tax Map 064-0-154-00-0 DISTRICT 3 1. A 20-foot buffer of double evergreen trees and a 6-foot solid board fence must be installed on the rear property line of lots 84 through 106; adjacent to Tax Parcel 064-0- 004-01-0. The tree buffer shall be maintained by the Homeowners Association for Haynes Station. The fence shall be maintained by each property owner. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 4. The development plan shall not exceed 2.75 lots/acre density indicated on the conceptual site plan dated September 12, 2017.5. Development shall not be permitted in wetlands or flood plains.6. Sidewalks shall be provided throughout the development. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available Cover Memo in the Following Accounts: REVIEWED AND APPROVED BY: Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Z-18-12 Department:Planning and Development Department:Planning and Development Caption: Z-18-12 – A request for concurrence with the Augusta Georgia Planning Commission to approve with the conditions listed below a petition by COEL Development Co. Inc. requesting a Special Exception to allow detached dwellings developed in accordance with Section 13 provided that the density does not exceed three (3) units per acre per Section 8-2 (a) of the Comprehensive Zoning Ordinance for Augusta-Richmond County affecting property containing 89.46 acres and known as 2111 Powell Road. Tax Map 064-0-154-00-0 DISTRICT 3 1. A 20-foot buffer of double evergreen trees and a 6-foot solid board fence must be installed on the rear property line of lots 84 through 106; adjacent to Tax Parcel 064-0-004-01-0. The tree buffer shall be maintained by the Homeowners Association for Haynes Station. The fence shall be maintained by each property owner. The Concept Plan reviewed is considered for illustrative purposes of the present zoning action only, and does not meet development plan submission criteria. 3. A Development Plan meeting all applicable state and local codes and ordinances in effect at the time of plan submission must be submitted and approved prior to permit issuance. 4. The development plan shall not exceed 2.75 lots/acre density indicated on the conceptual site plan dated September 12, 2017. 5. Development shall not be permitted in wetlands or flood plains. 6. Sidewalks shall be provided throughout the development. Background: Analysis: Financial Impact: Alternatives:Cover Memo Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM ZA-R-250 Department:Planning and Development Department:Planning and Development Caption: ZA-R-250 – A request for concurrence with the Augusta Georgia Planning Commission to approve a petition to amend the Comprehensive Zoning Ordinance for Augusta Georgia by amending Section 2 (Definitions), Section 7 (A-Agriculture) and Section 14 (R-MH-Manufactured Home Residential) by adding flagpole lots as permitted uses and to prohibit flagpole lots in all other residential zoning classifications. 1st Reading (Approved by the Commission February 6, 2018 - second reading) Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo (" Commission Meeting Agenda 212012018 2:00 PM zA-R-250 Department: Department: Caption: Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: Planning and Development Planning and Development ZA-R-250 - A request for concurrence with the Augusta Georgia Planning Commission to approve a petition to amend the Comprehensive Zoning Ordinance for Augusta Georgia by amending Section 2 (Definitions), Section 7 (A-Agriculture) and Section 14 (R-MH-Manufactured Home Residential) by adding flagpole lots as permitted uses and to prohibit flagpole lots in all other residential zoning classifications. 1st Reading (Approved by the Commission February 61 2018 - second reading) REVIEWED AND APPROVED BY: Cover Memo Ordinance ZA-R- 250 AII additions to the Comprehensiv e Zoning Ordinance text are in red. (There are no deletions to the text) zA-R-250 ORDINANCE An Ordinance to amend the Comprehensive T".orfugOrdinance adopted by the Augusta, Georgia Commission effective Septerrber 16,1997 by amending the following: Amend the Comprehensive Zoong Ordinance for Augusta Georgia by amending Section 2 (Definitions), Section A (Agriculture) 7.one, Section R-l (One-family Residential) 7-one and Section 14 R-MH (Manufactured Home Residential) regarding fl agpole lots. THE AUGUSTA COMMISSION HEREBY ORDAINS: SECTION I. That the Comprehensive ZonrngOrdinance amend the following language in Section 2 (Definitions) by adding the following: Lof Flaglole shall mean a lot so named because of the long, slender strip of land, resembling a "flagpole" that extends from the public or private right-of-way up to the typically rectangular portion of the lot. These "flagpoles" generally share a corlmon driveway inside an ingress- egress easernent for means of access to each lot. Easemenf Flagpole Lot(s): Lots shall provide a minimum sixty (60) foot right-of-way and a minimum roadway or pavement width of twenty-fow Q$ feet, or meet the minor-residential street specifications outlined in the most recent edition of Augusta Engineering Street and Road Design Technical Manual, whichever is greater. SECTION II. That the Comprehensive ZontngOrdinance is now amended by adding the following language in Section 7 - A (Agriculture) Zone: 7-l 7.one A (Agriculturat) Districts O Flagpole lots, meeting the guidelines of the Land Subdivision Regulations. SECTION III. That the Comprehensive ZonngOrdinance is now amended by adding the following language in Section 8 - R-l (one-family Residential) zone: 8-1 Permitted Uses: Prohibited Uses: (a) Flagpole lots shall not be permitted. SECTION fV. That the Comprehensive ZorngOrdinance is now amended by adding the following language in Section 14 - R-MH (Manufactured Home Residential)Zone: zA-R-250 ::-":'r"* v. All ordinances or parts of ordinances in conflict with this Ordinance are herebyrepeateo. Duly adopted by the Augusta-Richmond county commission this _ day of,2019. MAYOR, AUGUSTA COMMISSION AUGUSTA, GEORGIA ATTEST: LENA BONNER, CLERK First Reading: Second Reading: Atl additions to the comprehensive zoningordinance text are in GENERAL DEFINITIONS SECTION 2 certain words and terms are defined as follows: words used in the present tense include the fufure;words in the singular number include the plural; *J*o.a. in the plural number include thesingular' The word "building" includes the word'"st;c;e,,; and the word ,,shall,, is mandatoryand not directory' The term i'Board of.zomngepp"uir;;rhall mean the Augusta, Georgia Boardof zorung Appeals' The term "Planning coimission" means the Augusiu, c*rgiu planningcommission as provided for in Title t and title 8 of the Augusta, Georgia county code by virtueof the Home Rule Provision of the constitution of the State of Georgia of lgg3. ..commission,, means the Augusta Commission. "Roads"_include streets, avenues, boulevards, roads, highways,lanes, circles, drives, freeways, viaducls, alleys, and otho public ways. ,,Subdivision,, means thedivision of a lot, tract, or parcel of land into two or -or" iotr, plats, sites, or other divisions of landfor the pu{pose, whether immediate or fufure, of sale o.oru,ritding development purposes otherthan agricultural' It includes re-subdivisign, and wtren appropriate to the content, relates to theprocess of subdividing or to territory subdivided Containing the following: "LoT' CORNER'' ''COR]\ER LoT'r shall mean a lot which abuts on two ormore streets andlorroads at their intersection or upon a curved street, provided that the two sides of the lot, or thetangents to the curve of the street line at its starting points at or within the side 1i"", "iih; l,oi,intersects to form an interior angle ofnot more than 135 degrees. "Lor nEPTrrr shall mean the distance between front and rear lot lines. If two (2) oppositesides of said lot are not parallel, the depth shall be deemed to be the mean distance between thefront and rear lot lines. *LoT FLAGPOLE" shall mean a lot so named because of the long, slender strip of land,resembling a "flagpole" that extends from the public o. fiuut" right-oflway up to the typically fl-1lg't* portion of the lot. These "flagpoles" generaliy share a "ornrnon driveway inside anlngress-egress easement for means of access to each lot. "LoT wrDTHfr shall mean the width of the lot measured at the setback line. I'LOT LINE, FRoNTf' shall mean any lot line contiguous to a street right-of-way. "LoT LrNE' REART' shall mean the rear lot line boundary opposite the lot line which theprincipal building fronts. The rear lot lin-e 9.f g ineeur* "i trii"gri* tot shall be for the purposeof this ordinance a line not less than ten (10) feet l;g,lyirg wholly within the lot, and parallel toand farthest distance from the front lot line. 7-1 AGRICULTURAL DISTRICT CLASSIFICATIONS SECTION 7 A (AGRTCULTURAL) ZONE 7'one A (Agriculture) Districts: The area of Zone xArr shall be all of Augusta exceptingtherefrom any and all areas that have been, or may hereafter be, specifica'lly covered byother zones created in accordance with the provisions of this ordinance and shown onMaps on file with the Augusta Planning and Development Deparhnent. No land, no bodyof water, and no structure shall be put into use and no building shall be hereafter erected,constucted, moved, reconstructed, or strucfurally altered foi any purpose in this zone(Zone'A') which is {e_giened, arranged or intended to be used tr occupied for anypurpose other than the following:(a) Single-family Residential buildings and structures developed under thestandards set forth in the R-l Zone (Section 8), except that the ma:rimumheight of fences, walls, or hedges in any r"q.rir"d front, side or rear yardsof an A- (Agriculture) Zone shall be limited to a height of eight (g) feet,except for corner yard areas discussed in Section 3-6 olthis Oriinance.(b) Agriculture, dairying and ranching.(c) Buildings. incidental to agricultur", aui.ying and ranching.(d) Building incidental to forestry.(e) Noncommercial boat piers, or slips, or boat houses for docking of privatewater craft.(D Manufactured homes on individual lots subject to the criteria listed in overall density of development to greenspace does not exceed .5 (h) Parking of vehicles related to agricultural and foreshy enterprises engagedin on the same or an adjoining property;(i) Parking of no more than two (2)-commercial vehicles to include freightcarrying vehicles, (truck trailers and tractors) in excess of one ton capac"ity and three or more axles on a lot which exceeds one acre in area.0) Flagpole lots, meeting the guidelines of the Land Subdivision Regulations. 7-2' The followinq may be approved by Special Exception in an A zone if conformance to thestandards included herein can be demonshated and if the benefits of the proposed use aregreater than any possible depreciating effects and damages to neighboring properties: (a) Recreational vehicle (RV) parks - Subject to restrictions at Section 2g-ERecreational Vehicle parks (b) Animal kennels, bgarding of animals, and animal grooming establishmentsprovided that the following conditions are met:(1) The minimum size of any tract of land proposed for use under thissection shall be two (2) asres. Section 27-7 of tlns Ordinance.(g) Conservation Subdivisions where the including portions of the fract devoted lots per acre. 7-l RESIDENTIAL DISTRICT CLASSIFICATION SECTION 8 R-l (ONE-FAMILY RESTDENTTAL) ZONE &1 Permitted Uses:(a) one family detached dwellings the gross floor area of which is not more than twotimesthe average gross floor ateu oi less than 60% of the average gross floor areaof existing homes located on lots in whole or in part withii 300 feet of theboundaries of +" subject lot. Gross floor area shall include the entire area locatedunder the roof of the principal structure, including finished attics, attachedgarages, and basements, and it shall be as presented in the online information ofthe Augusta Richmond county Tax Assessolr's office.(b) Fence, walls: A fence, lafficework screen or wall in a required side or rear yardshall not exceed six (6) feet in height. A fence, latticework screen or wall locatedin a required front yard shall be limited to four (4) feet in height. Any fence, wall,or landscape feature located at the corner ofintersecting"streets described inSection 3-6 of this Ordinance shall be subject to additional restrictions discussedin that subsection.(c) Yard Sales provided that no more than two (2),lasting no more than three (3)days per time, are conducted at a single address during aialendar year.(d) Accessory buildings and uses as described elsewhere in this section.(e) Conservation Subdivisions where the overall density of development includingportions ofthe tract devoted to greenspace does not eiceed 3 lots p", u"rr.(D Residential facilities for handicapped persons as defined at 42 U.S.C. 3602except for such uses that are addressed at26-l(g),26-lGD and 35-10 ofthisOrdinance. Prohibited Uses: (a) Flagpole lots shall not be permitted. 8'2 Special Exceptions: The following may be permitted in an R-l Zone by SpecialExceptions: (a) (b) Single-family attached and detached dwellings and condominiums developed inaccordance with Section 13 provided thatThe density of dwellings sliit notexceed three (3) units per acre. Public parking areas, when located and developed as in Section 4 andwhere thearea adjoins a use other than provided for in the R-l zone, provided suchtransitional use does not extend more than one hundred (r00)'feet from theboundary of the less restricted zone. Ponds, whether impoundment or excavations, in excess of the followingmaximum pond area to lot area ratios may be permitted by Special Exception: LOT AREA Less than 2 acres 2% 8-t (c) RESIDENTIAL DISTRICT CLASSIFICATIONS SECTION 14 R.MII (MAIIUFACTURED IIOME RESIDENTIAL) ZONE l4-l Permitted Uses:(a) Any use permitted in the R-l (One-family) Zone, subject to the restrictions andregulations of the R-l Zone.(b) Manrifactured Home Parks in accordance with the requirements of Section 27 ofthis Ordinance.(c) Manufactured Homes on individual lots in accordance with the provisions ofSection 27 of tltrs Ordinance.(d) Flagpole lots, meeting the guidelines of the Land Subdivision Regulations. 14-2 rreight: The height provisions of the R-l (one-family) zoneshall apply. 14-3 Area: Every lot in an R-MH (Manufactured Home Residential) Zone wherepublic sewer is to be wed shall be 15,000 square feet. Every tit tn an R-MH(Manufactured Home Residentiat) Zone whire oi trdiriduoi ,r*og, disposal system is to be used shall be developed in accordance with the prouirio^ iy tn" The minimum lot 6i*")areafor manufoctured home parks shall also be deniloped in accordance with theprovisions of the Groundwater Recharqe Area. 14-4 Lot Width: The minimum lot width in the R-MH zone is 100 feet. For ManufacturedHome Parks the requirements shall be as setforth in Section ZZLTtn* Ordinance. l4'5 Setbacks: Front, side, and rear yard setback requirements shall be the s.lme as for the R-l(One-family) Zone. 14'6 Lot_Coveqage: The lot coverage in the R-MH (Manufactured Home Residential) Zoneshall not be more than forty percent (40%). Amended September 2005 - Sections l+3 & l4-4 t4-I Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Location: A.N. 18-03: request by James Edward Miller for a retail package Beer & Wine License to be used in connection with Circle K Store #203271 located at 3947 Harper Franklin Blvd. District 3. Super District 10. (Approved by Public Services Committee February 13, 2018) Background:This is a New Location. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00. Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of the information during the Public Services Committee meeting. (The Sheriff's Office approved the application subject to additional information not contradicting applicants statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Finance. Law. Administrator. Cover Memo Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Ownership Application: A.N. 18- 04: request by Sumit K. Patel for a retail package Beer & Wine License to be used in connection with VK Foodmart, LLC located at 2940 Inwood Drive. (District 5 - Super District 9) (Approved by Public Services Committee February 13, 2018) Background:This is a New Ownership Application. Formerly in the name of Aratiben Patel. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00. Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of additional information during the Public Services Committee meeting. (The Sheriff’s Office approved the application subject to additional information not contradicting applicant’s statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Law Administrator Cover Memo Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Ownership Application: A.N. 18- 05: request by Amelia D. Legutki for a retail package Beer & Wine License to be used in connection with Walgreen d/b/a Riteaid #11831 located at 2501 Tobacco Rd. District 4. Super District 9. (Approved by Public Services Committee February 13, 2018) Background:This is a New Ownership Application. Formerly in the name of Christy Gray. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00. Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of additional information during the Public Services Committee meeting. (The Sheriff’s Office approved the application subject to additional information not contradicting applicant’s statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Law Cover Memo Administrator Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Ownership Application: A.N. 18-06: request by Amelia D. Legutki for a retail package Beer & Wine License for Walgreen d/b/a Riteaid #11834 located at 2803 Wrightsboro Rd. Suite 17. District 3. Super District 10. (Approved by Public Services Committee February 13, 2018) Background:This is a New Ownership Application. Formerly in the name of Christy Gray. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00 Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of additional information during the Public Services Committee meeting. (The Sheriff’s Office approved the application subject to additional information not contradicting applicant’s statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Law Cover Memo Administrator Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Ownership Application: A.N. 18-07: request by Amelia D. Legutki for a retail package Beer & Wine License to be used in connection with Walgreen d/b/a Riteaid #11832 located at 1503 Walton Way. District 1. Super district 9. (Approved by Public Services Committee February 13, 2018) Background:This is a New Ownership Application. Formerly in the name of Christy Gray. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00. Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of additional information during the Public Services Committee meeting. (The Sheriff’s Office approved the application subject to additional information not contradicting applicant’s statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Law Administrator Cover Memo Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Alcohol Application Department:Planning & Development Department:Planning & Development Caption:Motion to approve New Ownership Application: A.N. 18-08: request by Amelia D. Legutki for a retail package Beer & Wine License to used in connection with Walgreen d/b/a Riteaid #11836 located at 3650 Wheeler Rd. District 3. Super District 10.(Approved by Public Services Committee February 13, 2018) Background:This is a New Ownership Application. Formerly in the name of Christy Gray. Analysis:The applicant meets the requirements of the City of Augusta's Alcohol Ordinance. Financial Impact:The applicant will pay a fee of $1,330.00. Alternatives: Recommendation:Staff reserves its recommendation pending further discussion and/or dissemination of additional information during the Public Services Committee meeting. (The Sheriff’s Office approved the application subject to additional information not contradicting applicant’s statements.) Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Law Cover Memo Administrator Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Dyess Park Improvements Department:Recreation and Parks Department:Recreation and Parks Caption:Motion to approve award of RFP 17-278, Dyess Park Improvement Design Services, to POND & Co. for engineering and design professional services for $69,650. (Approved by Public Services Committee February 13, 2018) Background:Funding has been identified through SPLOST VII to conduct improvements at Dyess Community Park at the budgeted amount of $930,000. In working with staff, priorities have been developed as follows: Community center renovationsSwimming pool enhancements/spray ground/splash padSite enhancements along James Brown Blvd.Repurpose of existing tennis courts Analysis:The Augusta Commission approved a pre-qualified list of eleven (11) architectural and engineering firms to assist the Recreation and Parks Department with implementation of their capital improvement projects in August 2017. A Request for Proposal was solicited from the eleven firms with four (4) firms submitting proposals. Of the five firms submitting, POND & Co scored the highest in the evaluation process. Fee negotiations were conducted and both parties accepted an agreed upon price. Financial Impact:$69,650 Alternatives:1. To Approve the award of RFP 17-278 to POND & Co. for $69,650. 2. Move No Action thus delaying the improvements scheduled for Dyess Community Park. Recommendation:1. Move to Approve. Funds are Available in the Following Accounts: 329061110 Cover Memo REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo Request for Proposal Request for Proposals will be received at this office until Tuesday, November 14 2017 @ 3:00 p.m. for furnishing: RFP Item # 17-278 Dyess Park Improvements for the Augusta, GA – Recreation and Parks Department RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta, Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Wednesday, November 1, 2017 @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). A 100% performance bond and a 100% payment bond will be required for award. Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director Publish: OFFICIAL VENDORS Attachment "B"E-Verify Addendum 1 SAVE Form Original 7 Copies Fee Proposal 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Yes 312290 Yes Yes Yes Yes Yes Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Yes 175046 Yes Yes Yes Yes Yes Zel Engineers 435 Telfair Street Augusta, GA Yes 257101 Yes Yes Yes Yes Yes Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 Yes 53328 Yes Yes Yes Yes Yes RFP 17-278 Dyess Park Improvements for the Augusta, GA – Recreation and Parks Department RFP Date: Tuesday, November 21, 2017 @ 11:00 a.m. Total Number Specifications Mailed Out: 11 Total Number Specifications Download (Demandstar): NA Total Electronic Notifications (Demandstar):NA Pre Proposal Telephone Conference Attendees: NA Total packages submitted: 4 Total Non-Compliant: 0 Page 1 of 1 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Zel Engineers 435 Telfair Street Augusta, GA Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Zel Engineers 435 Telfair Street Augusta, GA Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 Evaluation Criteria Ranking Points 1. Completeness of Response • Package submitted by the deadline • Package is complete (includes requested information as required per this solicitation) • Attachment B is complete, signed and notarized N/A Pass/Fail PASS PASS PASS PASS PASS PASS PASS PASS 2. Qualifications & Experience (0-5)20 4.3 4.8 3.5 4.9 85.0 95.0 70.0 98.0 3. Organization & Approach (0-5)15 3.8 4.4 4.3 3.9 56.3 65.3 63.8 57.8 4. Scope of Services • Capability of developing cost effective and innovative design (5) ● Understanding of the project, approach to be taken your vision for the project (4) ● Specialized experience related to project scope (2) ● Relevant projects/information that may be helpful in the selection process (1) ● Include a Gantt chart with a proposed timeline for the design process from public outreach through design and finished construction documents (3) (0-5)15 3.0 4.5 3.8 3.5 45.0 67.5 56.3 52.5 5. Schedule of Work (0-5)10 3.8 4.2 3.3 3.8 37.5 41.5 32.5 37.5 0.0 0.0 0.0 0.0 Within Richmond County 5 10 5 5 5 50.0 50.0 50.0 0.0 Within CSRA 5 6 0.0 0.0 0.0 0.0 Within Georgia 5 4 5 0.0 0.0 0.0 20.0 Within SE United States (includes AL, TN, NC, SC, FL) 5 2 0.0 0.0 0.0 0.0  All Others 5 1 0.0 0.0 0.0 0.0 7. References (0-5)5 3.8 4.8 3.5 4.7 18.8 23.8 17.5 23.3 18.5 22.5 18.25 20.65 292.5 343.0 290.0 289.0 8. Presentation by Team (0-5)10 0 0 0 0 9. Q&A Response to Panel Questions (0-5)5 0 0 0 0 0 0 0 0 Lowest Fees 5 10 5 0 50 0 0 Second 5 6 5 0 0 30 0 Third 5 4 5 20 0 0 0 Forth 5 2 5 0 0 0 10 Fifth 5 1 0 0 0 0 Total Phase 2 5 5 5 5 20 50 30 10 312.5 393.0 320.0 299.0 Procurement Department Completion Date: 1/9/18 Internal Use Only Total Cumulative Score (Maximum point is 500) Evaluation Sheet for RFP 17-278 Dyess Park Improvements for the Augusta, GA – Recreation and Parks Department Evaluation Meeting: Thursday, December 14, 2017 @ 4:00 p.m. 10. Cost/Fee Proposal Consideration (only choose 1 line according to dollar value of the proposal in relation to all fee proposals - enter the point value for the one line only) Vendors Phase 2 (Option - Numbers 8-9) Procurement DepartmentRepresentative:_____________________________________________ Evaluator: Cumulative Date: 1/9/18 Total (Total Possible Score 750) Ranking of 0-5 (Enter a number value between 0 and 5) 6. Proximity to Area (only choose 1 line according to location of the company - enter the ranking value for the one line only) Weighted Scores Phase 1 Total - (Total Maximum Ranking 25 - Maximum Weighted Total Possible 375) Phase 1 Scale 0 (Low) to 5 (High) 2KM Architects Inc. 529 Greene Street Augusta, GA 30901 Cranston Engineering Group 452 Ellis Street Augusta, GA 30901 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 WK Dickson 1450 Greene Street, Suite 225 Augusta, GA 30901 Zimmerman, Evans, and Leopold, Inc. 435 Telfair Street Augusta, GA 30901 Alta Planning and Design 111 E. Chapel Hill Street, Suite 100 Durham, NC 27701 EMC Engineering Services 4210 Columbia Road, Suite 16-A Martinez, GA 30907 Moreland Altobelli Associates 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Vaughn & Melton Consulting Engineers 300 Chastain Center Blvd, Suite 325 Kennesaw, GA 30144 Wood + Partners Inc. 7 Lafayette Place Hilton Head Island, SC 29926 RFP Item #17-276 Jamestown Park Improvements For Recreation & Parks Department Mailed Out 10/11/17 RFP Item #17-247 Jamestown Park Improvements For Recreation & Parks Department RFP Due: TUE. 11/7/17@ 11:00 A.M. Glenn Parker Recreation & Parks Department Kellie Irving Compliance Department Ron Houck Recreation & Parks Department Commission Meeting Agenda 2/20/2018 2:00 PM Fleming Park Improvements Department:Recreation and Parks Department:Recreation and Parks Caption:Motion to approve award of RFP 17-277, Fleming Park Improvement Design Services, to Johnson, Laschober & Associates, P.C. for engineering and design professional services for $98,040. (Approved by Public Services Committee February 13, 2018) Background:Funding has been identified through SPLOST VII to conduct improvements at Fleming Community Park at the budgeted amount of $980,000. In working with staff, priorities have been developed as follows: Community center improvementsSite improvementsSwimming pool enhancements to include a new spray ground/splash padRenovations of the sports complex scoring tower Analysis:engineering firms to assist the Recreation and Parks Department with implementation of their capital improvement projects in August 2017. A Request for Proposal was solicited from the eleven firms with four (4) firms submitting proposals. Of the five firms submitting, Johnson, Laschober & Associates, P.C. scored the highest in the evaluation process. Fee negotiations were conducted and both parties accepted an agreed upon price. Financial Impact:$98,040 Alternatives:1. To Approve the award of RFP 17-277 to Johnson, Laschober & Associates, P.C. for $98,040. 2. Move No Action thus delaying the improvements scheduled for Fleming Community Park. Recommendation:1. Move to Approve. Funds are Available in the Following 329061110 Cover Memo Accounts: REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo Request for Proposal Request for Proposals will be received at this office until Tuesday, November 21, 2017 @ 11:00 a.m. for furnishing: RFP Item # 17-277 Fleming Park Improvements for the Augusta, GA – Recreation and Parks Department RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta, Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Wednesday, November 8, 2017 @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director Publish: OFFICIAL VENDORS Attachment "B"E-Verify SAVE Form Original 7 Copies Fee Proposal Johnson, Laschober & Associates, P.C. 1296 Broad Street Augusta, GA 30901 Yes 226309 Yes Yes Yes Yes 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Yes 312290 Yes Yes Yes Yes Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Yes 175046 Yes Yes Yes Yes Moreland Altobelli Associates, Inc. 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Yes 53328 Yes Yes Yes Yes RFP 17-277 Flemming Park Improvements for the Augusta, GA – Recreation and Parks Department RFP Date: Tuesday, November 21, 2017 @ 11:00 a.m. Total Number Specifications Mailed Out: 11 Total Number Specifications Download (Demandstar): NA Total Electronic Notifications (Demandstar):NA Pre Proposal Telephone Conference Attendees: NA Total packages submitted:4 Total Noncompliant: 0 Page 1 of 1 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Moreland Altobelli Associates, Inc. 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Moreland Altobelli Associates, Inc. 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Evaluation Criteria Ranking Points 1. Completeness of Response • Package submitted by the deadline • Package is complete (includes requested information as required per this solicitation) • Attachment B is complete, signed and notarized N/A Pass/Fail PASS PASS PASS PASS PASS PASS PASS PASS 2. Qualifications & Experience (0-5)20 4.9 3.7 4.5 4.9 97.0 73.0 90.0 97.0 3. Organization & Approach (0-5)15 4.7 3.2 4.3 4.4 69.8 48.0 63.8 65.3 4. Scope of Services • Capability of developing cost effective and innovative design (5) ● Understanding of the project, approach to be taken your vision for the project (4) ● Specialized experience related to project scope (2) ● Relevant projects/information that may be helpful in the selection process (1) ● Include a Gantt chart with a proposed timeline for the design process from public outreach through design and finished construction documents (3) (0-5)15.0 4.9 3.0 3.5 3.0 72.8 45.0 52.5 45.0 5. Schedule of Work (0-5)10.0 4.0 3.3 4.2 3.3 40.0 32.5 41.5 32.5 0.0 0.0 0.0 0.0 Within Richmond County 5 10.0 5.0 5.0 5.0 0.0 50.0 50.0 50.0 0.0 Within CSRA 5 6.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Within Georgia 5 4.0 0.0 0.0 0.0 5.0 0.0 0.0 0.0 20.0 Within SE United States (includes AL, TN, NC, SC, FL) 5 2.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0  All Others 5 1.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 7. References (0-5)5.0 4.5 3.3 4.3 4.7 22.5 16.3 21.3 23.3 22.9 16.4 20.7 20.1 352.0 264.8 269.0 263.0 8. Presentation by Team (0-5)10 0 0 0 0 9. Q&A Response to Panel Questions (0-5)5 0 0 0 0 0 0 0 0 Lowest Fees 5 10 5 0 0 50 0 Second 5 6 5 30 0 0 0 Third 5 4 5 0 20 0 0 Forth 5 2 5 0 0 0 10 Fifth 5 1 0 0 0 0 Total Phase 2 5 5 5 5 30 20 50 10 382.0 284.8 319.0 273.0 Evaluation Sheet for RFP 17-277 Flemming Park Improvements for the Augusta, GA – Recreation and Parks Department Evaluation Meeting: Thursday, December 14, 2017 @ 3:00 p.m. 10. Cost/Fee Proposal Consideration (only choose 1 line according to dollar value of the proposal in relation to all fee proposals - enter the point value for the one line only) Vendors Phase 2 (Option - Numbers 8-9) Procurement DepartmentRepresentative:___________Nancy Williams__________________________________ Evaluator: Cumulative Date: 1/9/18 Total (Total Possible Score 750) Ranking of 0-5 (Enter a number value between 0 and 5) 6. Proximity to Area (only choose 1 line according to location of the company - enter the ranking value for the one line only) Weighted Scores Phase 1 Total - (Total Maximum Ranking 25 - Maximum Weighted Total Possible 375) Phase 1 Scale 0 (Low) to 5 (High) Procurement Department Completion Date: 1/9/18 Internal Use Only Total Cumulative Score (Maximum point is 500) 2KM Architects Inc. 529 Greene Street Augusta, GA 30901 Cranston Engineering Group 452 Ellis Street Augusta, GA 30901 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 WK Dickson 1450 Greene Street, Suite 225 Augusta, GA 30901 Zimmerman, Evans, and Leopold, Inc. 435 Telfair Street Augusta, GA 30901 Alta Planning and Design 111 E. Chapel Hill Street, Suite 100 Durham, NC 27701 EMC Engineering Services 4210 Columbia Road, Suite 16-A Martinez, GA 30907 Moreland Altobelli Associates 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Vaughn & Melton Consulting Engineers 300 Chastain Center Blvd, Suite 325 Kennesaw, GA 30144 Wood + Partners Inc. 7 Lafayette Place Hilton Head Island, SC 29926 RFP Item #17-277 Fleming Park Improvement Project For Recreation & Parks Department Mailed Out 10/25/17 RFP Item #17-277 Fleming Park Improvement Project For Recreation & Parks Department RFP Due: TUE. 11/21/17@ 11:00 A.M. Glenn Parker Recreation & Parks Department Kellie Irving Compliance Department Ron Houck Recreation & Parks Department Commission Meeting Agenda 2/20/2018 2:00 PM Jamestown Park Improvements Department:Recreation aand Parks Department:Recreation aand Parks Caption:Motion to approve award of RFP 17-276, Jamestown Park Improvement Design Services, to W. K. Dickson & Co. for engineering and design professional services for $42,000. (Approved by Public Services Committee February 13, 2018) Background:Funding has been identified through SPLOST VII to conduct improvements at Jamestown Community Park at the budgeted amount of $400,000. In working with staff and the Sandridge Community Association, priorities have been developed as follows: Relocation of the basketball court into the park and construct two (2) courts. Installation of lighted, paved walking trail in the park. The trail would be on the perimeter of the proposed basketball courts and football field.The renovation/repurposing of the existing softball field into a regulation size football field with irrigation and lighting. Analysis:The Augusta Commission approved a pre-qualified list of eleven (11) architectural and engineering firms to assist the Recreation and Parks Department with implementation of their capital improvement projects in August 2017. A Request for Proposal was solicited from the eleven firms with five (5) firms submitting proposals. Of the five firms submitting, W. K. Dickson & Co scored the highest in the evaluation process. Fee negotiations were conducted and both parties accepted an agreed upon price. Financial Impact:$42,000 Alternatives:1. To Approve the award of RFP 17-276 to W. K. Dickson Co. for $42,000. 2. Move No Action thus delaying the improvements scheduled for Jamestown Community Park. Recommendation:1. Move to Approve.Cover Memo Funds are Available in the Following Accounts: 329061110 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Lake Olmstead Park Improvements Department:Recreation and Parks Department:Recreation and Parks Caption:Motion to approve award of RFP 17-279, Lake Olmstead Park Improvement Design Services, to 2 KM Architects, Inc. for engineering and design professional services for $145,000. (Approved by Public Services Committee February 13, 2018) Background:Funding has been identified through SPLOST VII to conduct improvements at Lake Olmstead Regional Park at the budgeted amount of $1,450,000. In working with staff, priorities have been developed as follows: Facility renovations and enhancements to the Casino and BBQ-Pit. Construct new picnic shelter and comfort station and associated site improvements. Park gazebo renovations. Playground Analysis:The Augusta Commission approved a pre-qualified list of eleven (11) architectural and engineering firms to assist the Recreation and Parks Department with implementation of their capital improvement projects in August 2017. A Request for Proposal was solicited from the eleven firms with three (3) firms submitting proposals. Of the three firms submitting, 2 KM Architects was the only firm that was deemed compliant. Scoring evaluation proceeded and fee negotiations were conducted as both parties accepted an agreed upon price for services. Financial Impact:$145,000 Alternatives:1. To Approve the award of RFP 17-279 to 2 KM Architects, Inc. for $145,000. 2. Move No Action thus delaying the improvements scheduled for Lake Olmstead Regional Community Park. Recommendation:1. Move to Approve. Funds are Available Cover Memo in the Following Accounts:329061110 REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo 1 OF 30 Revision Date: June 2006 STATE OF GEORGIA RICHMOND COUNTY MAJOR PROJECTS CONSULTANT SERVICES AGREEMENT BETWEEN AUGUSTA, GEORGIA (CITY) AND 2 KM Architects Inc. (CONSULTANT) CONSULTANT: 2 KM Architects, Inc. PROJECT: Lake Olmstead Park Renovations DATE EXECUTED: DATE COMPLETED: 2 OF 30 Revision Date: June 2006 STATE OF GEORGIA RICHMOND COUNTY MAJOR PROJECTS CONSULTANT SERVICES AGREEMENT BETWEEN AUGUSTA, GEORGIA (CITY) AND 2KM Architects Inc. (CONSULTANT) This Agreement is made and entered into this 2nd day of February, 2018 by and between AUGUSTA, Georgia, a political subdivision of the State of Georgia, hereinafter called the “CITY” and 2KM Architects Inc., a Corporation authorized to do business in Georgia, hereinafter called the "CONSULTANT." WHEREAS, the CITY desires to engage a qualified and experienced consulting firm to furnish professional services for the Lake Olmstead Park Improvement Project – Community Engagement, Cost Analysis, Design/Engineering, Preparation of Plans and Specifications and, Project Management. And, WHEREAS, the CONSULTANT has represented to the CITY that it is experienced and qualified to provide the services contained herein and the CITY has relied upon such representation. NOW, THEREFORE, in consideration of the mutual promises and covenant herein contained, it is agreed by and between the CITY and the CONSULTANT that: 3 OF 30 REVISION DATE: June 2011 GENERAL PROVISIONS CONSULTANT has agreed, in this Agreement with CITY to procure the services of licensed design professionals, to provide the engineering services required to provide professional engineering and design services for the Project in accordance with the requirements as outlined in and attached as Attachment A – Scope of Services and other relevant data defining the Project. CONSULTANT COORDINATION The CONSULTANT shall cooperate fully with all municipalities, local government officials, utility companies, and other consultants as directed by the CITY. CONSULTANT and all relevant parties agree to work together on the basis of trust, good faith and fair dealing, and shall take actions reasonably necessary to enable each other to perform this Agreement in a timely, efficient and economical manner. All parties agree to cooperate in a manner consistent with good design practice and will exercise the degree of skill and diligence normally employed by professional engineers or consultants practicing under similar conditions. CONSULTANT will re-perform any services not meeting this standard without additional compensation. AMENDMENTS TO AGREEMENT Every amendment to the Scope of Services shall become and is hereby made a part of this Agreement. Amendments must be fully executed by both the CONSULTANT and CITY to be valid. REDUCTION IN REQUIRED SERVICES If reductions in the required services are ordered by CITY, the credits shall be the amounts for such services as described in subsequently executed Amendments to this Agreement, and no claim for damages for anticipated profits shall accrue to the CONSULTANT. DATE CHANGES If in this Agreement specific period for rendering services are set forth or specific dates by which services are to be completed are provided and if such periods of time or dates are changed through no fault of CONSULTANT, the rates and amounts of compensation provided for herein shall be subject to equitable adjustment. AGREEMENT MODIFICATIONS This Agreement shall not be modified except by a duly executed Amendment hereto in writing under the hands and seals of both parties hereto. TIME OF COMPLETION The time of completion shall be as described in the schedule attached hereto as Attachment D - Schedule. 4 OF 30 REVISION DATE: June 2011 This Agreement shall terminate immediately and absolutely at such time as appropriated and otherwise obligated funds are no longer available to satisfy the obligations of the CONSULTANT on behalf of the CITY under this Agreement. However, CONSULTANT will be compensated for all work prior to termination of contract even if the CITY has obligated the funds to other projects. PROJECT PROGRESS CONSULTANT'S services and compensation under this Agreement have been agreed to in anticipation of the orderly and continuous progress of the Project through completion. LITIGATION Nothing in this Agreement shall be construed as obligating the CONSULTANT to appear, support, prepare, document, bring, defend or assist in litigation either undertaken or defended in behalf of the CITY except in consideration of compensation. All such services required or requested of CONSULTANT by the CITY except suits or claims between the parties to this Agreement will be reimbursed as additional services. BINDINGS It is further agreed that the CITY and CONSULTANT each binds itself and themselves, it’s or their successors, executors, administrators and assigns to the other party to this Agreement and to its or their successors, executors and assigns in respect to all covenants of this Agreement. Except as above, neither CITY nor the CONSULTANT shall assign, sublet or transfer its or their interest in this Agreement without prior written consent of the other party hereto. EXTENT OF THE AGREEMENT This Agreement represents the entire agreement between CITY and CONSULTANT and supersedes all prior negotiations, representations and agreements, either written or oral. 5 OF 30 REVISION DATE: June 2011 DEFINITIONS Wherever used in this Agreement, whether in the singular or in the plural, the following terms shall have the following meanings: Agreement Execution - means the date on which CONSULTANT executes and enters into an Agreement with CITY to perform the Work. Agreement Price - means the total monies, adjusted in accordance with any provision herein, payable to the CONSULTANT under this Agreement. CITY –means a legal entity AUGUSTA, Georgia, a political subdivision of the State of Georgia. CONSULTANT - means the party or parties contracting directly with the CITY to perform Work pursuant to this Agreement. Contract - means the Agreement Documents specifically identified and incorporated herein by reference. Contract Time - means the period stated in this Agreement for the completion of the Work. Subcontractor - means any person, firm, partnership, joint venture, company, corporation, or entity having a contractual agreement with CONSULTANT or with any of its subcontractors at any tier to provide a part of the Work called for by this Agreement. Supplemental Agreement - means a written order to CONSULTANT signed by CITY and accepted by CONSULTANT, effecting an addition, deletion or revision in the Work, or an adjustment in the Agreement Price or the Contract Time, issued after execution of this Agreement. Task Order – means a written order specifying a Scope of Services, time of completion and compensation limit for services being provided by CONSULTANT. Task Orders shall be incorporated by reference as part of the Supplemental Conditions of this Agreement. Work - means any and all obligations, duties and responsibilities, including furnishing equipment, engineering, design, workmanship, labor and any other services or things necessary to the successful completion of the Project, assigned to or undertaken by CONSULTANT under this Agreement. 6 OF 30 REVISION DATE: June 2011 CONTRACT DOCUMENTS List of Documents The Agreement, the General Conditions, the Attachments, and any Supplemental Agreements, including Task Orders shall constitute the Agreement Documents (the “Agreement”). Conflict and Precedence The Agreement Documents are complementary, and what is called for by one is as binding as if called for by all. In the event there are any conflicting provisions or requirements in the component parts of this Agreement, the several Agreement Documents shall take precedence in the following order: 1. Agreement – Including Attachments 2. General Conditions 3. Supplemental Conditions – Including Task Orders 7 OF 30 REVISION DATE: June 2011 GENERAL CONDITIONS 1. COMMENCEMENT OF WORK The performance of services as defined in the Prime Agreement between CONSULTANT and the CITY, and herein described in this Agreement as Attachment A shall be commenced upon receipt by the CONSULTANT of a written Notice to Proceed. The effective date of services shall be defined in the Notice to Proceed. 2. PROFESSIONAL STANDARDS The standard of care for all services performed or furnished by CONSULTANT under this Agreement will be the level of care and that is ordinarily used by members of CONSULTANT’S profession practicing under similar conditions. 3. CHANGES AND EXTRA WORK The CITY may, at any time, request changes in the work to be performed hereunder. All such changes, including any increase or decrease in the amount of the CONSULTANT’s compensation, which are mutually agreed upon by and between the CITY and the CONSULTANT, shall be incorporated in written Supplemental Agreements to the Agreement. Changes that involve an increase in the compensation shall be considered major, and require the approval of the CITY. 4. PERSONNEL The CONSULTANT represents that it has secured or will secure, at its own expense, all personnel necessary to complete this Agreement; none of whom shall be employees of, or have any contractual relationship with, the CITY. All of the services required hereunder will be performed by the CONSULTANT under its supervision, and all personnel engaged in the work shall be qualified and shall be authorized or permitted under law to perform such services. All key professional personnel, including subcontractors, engaged in performing services for the CONSULTANT under this agreement are indicated in a personnel listing attached hereto as Attachment C – Listing of Key Personnel and incorporate herein by reference. No changes or substitution shall be permitted in the CONSULTANT’s Key Personnel without the prior written approval of the CITY or his designee. The CONSULTANT shall employ only persons duly registered in the appropriate category in responsible charge of supervision and design of the work. The CONSULTANT shall endorse all reports, contract plans, and survey data. Such endorsements shall be made by a person duly registered in the appropriate category by the Georgia State Board of Registration for Professional Engineers and Land Surveyors, being in the full employ of the CONSULTANT and responsible for the work prescribed by this Agreement. 8 OF 30 REVISION DATE: June 2011 5. ACCURACY OF WORK The CONSULTANT shall be responsible for the accuracy of the work and shall promptly correct errors and omissions in its plans and specifications without additional compensation. The CONSULTANT shall give immediate attention to these changes so there will be a minimum of delay to others. Acceptance of the work by the CITY will not relieve the CONSULTANT of the responsibility for subsequent correction of any errors and the clarification of any ambiguities. 6. CONFIDENTIALITY The CONSULTANT agrees that its conclusions and any reports are for the confidential use and information of the CITY and that it will not disclose its conclusions in whole or in part to any persons whatsoever, other than to submit its written documentation to the CITY, and will only discuss the same with it or its authorized representatives. Upon completion of this Agreement term, all documents, drawings, reports, maps, data and studies prepared by the CONSULTANT pursuant thereto shall become the property of the CITY and be delivered thereto. Articles, papers, bulletins, reports, or other materials reporting the plans, progress, analyses, or results and findings of the work conducted under this Agreement shall not be presented publicly or published without prior approval in writing of the CITY. It is further agreed that if any information concerning the PROJECT, should be released by the CONSULTANT without prior approval from the CITY, the release of same shall constitute grounds for termination of this Agreement without indemnity to the CONSULTANT, but should any such information be released by the CITY or by the CONSULTANT with such prior approval, the same shall be regarded as public information and no longer subject to the restrictions of this Agreement. 7. OPEN RECORDS CONSULTANT acknowledge that all records relating to this Agreement and the services to be provided under the contract may be a public record subject to Georgia’s Open Records Act (O.C.G.A. § 50-18-70, et seq.). CONSULTANT shall cooperate fully in responding to such request and making all records, not exempt, available for inspection and copying as provided by law. 8. JURISDICTION The law of the State of Georgia shall govern the CONTRACT between CITY and CONSULTANT with regard to its interpretation and performance, and any other claims related to this agreement. All claims, disputes and other matters in question between CITY and CONSULTANT arising out of or relating to the Agreement, or the breach thereof, shall be decided in the Superior Court of Richmond County, Georgia. The CONSULTANT, by executing this Agreement, specifically consents to jurisdiction and venue in Richmond County and waives any right to contest the jurisdiction and venue in the Superior Court of Richmond County, Georgia. 9 OF 30 REVISION DATE: June 2011 9. TERMINATION OF AGREEMENT FOR CAUSE If through any cause, the CONSULTANT shall fail to fulfill in a timely and proper manner its obligations under this Agreement, or if the CONSULTANT shall violate any of the covenants, agreements or stipulations of this Agreement, CONSULTANT will be given the opportunity to commence correction of obligation within 5 days of written notice and diligently complete the correction thereafter. Failure to maintain the scheduled level of effort as proposed and prescribed, or deviation from the aforesaid schedule without prior approval of the CITY, shall constitute cause for termination. The CITY shall thereupon have the right to terminate this Agreement by giving written notice to the CONSULTANT of such termination, and specifying the effective date thereof, at least five (5) days before the effective date of such termination. In such event, all finished or unfinished documents, maps, data, studies, work papers and reports prepared by the CONSULTANT under this Agreement shall become the property of the CITY, and the CONSULTANT shall be entitled to receive just and equitable compensation for any satisfactory work completed on such documents, as mutually agreed by the CITY and CONSULTANT. 10. TERMINATION FOR CONVENIENCE OF THE CITY The CITY may terminate this contract in part or in whole upon written notice to the CONSULTANT. The CONSULTANT shall be paid for any validated services under this Contract up to the time of termination. 11. COORDINATION AND COOPERATION WITH OTHER UTILITIES AND CONSULTANTS CONSULTANT shall thoroughly research all utility records to identify the existing facilities on the submitted roadway plans for avoidance, or resolution, of conflicts with the proposed Scope of Services. If the CITY undertakes or awards other contracts for additional related work, the CONSULTANT shall fully cooperate with such other CONSULTANTs and the CITY employees or appointed committee(s), and carefully fit its own work to such additional work as may be directed by the CITY. The CONSULTANT shall not commit or permit any act, which will interfere with the performance of work by any other CONSULTANT or by CITY employees. 12. COVENANT AGAINST CONTINGENT FEES The CONSULTANT warrants that no person or selling agency has been employed or retained to solicit or secure this Agreement upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing business and that the CONSULTANT has not received any non-CITY fee related to this Agreement without the prior written consent of the CITY. For breach or violation of this warranty, the CITY shall have the right to annul this Agreement without liability or at its discretion to deduct from the Agreement Price of consideration the full amount of such commission, percentage, brokerage or contingent fee. 10 OF 30 REVISION DATE: June 2011 13. RESPONSIBILITY FOR CLAIMS AND LIABILITY The CONSULTANT shall be responsible for any and all damages to properties or persons caused by its employees, subcontractors, or agents, and shall hold harmless the CITY, its officers, agents and employees from all suits, claims, actions or damages of any nature whatsoever to the extent found to be resulting from the CONSULTANT, its subcontracts, or agent in the negligent performance or non-performance of work under this Agreement. These indemnities shall not be limited by reason of the listing of any insurance coverage. 14. INSURANCE The CONSULTANT shall, at all times that this Agreement is in effect, cause to be maintained in force and effect an insurance policy(s) that will ensure and indemnify the CITY against liability or financial loss resulting from injuries occurring to persons or property or occurring as a result of any negligent error, act, or omission of the CONSULTANT in performance of the work during the term of this Agreement. The CONSULTANT shall provide, at all times that this agreement is in effect, Worker's Compensation insurance in accordance with the laws of the State of Georgia. The CONSULTANT shall provide, at all times that this Agreement is in effect, Insurance with limits of not less than: A. Workmen’s Compensation Insurance – in accordance with the laws of the State of Georgia. B. Public Liability Insurance – in an amount of not less than One Million ($1,000,000) Dollars for injuries, including those resulting in death to any one person, and in an amount of not less than One Million ($1,000,000) Dollars on account of any one occurrence. C. Property Damage Insurance – in an amount of not less than One Million ($1,000,000) Dollars from damages on account of an occurrence, with an aggregate limit of One Million ($1,000,000) Dollars. D. Valuable Papers Insurance – in an amount sufficient to assure the restoration of any plans, drawings, field notes, or other similar data relating to the work covered by the Project. E. Professional Liability Insurance – in an amount of not less than One Million ($1,000,000) Dollars or an amount that correlates to the aggregate fee on the project should it exceed $1,000,000. CITY will be named as an additional insured with respect to CONSULTANT’s liabilities hereunder in insurance coverage’s identified in items (b) and (c). The policies shall be written by a responsible company(s), to be approved by the CITY, and shall be noncancellable except on thirty-(30) days' written notice to the CITY. Such policies shall name the CITY as co-insured, except for worker's compensation and professional liability policies, and a copy of such policy or a certificate of insurance shall be filed with the Director at the time of the execution of this Agreement. 11 OF 30 REVISION DATE: June 2011 15. PROHIBITED INTERESTS 15.1 Conflict of Interest: The CONSULTANT agrees that it presently has no interest and shall acquire no interest, direct or indirect, that would conflict in any manner or degree with the performance of its services hereunder. The CONSULTANT further agrees that, in the performance of the Agreement, no person having such interest shall be employed. 15.2 Interest of Public Officials: No member, officer, or employee of the CITY during his tenure or for one year thereafter, shall have any interest, direct or indirect, in this Agreement or the proceeds thereof. 15.3 Employment of CITY’s Personnel: The CONSULTANT shall not employ any person or persons in the employ of the CITY for any work required by the terms of the Agreement, without the written permission of the CITY except as may otherwise be provided for herein. 16. SUBCONTRACTING The CONSULTANT shall not subcontract any part of the work covered by this Agreement or permit subcontracted work to be further subcontracted without the CITY's prior written approval of the subcontractor. All subcontracts in the amount of $5,000 or more shall include, where possible, the provisions set forth in this Agreement. 17. ASSIGNABILITY The CONSULTANT shall not assign or transfer whether by an assignment or novation, any of its rights, obligations, benefits, liabilities or other interest under this Agreement without the written consent of the CITY. 18. EQUAL EMPLOYMENT OPPORTUNITY During the performance of this Agreement, the CONSULTANT agrees as follows: (1) the CONSULTANT will not discriminate against any employee or applicant for employment because of race, creed, color, sex or national origin; (2) the CONSULTANT will, in all solicitations or advertisements for employees placed by qualified applicants, receive consideration for employment without regard to race, creed, color, sex or national origin; (3) the CONSULTANT will cause the foregoing provisions to be inserted in all subcontracts for any work covered by the Agreement so that such provision will be binding upon each subcontractor, provided that the foregoing provision shall not apply to contracts or subcontracts for standard commercial supplies of raw materials. 12 OF 30 REVISION DATE: June 2011 19. DRUG FREE WORK PLACE CONSULTANT shall be responsible for insuring that its employees shall not be involved in any manner with the unlawful manufacture, distribution, dispensation, possession, sale or use of a controlled substance in the workplace. For purposes of the policy, “workplace” is defined as CITY owned or leased property, vehicles, and project or client site. Any violation of the prohibitions may result in discipline and/or immediate discharge. CONSULTANT shall notify the appropriate federal agencies of an employee who has a criminal drug statute conviction for workplace violation. CONSULTANT may require drug or alcohol testing of employees when contractually or legally obligated, or when good business practices would dictate. 20. ANTI-KICKBACK CLAUSE Salaries of architects, drafters, engineer’s, and technicians performing work under this Agreement shall be paid unconditionally and not less often than once a month without deduction or rebate on any account except only such payroll deductions as are mandatory by law. The CONSULTANT hereby promises to comply with all applicable "Anti-kickback" laws, and shall insert appropriate provisions in all subcontracts covering work under this Agreement. 21. AUDITS AND INSPECTORS At any time during normal business hours and as often as the CITY may deem necessary, the CONSULTANT shall make available to the CITY and/or audit representatives of the CITY for examination all of its records with respect to all matters covered by this Agreement. It shall also permit the CITY and/or representatives of the audit, examine and make copies, excerpts or transcripts from such records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. The CONSULTANT shall maintain all books, documents, papers, accounting records and other evidence pertaining to costs incurred on the Project and used in support of its proposal and shall make such material available at all reasonable times during the period of the Agreement, and for three years from the date of final payment under the Agreement, for inspection by the CITY or any reviewing agencies, and copies thereof shall be furnished upon request at cost plus 10%. The CONSULTANT agrees that the provisions of this Article shall be included in any Agreements it may make with any subcontractor, assignee, or transferee. 22. OWNERSHIP, PUBLICATION, REPRODUCTION AND USE All documents and materials prepared as an instrument of service pursuant to this Agreement are the property of the CITY. The CITY shall have the unrestricted authority to publish, disclose, distribute, and otherwise use, in whole or in part, any reports, data, maps, or other materials prepared under this Agreement without according credit of authorship. The CITY shall hold harmless the CONSULTANT against all claims arising out of such use of documents and materials without the CONSULTANT’s knowledge and written consent. 13 OF 30 REVISION DATE: June 2011 23. VERBAL AGREEMENT OR CONVERSATION No verbal agreement or conversation with any officer, agent, or employee of the CITY, either before, during, or after the execution of this Agreement, shall affect or modify any of the terms or obligations herein contained, nor shall such verbal agreement or conversation entitle the CONSULTANT to any additional payment whatsoever under the terms for this Agreement. All changes to this Agreement shall be in writing and appended hereto as prescribed in Article 3 above. 24. INDEPENDENT CONTRACTOR The CONSULTANT shall perform the services under this Agreement as an independent contractor and nothing contained herein shall be construed to be inconsistent with this relationship or status. Nothing in this Agreement shall be interpreted or construed to constitute the CONSULTANT or any of its agents or employees to be the agent, employee, or representative of the CITY. 25. NOTICES All notices shall be in writing and delivered in person or transmitted by certified mail, postage prepaid. Notices shall be addressed as follows: CITY: CONSULTANT: ADMINISTRATOR AUGUSTA, GEORGIA 2 KM Architects, Inc. 530 Greene Street 529 Greene Street Augusta, GA 30911 Augusta, GA 30901 Copy to: DIRECTOR AUGUSTA PARKS AND RECREATION DEPARTMENT 2027 Lumpkin Road Augusta, GA 30906 26. TEMPORARY SUSPENSION OR DELAY OF PERFORMANCE OF CONTRACT To the extent that it does not alter the scope of this agreement, Augusta, GA may unilaterally order a temporary stopping of the work, or delaying of the work to be performed by CONSULTANT under this agreement. 27. DEFECTIVE PRICING To the extent that the pricing provided by CONSULTANT is erroneous and defective, the parties may, by agreement, correct pricing errors to reflect the intent of the parties. 14 OF 30 REVISION DATE: June 2011 28. SPECIFIED EXCUSES FOR DELAY OR NON-PERFORMANCE CONSULTANT is not responsible for delay in performance caused by hurricanes, tornadoes, floods, and other severe and unexpected acts of nature. In any such event, the contract price and schedule shall be equitably adjusted. 29. HOLD HARMLESS Except as otherwise provided in this agreement, CONSULTANT shall indemnify and hold harmless Augusta, GA, and its employees and agents from and against all liabilities, claims, suits, demands, damages, losses, and expenses, including attorneys’ fees, arising out of or resulting from the negligent performance of its Work. 30. GEORGIA PROMPT PAY ACT NOT APPLICABLE The terms of this agreement supersede any and all provisions of the Georgia Prompt Pay Act. 31. RIGHT TO INSPECT PREMISES Augusta, Georgia may, at reasonable times, inspect the part of the plant, place of business, or work site of CONSULTANT or any subcontractor of CONSULTANT or subunit thereof which is pertinent to the performance of any contract awarded or to be awarded by Augusta, Georgia. 32. E-VERIFY All contractors and subcontractors entering into contracts with Augusta, Georgia for the physical performance of services shall be required to execute an Affidavit verifying its compliance with O.C.G.A. § 13-10-91, stating affirmatively that the individual, firm, or corporation which is contracting with Augusta, Georgia has registered with and is participating in a federal work authorization program. All contractors and subcontractors must provide their E-Verify number and must be in compliance with the electronic verification of work authorized programs operated by the United States Department of Homeland Security or any equivalent federal work authorization program operated by the United States Department of Homeland Security to verify information of newly hired employees, pursuant to the Immigration Reform and Control Act of 1986 (IRCA), P.L. 99-603, in accordance with the applicability provisions and deadlines established in O.C.G.A. § 13- 10-91 and shall continue to use the federal authorization program throughout the contract term. All contractors shall further agree that, should it employ or contract with any subcontractor(s) in connection with the physical performance of services pursuant to its contract with Augusta, Georgia the contractor will secure from such subcontractor(s) each subcontractor’s E-Verify number as evidence of verification of compliance with O.C.G.A. § 13-10-91 on the subcontractor affidavit provided in Rule 300-10-01-.08 or a substantially similar form. All contractors shall further agree to maintain records of such compliance and provide a copy of each such verification to Augusta, Georgia at the time the subcontractor(s) is retained to perform such physical services. 33. LOCAL SMALL BUSINESS LANGUAGE In accordance with Chapter 10B of the AUGUSTA, GA. CODE, Contractor expressly agrees to collect and maintain all records necessary to for Augusta, Georgia to evaluate the effectiveness of its Local Small Business Opportunity Program and to make such records available to Augusta, Georgia. The requirements of the Local Small Business Opportunity Program can be found at www.augustaga.gov. In accordance with AUGUSTA, GA. CODE § 1-10-129(d)(7), for all contracts 15 OF 30 REVISION DATE: June 2011 where a local small business goal has been established, the contractor is required to provide local small business utilization reports. Contractor shall report to Augusta, Georgia the total dollars paid to each local small business on each contract, and shall provide such payment affidavits, regarding payment to subcontractors as may be requested by Augusta, Georgia. Such documents shall be in the format specified by the Director of minority and small business opportunities, and shall be submitted at such times as required by Augusta, Georgia. Failure to provide such reports within the period specified by Augusta, Georgia shall entitle Augusta, Georgia to exercise any of the remedies set forth, including but not limited to, withholding payment from the contractor and/or collecting liquidated damages. 34. ACKNOWLEDGEMENT “Consultant acknowledges that this contract and any changes to it by amendment, modification, change order or other similar document may have required or may require the legislative authorization of the Board of Commissioners and approval of the Mayor. Under Georgia law, Consultant is deemed to possess knowledge concerning Augusta, Georgia's ability to assume contractual obligations and the consequences of Consultant's provision of goods or services to Augusta, Georgia under an unauthorized contract, amendment, modification, change order or other similar document, including the possibility that the Consultant may be precluded from recovering payment for such unauthorized goods or services. Accordingly, Consultant agrees that if it provides goods or services to Augusta, Georgia under a contract that has not received proper legislative authorization or if the Consultant provides goods or services to Augusta, Georgia in excess of the any contractually authorized goods or services, as required by Augusta, Georgia's Charter and Code, Augusta, Georgia may withhold payment for any unauthorized goods or services provided by Consultant. Consultant assumes all risk of non-payment for the provision of any unauthorized goods or services to Augusta, Georgia, and it waives all claims to payment or to other remedies for the provision of any unauthorized goods or services to Augusta, Georgia, however characterized, including, without limitation, all remedies at law or equity." This acknowledgement shall be a mandatory provision in all Augusta, Georgia contracts for goods and services, except revenue producing contracts. [SIGNATURES ON FOLLOWING PAGE] 16 OF 30 REVISION DATE: June 2011 IN WITNESS WHEREOF, said parties have hereunto set their seals the day and year written below: CITY: CONSULTANT: AUGUSTA, GEORGIA (CITY) 2 KM Architects, Inc. BY: BY: PRINTED NAME: ___Hardie Davis Jr. PRINTED NAME Robert Mauldin, NCARB, AIA AS ITS: MAYOR AS ITS: Vice President ATTEST CLERK: ATTEST: PRINTED NAME: PRINTED NAME: Jamie Patterson AS ITS: Clerk of Commission AS ITS: Project Manager DATE: DATE: 2/02/2018 Copy to: DIRECTOR AUGUSTA PARKS AND RECREATION DEPARTMENT 2027 Lumpkin Road Augusta, GA 30906 17 OF 30 REVISION DATE: June 2006 CONSULTANT’S RESPONSIBILITIES CONSULTANT, in order to determine the requirements of the Project, shall review the information in Attachment A – Scope of Services. CONSULTANT shall review its understanding of the Project requirements with CITY and shall advise CITY of additional data or services, which are not a part of CONSULTANT’s services, if any, necessary for design to begin. PROJECT UNDERSTANDING Upon request from the CONSULTANT, CITY may provide all criteria and full information as to CITY's and CONSULTANT'S requirements for this part of the project, including design objectives and constraints, space, capacity and performance requirements, flexibility and expendability, and any budgetary limitations. CONSULTANT may request from the CITY to furnish data, reports, surveys, and other materials that may be relied upon in performing CONSULTANT'S services. REVIEW OF WORK Authorized representatives of the CITY may at all reasonable times review and inspect the project activities and data collected under the Agreement and amendments thereto. All reports, drawings, studies, specifications, estimates, maps and computation prepared by or for the CITY in association with this Agreement shall be subject to review. The CITY may at any time request progress reports, prints or copies of any work performed under this Agreement. Refusal by the CONSULTANT to submit progress reports and/or plans shall be cause to withhold payment to the CONSULTANT until the CONSULTANT complies with the CITY’s request in the regard. The CITY’s review recommendations shall be incorporated into the plans by the CONSULTANT. CONSULTANT'S INSURANCE CONSULTANT will maintain throughout this AGREEMENT the following insurance limits as specified in General Condition 14 – Insurance. CITY’S RESPONSIBILITES CITY-FURNISHED DATA CITY will provide to CONSULTANT all data in CITY's possession relating to CONSULTANT's services on the PROJECT. CONSULTANT will reasonably rely upon the accuracy, timeliness, and completeness of the information provided by CITY. RIGHT TO ENTER The CONSULTANT will notify all property owners or occupants of the intent to enter properties for the purpose of accomplishing work in accordance with the practices of the CITY. The CONSULTANT shall discuss with and receive approval from the CITY prior to sending notices of intent to enter private property. Upon request by the CONSULTANT, the CITY will provide the 18 OF 30 REVISION DATE: June 2011 necessary documents identifying the CONSULTANT as being in the employ CITY for the purpose described in the Agreement. ADVERTISEMENTS, PERMITS, AND ACCESS Unless otherwise agreed to in the Scope of Services, CITY will obtain, arrange, and pay for all advertisements for bids; permits and licenses required by local, state, or federal authorities; and land, easements, rights-of-way, and access necessary for CONSULTANT's services or PROJECT construction. TIMELY REVIEW CITY will examine CONSULTANT's studies, reports, sketches, drawings, specifications, proposals, and other documents; obtain advice of an attorney, insurance counselor, accountant, auditor, bond and financial advisors, and other consultants as CITY deems appropriate; and render in writing decisions required by CITY in a timely manner. PROMPT NOTICE CITY will give prompt written notice to CONSULTANT whenever CITY observes or becomes aware of any development that affects the scope or timing of CONSULTANT's Services, or of any defect in the work of CONSULTANT or construction contractors. CITY'S INSURANCE CITY will maintain property insurance on all pre-existing physical facilities associated in any way with the PROJECT. LITIGATION ASSISTANCE The Scope of Services does not include costs of CONSULTANT for required or requested assistance to support, prepare, document, bring, defend, or assist in litigation undertaken or defended by CITY. All such Services required or requested of CONSULTANT by CITY, except for suits or claims between the parties to this AGREEMENT, will be reimbursed as additional services. 19 OF 30 REVISION DATE: June 2011 ATTACHMENT A – SCOPE OF SERVICES PROJECT DESCRIPTION: The overall goal of the project is to create a space that is bold and innovative, yet inviting and welcoming to visitors and residents alike. The objective of the project is to enhance and improve an existing neighborhood park to maximize its use. The project also is intended to: deliver exemplary government services by working with the community through the design process; develop and strengthen relationships with public partners, residents and community groups; deepen a sense of place and community identity by developing recreational opportunities for all; and, to rehabilitate facilities by addressing long deferred maintenance that are sensitive to accessibility improvements. Given the visibility, location and importance of the project site to a broad range of stakeholders and constituents, it is expected that the improvements contemplated in this RFP will generate a great deal of public interest and attention. It is clear the success of this project will be judged by the quality of the design of the park improvements and how well it contributes to making this space more enjoyable for all users. Lake Olmstead Regional Park is approximately 97 acres located at 2200 Broad Street Boulevard, Augusta, Georgia and is in close proximity to the Augusta Canal National Heritage Area, Augusta University Summerville Campus, and, the Washington Road business community. The park is within the Harrisburg/Summerville District, historically active civic and community neighborhoods located in Commission District 7. Referencing the ARPD Master Plan, the park is identified as active/passive use Regional Park. Among the strengths noted is the aesthetics and programming value of the lake used for a variety of boating activities/events, two highly used rental facilities and a popular disc golf course. Current park facility elements that have been identified as important to the community include: baseball/softball field, gazebo, two community/rental buildings, picnic areas, disc golf and one singlewide boat ramp and floating dock. The lake connects directly to the Augusta Canal which make kayaking/canoeing popular. 20 OF 30 REVISION DATE: June 2011 Improvement elements that have been previously identified to be included in this park are listed below: • New picnic shelter • New outdoor rest room facility • Casino and BBQ-Pit community building renovations to include kitchen upgrade, ADA compliance issues with rest rooms, lighting upgrades, painting, etc. • Park gazebo renovations/enhancements • Playground area dry and/or wet • The use CPTED Guidelines are encouraged to promote park safety and engage local law enforcement during the design phase. The elements listed above will need to be confirmed and refined as part of the community outreach process and based on the cost analysis. I. Scope of Services The total funding available for this project is $1,450,000 and will need to support the construction. The CONSULTANT assumes that the OWNER will prioritize the proposed improvements to stay within the funding allocated. If the OWNER secures additional funding for this project, additional services will be required. DESIGN OBJECTIVES: PHASE 1: CONCEPTUAL PLANNING The CONSULTANT will meet with staff to develop a priority list of the proposed improvements and define the scope of the improvements. From this meeting, the CONSULTANT will prepare a Preliminary Costs Analysis to include the design, contingency, and construction of each proposed improvement and submit to OWNER for review. If the analysis exceeds the total funding available for the project, the OWNER will direct the CONSULTANT as to the priority of which improvements to include in the project moving forward. At this point, the CONSULTANT will prepare Conceptual Design Plans to be used during one (1) Public Meeting/Charrette to include improvements identified by the OWNER as priorities. 21 OF 30 REVISION DATE: June 2011 PHASE 2: SURVEY AND MAPPING Upon receiving a Notice to Proceed from the OWNER, the CONSULTANT will mobilize to begin survey field work to provide a detailed topographical design survey as follows: • The DESIGN TEAM will utilize existing mapping available to be provided by the OWNER with limited field survey to validate key features such as tree lines, electrical transmission and distribution lines, poles, retaining walls, ditches, buildings, drives, edges of asphalt and concrete pavements, fire hydrants, valves, curb and gutter, above ground water appurtenances, storm sewer structures, sanitary sewer manholes/cleanouts, structures, and temporary accessory buildings. Pipe size, type of pipe and invert elevations will only be obtained for storm sewer lines and gravity sanitary sewer lines. • We will attempt to locate available information regarding underground utilities such as water, sewer, and stormwater with the assistance of Augusta Utilities Department and Augusta Engineering Department. • Topographic elevations will be collected for the objects in the corridor and depicted in mapping with 1-foot contour information. This information will be used to depict final grading and restoration conditions on design plans. • Locate individual trees larger than 8” DBH as well as ornamental trees within the project boundary. PHASE 3: CONSTRUCTION DOCUMENTS The DESIGN TEAM will use the Conceptual Design Plans and comments from the Public Meeting/Charrette to develop the Site Construction Documents. Plans and calculations will comply with requisite County, State, and Federal requirements including required specifications. These plans will include: 1. Existing Conditions and Demolition Plan: will include existing structures, utilities, topography, and property line information and show structures/facilities to be removed for the proposed development. 2. Site Layout and Staking Plan: will include proposed structures, field layout, basketball court layouts, walking trail(s), sidewalks, and steps. Summary and required parking provided will be noted on this plan. Horizontal control for the purposes of locating civil hardscape and proposed hardscape will be included on this plan sufficient for construction staking. 22 OF 30 REVISION DATE: June 2011 3. Grading and Drainage Plan: will include finished ground surface elevations of the parking improvements. Existing finished floor elevation, storm drain alignments, types and sizes, site contour grading (with key spot elevations) as well as tie-in to building drainage system (to within 5 feet of the building) will be shown on this plan. 4. Electrical/Lighting Plan: will include the electrical distribution and lighting for the proposed football field, basketball courts, and walking trail. Several types of lighting and installation methods will be considered; ranging from LED versus Metal Halide (lighting source) as well as the types of fixtures and poles. The intent is to provide a trouble-free system that meets the foot-candle requirements keeping in mind the need to minimize energy usage and future maintenance costs. The expectation is that the onsite lighting will be provided through operational use agreement with Georgia Power and the electrical supply provided by Georgia Power. The plans will reflect layout information from Georgia Power but installation will not be part of bid package. 5. Irrigation Plan: will include turf heads with stainless steel risers and check valves set on triple swing joints. The irrigation design coverage will be double with one head throwing to the next. The system should utilize a ‘Smart Controller” to aid in water conservation using flow meters, moisture sensors and rain/freeze sensors. Electric valves should be located outside of the playing area and each valve or gang of valves should be isolated by manual gate valves. 6. Erosion Control Plans, Details, and Notes: will indicate minimum standards for erosion control measures and practices that are appropriate during the construction sequence to assist the contractor in minimizing erosion. This plan will comply with the general requirements of the NPDES (National Pollutant Discharge Elimination System) General Permits adopted by the State. 7. Construction Details: will consist of typical site development details for items specified on the plans provided under this task. The CONSULTANT will provide Construction Documents to be reviewed by the OWNER. During this review period, we will submit the plans and design reports to Augusta-Richmond County to acquire the necessary land disturbing construction permits. Prior to receiving final permits, the plans will be revised to include comments from the local municipality and the OWNER prior to releasing the plans for construction. The CONSULTANT will submit the Notice of Intent (NOI) and Notice of Termination (NOT) to the Local Issuing Authority with Georgia EPD to comply with the state law and NPDES requirements. 23 OF 30 REVISION DATE: June 2011 We assume that the overall disturbed area will be greater than 1.0 acre, thus requiring the submittal of a NOI and NOT. PHASE 4: CONSTRUCTION BIDDING Upon receiving the approvals from the regulatory agencies and the OWNER, the CONSULTANT will proceed with the Construction Bidding portion of the project consisting of the following tasks: • Coordinate with the City Procurement Department to advertise the project, • Attend mandatory pre-bid meeting as a technical reference to the OWNER for the project, • Provide clarification related to the plans/specifications throughout design and construction through addendums, • Prepare letter of recommendation for award of the contract. • Prepare Construction Contract Documents for selected contractor. PHASE 5: CONSTRUCTION ADMINISTRATION Provide services during construction as follows: • Attend the pre-construction meeting as a technical reference to the OWNER, • Review shop drawings submittals prepared by the contractor and make recommendations on conformance with documents, • Attend up to four (4) Project meetings, with this including final inspection and punchlist. The project will be 120 days. • Recommend design changes as field conflicts arise, • Review and approval of pay requests from the construction Contractor (line of Communication will be construction Contractor to resident observer to CONSULTANT to OWNER), • Provide clarification and specifications throughout construction, and • Revise/update plans and as changes occur that require submittal and publish record drawings at the completion of the project. ITEMS NOT INCLUDED IN THIS SCOPE OF WORK: • Offsite Roadway Improvements • Offsite Utility Extensions • Geotechnical Services • Environmental Permitting 24 OF 30 REVISION DATE: June 2011 • Zoning Modifications or Appeals • Traffic Impact Analysis • Permit Fees • Wetland Permitting • Flood Certifications • Subdivision Permitting • Electrical Design Plans 25 OF 30 REVISION DATE: June 2011 ATTACHMENT B - COMPENSATION The City shall pay the CONSULTANT for services set forth in Scope of Services, Basic Services The OWNER shall pay the CONSULTANT for services set forth in Scope of Services as follows: Preliminary Design: $ 29,000 Lump Sum Initial Design: $ 29,000 Lump Sum Final Design: $ 50,750 Lump Sum Bidding Phase: $ 7,250 Lump Sum Construction Phase: $ 29,000 Lump Sum The CITY shall compensate the CONSULTANT for services, which have been authorized by the CITY under the terms of this Agreement. The CONSULTANT may submit to the CITY a monthly invoice, in a form acceptable to the CITY and accompanied by all support documentation requested by the CITY, for payment for the services, which were completed during the billing period. The CITY shall review for approval said invoices. The CITY shall have the right to reject payment of any invoice or part thereof if not properly supported, or if the costs requested or a part thereof, as determined solely by the CITY, are unreasonably in excess of the actual phase of completion of each phase. The CITY shall pay each such invoice or portion thereof as approved, provided that the approval or payment of any such invoice shall not considered to be evidence of performance by the CONSULTANT to the point indicted by such invoice, or of receipt of acceptance by the CITY of the service covered by such invoice. The CITY shall pay any undisputed items contained in such invoices. Each invoice shall be accompanied by a letter progress report describing the total work accomplished for each phase and any problems, which have been encountered, which may inhibit execution of the work. The CONSULTANT shall also submit an accurate updated schedule, and an itemized description of the percentage of total work completed for each phase during the billing period. When the CITY authorizes the CONSULTANT to proceed with the work authorized in a Task Order, it agrees to pay the CONSULTANT for work completed, on the basis of the standard billing rates shown in Attachment B to the Contract of those principals and employees engaged directly on the work. Compensation for design services shall be invoices based on the sum of all actual costs incurred in the performance of the work, including all direct, payroll, overall and profit cost in an amount not-to-exceed the compensation set forth in the terms of the Agreement or any authorized Task 26 OF 30 REVISION DATE: June 2011 Order. All invoices submitted by the CONSULTANT shall be detailed to reflect incurred expenses, labor hours and costs by authorized Task. Overtime may be performed at the discretion of the CONSULTANT, but the premium time portion of the overtime will not be billed to the CITY unless the CONSULTANT has requested acceleration of the scheduled work in writing. ATTACHMENT C – LISTING OF KEY PERSONNEL CONSULTANT shall provide qualified personnel to perform its work. The list of key personnel below, including a designated Program Manager will not change or be reassigned without the written approval of the CITY. Those personnel committed for this work are as follows: Robert L. Mauldin; Principal Architect 2KM Architects, Inc. Mark Baker, ASLA Wood + Partners, Inc. Jamie Patterson; Project Manager 2KM Architects, Inc. Trey Griffin, ASLA Wood + Partners, Inc. Tom Rehder; Interiors and Specifications 2KM Architects, Inc. Christopher S. Lehi; CA Phase 2KM Architects, Inc. Scott Williams, P.E. Cranston Engineering Group James B. Cranford, Jr., P.E. Cranston Engineering Group Steven Petersen, P.E. ING Consulting, Inc. M. Ashley Paulk, P.E. Electrical Design Consultants, Inc. Kyle Theodore, ASLA Wood + Partners, Inc. Mark Baker, ASLA Wood + Partners, Inc. 27 OF 30 REVISION DATE: June 2011 ATTACHMENT D – SCHEDULE FOR PERFORMANCE LAKE OLMSTEAD PARK RENOVATIONS Project Schedule – Preliminary Design Phase 60 - 90 Days Initial Design Phase 60 Days Final Design Phase 90 Days Bidding Phase 45 Days Sub-Phase 1 – Construction Phase 240 Days CONSULTANT SERVICES 28 OF 30 REVISION DATE: June 2011 As a part of this Agreement the CONSULTANT agrees to furnish the following checked items (CONSULTANT to initial in the space provided acknowledging responsibility to furnish said item). Prior to Authorization to Proceed:  Detailed Scope of Services based upon Schedule A of this Agreement to be submitted with Cost Proposal clearly defining the CONSULTANT’S understanding of the project limits, design objectives and CONSULTANT’S services to be provided.  Cost Proposal that will include cost of design, preparation of construction plans and specifications, and other services requested in the CITY’s Request for Proposal.  Schedule for submittal of review documents at Concept and Final documents. Prior to submitting Final review documents:  Locate all existing utilities using available information collected by the CONSULTANT. The CITY will furnish available information on water and sewer locations however, the CONSULTANT must verify to CITY’S satisfaction.  Provide CITY with information on the project site(s), including the following: • Past and present use of the land (specifically identify any landfilling activities in the area); identify any nearby designated wetlands • Soil type(s) • Boring results when required by CONSULTANT for new facilities or where depth of line and existing site conditions warrant. • Brief description of the area (e.g., residential, commercial, industrial) including general slope of the land, and whether trees, signs, etc. will be in conflict with the new facilities. Include number of properties affected and number of easements required with property owners identified • Identification of potential problems in meeting design objectives.  Site Plan (If Required) Throughout project:  Prepare printed responses to comments received from the CITY following reviews.  Provide the necessary plats for easement acquisition and DOT/other permit application.  Prepare Public Works/DOT/Other permit applications for signature by the CITY.  Prepare and submit plans to EPD for review and approval when required.  Prepare plans and specifications,  Prepare construction cost estimates at each review stage and with the submittal of Final documents. Provide cost breakdown for any items to be lump sum in the construction contract. 29 OF 30 REVISION DATE: June 2011 Upon completion of design:  Coordinate with the City Procurement Department to advertise the project.  Fax bid information to CITY.  Attend the Pre-Bid Meeting as a technical reference to the CITY.  Prepare letter of recommendation for award of the contract.  Develop conformed contract documents and forward to the CITY for execution.  Attend the pre-construction meeting as a technical reference to the CITY.  Provide clarification related to the plans/specifications throughout design and construction.  Provide record drawings at completion of the project electronically,  Provide Services During Construction as follows: • Attend project meetings as scheduled by the CITY • Recommend design changes as field conflicts arise (site visits may be required) • Review and approval of pay requests from the construction Contractor (line of communication will be construction contractor to resident observer to CONSULTANT to CITY) • Provide clarification of plans and specifications throughout construction • Revise/update plans and/or easement plats as changes occur that require resubmittal to DOT/other agencies. • Construction Administration Services called for in attached scope. ADDITIONAL SERVICES: 30 OF 30 REVISION DATE: June 2011 1. Revisions to the plans/contract documents to extend the limits of the project after this AGREEMENT has been executed by the CITY. 2. Revisions due to incorrect locations of existing utilities by the CONSULTANT (i.e., correct location given by CITY, incorrectly marked on plans by engineer) will be the responsibility of the CONSULTANT. Other revisions required by the CITY, DOT, EPD, or other government agency at their request will be considered an additional service. 3. Out-of-town meetings or conferences required of the CONSULTANT by the CITY. 4. Other not described above, as approved by the CITY. Request for Proposal Request for Proposals will be received at this office until Tuesday, December 19, 2017 @ 11:00 a.m. for furnishing: RFP Item # 17-279 Lake Olmstead Park Improvements for the Augusta, GA – Recreation and Parks Department RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta, Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. A Mandatory Pre Bid Conference will be held on Tuesday, December 5, 2017 @10:00 a.m. in the Procurement Department, 535 Telfair Street, Room 605. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Thursday, December 7, 2017 @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director Publish: OFFICIAL VENDORS Attachment "B"E-Verify Addendum 1 SAVE Form Original 7 Copies Fee Proposal Compliance Review 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 YES 312290 YES YES YES YES YES Yes Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 YES 175046 YES YES YES YES YES Noncompliant Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 YES 226309 YES YES YES YES YES Noncompliant Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 Cranston Engineering Group 452 Ellis Street Augusta, GA 30901 RFP 17-279 Lake Olmstead Park Improvements for the Augusta, GA – Recreation and Parks Department RFP Date: Tuesday, December 19, 2017 @ 11:00 a.m. Total Number Specifications Mailed Out: 11 Total Number Specifications Download (Demandstar): NA Total Electronic Notifications (Demandstar): NA Pre Proposal Telephone Conference Attendees: 5 Total packages submitted: 3 Total Noncompliant: 0 Page 1 of 1 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Johnson, Lesschober & Associates, 1296 Broad Street, Augusta. GA30901 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Johnson, Lesschober & Associates, 1296 Broad Street, Augusta. GA30901 Evaluation Criteria Ranking Points 1. Completeness of Response • Package submitted by the deadline • Package is complete (includes requested information as required per this solicitation) • Attachment B is complete, signed and notarized N/A Pass/Fail PASS FAIL FAIL PASS FAIL FAIL 2. Qualifications & Experience (0-5)20 3.0 60 3. Organization & Approach (0-5)15 3.0 454. Scope of Services • Capability of developing cost effective and innovative design (5) ● Understanding of the project, approach to be taken your vision for the project (4) ● Specialized experience related to project scope (2) ● Relevant projects/information that may be helpful in the selection process (1) ● Include a Gantt chart with a proposed timeline for the design process from public outreach through design and finished construction documents (3) (0-5)15 2.5 37.5 5. Schedule of Work (0-5)10 3.5 35 0 Within Richmond County 5 10 5.0 50 Within CSRA 5 6 0 Within Georgia 5 4 0 Within SE United States (includes AL, TN, NC, SC, FL) 5 2 0  All Others 5 1 0 7. References (0-5)5 3.0 15 20.0 242.5 8. Presentation by Team (0-5)10 0 9. Q&A Response to Panel Questions (0-5)5 0 Lowest Fees 5 10 0 Second 5 6 0 0 0 Third 5 4 0 0 0 Forth 5 2 0 0 0 Fifth 5 1 0 0 0 Total Phase 2 0 0 0 0 0 0 242.5 0 0 Procurement Department Completion Date: 1/16/18 Internal Use Only Note: Respondent/Offeror(s) receiving 600 or more points will be invited to do presentations to provide additional information if deemed necessary. Total Cumulative Score (Maximum point is 500) 10. Cost/Fee Proposal Consideration (only choose 1 line according to dollar value of the proposal in relation to all fee proposals - enter the point value for the one line only) Evaluation Sheet for RFP# 17-279 Design Services - Lake Olmstead Park Improvements for the Augusta, GA – Recreation and Parks Department Evaluation Meeting: Tuesday, January 16 @ 11:00 a.m. Vendors Phase 2 (Option - Numbers 8-9) Procurement DepartmentRepresentative:_____Nancy Williams________________________________________ Evaluator: Cumulative Date: 1/16/18 Total (Total Possible Score 750) Ranking of 0-5 (Enter a number value between 0 and 5) 6. Proximity to Area (only choose 1 line according to location of the company - enter the ranking value for the one line only) Weighted Scores Phase 1 Total - (Total Maximum Ranking 25 - Maximum Weighted Total Possible 375) Phase 1 Scale 0 (Low) to 5 (High) 2KM Architects Inc. 529 Greene Street Augusta, GA 30901 Cranston Engineering Group 452 Ellis Street Augusta, GA 30901 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 WK Dickson 1450 Greene Street, Suite 225 Augusta, GA 30901 Zimmerman, Evans, and Leopold, Inc. 435 Telfair Street Augusta, GA 30901 RETURNED MAIL Alta Planning and Design 111 E. Chapel Hill Street, Suite 100 Durham, NC 27701 EMC Engineering Services 4210 Columbia Road, Suite 16-A Martinez, GA 30907 Moreland Altobelli Associates 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Vaughn & Melton Consulting Engineers 300 Chastain Center Blvd, Suite 325 Kennesaw, GA 30144 Wood + Partners Inc. 7 Lafayette Place Hilton Head Island, SC 29926 RFP Item #17-279 Lake Olmstead Park Improvements For Recreation & Parks Department Mailed Out 10/19/17 RFP Item #17-279 Lake Olmstead Park Improvements For Recreation & Parks Department RFP Due: TUE. 12/19/17@ 11:00 A.M. Glenn Parker Recreation & Parks Department Kellie Irving Compliance Department Ron Houck Recreation & Parks Department Commission Meeting Agenda 2/20/2018 2:00 PM Lombard Mill Pond Preserve Trail Improvements Department:Recreation and Parks Department:Recreation and Parks Caption:Motion to approve award of RFP 17-298, Lombard Mill Pond Preserve Trail Improvement Design Services to POND & Co. for engineering and design professional services for $45,580. (Approved by Public Services Committee February 13, 2018) Background:Funding has been identified through SPLOST VI to conduct improvements at Lombard Mill Pond Preserve Trail Project at the budgeted amount of $444,400. In working with staff and the Central Savannah River Land Trust, priorities have been developed as follows: Phase II will provide for paving of the crush-n-run sections, as well as boardwalks and a bridge(s) that crosses the pond to the northern bank. Analysis:The Augusta Commission approved a pre-qualified list of eleven (11) architectural and engineering firms to assist the Recreation and Parks Department with implementation of their capital improvement projects in August 2017. A Request for Proposal was solicited from the eleven firms with three (3) firms submitting proposals. Of the three firms submitting, POND & Co scored the highest in the evaluation process. Fee negotiations were conducted and both parties accepted an agreed upon price. Financial Impact:$45,580.00 Alternatives:1. To Approve the award of RFP 17-298 to POND & Co. for $45,580.00. 2. Move No Action thus delaying the improvements scheduled for Lombard Mill Pond Preserve Trail Project. Recommendation:1. Move to Approve. Funds are Available in the Following 328061110 Cover Memo Accounts: REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo Request for Proposal Request for Proposals will be received at this office until Tuesday, December 5, 2017 @ 3:00 p.m. for furnishing: RFP Item # 17-298 Design Services - Lombard Mill Pond Preserve Trail, Phase II for the Augusta, GA – Recreation and Parks Department RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta, Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Tuesday, November 21, 2017 @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director Publish: OFFICIAL VENDORS Attachment "B"E-Verify SAVE Form Addendum 1 Original 7 Copies Fee Proposal 2KM Architects, Inc. 529 Greene Street Augusta, GA 30901 Pond & Company 621 Frontage Road, Suite 320 Augusta, GA 30907 YES 175046 YES YES YES YES YES Zel Engineers 435 Telfair Street Augusta, GA 30901 YES 257101 YES YES YES YES YES Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 YES 53328 YES YES YES YES YES RFP# 17-298 Design Services - Lombard Mill Pond Preserve Trail, Phase II for the Augusta, GA – Recreation and Parks Department RFP Date: Tuesday, December 7, 2017 @ 11:00 a.m. Total Number Specifications Mailed Out: 11 Total Number Specifications Download (Demandstar): NA Total Electronic Notifications (Demandstar):NA Pre Proposal Telephone Conference Attendees: NA Total packages submitted: 4 Total Noncompliant: 0 NO BID Page 1 of 1 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Zel Engineers 435 Telfair Street Augusta, GA 30901 Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 Zel Engineers 435 Telfair Street Augusta, GA 30901 Moreland Altobelli Associates 2450 Commerce Ave Duluth, GA 30096 Evaluation Criteria Ranking Points 1. Completeness of Response • Package submitted by the deadline • Package is complete (includes requested information as required per this solicitation) • Attachment B is complete, signed and notarized N/A Pass/Fail PASS PASS PASS PASS PASS PASS 2. Qualifications & Experience (0-5)20 4.5 3.0 4.4 90.0 60.0 87.5 3. Organization & Approach (0-5)15 3.7 2.6 3.9 55.1 39.4 58.94. Scope of Services • Capability of developing cost effective and innovative design (5) ● Understanding of the project, approach to be taken your vision for the project (4) ● Specialized experience related to project scope (2) ● Relevant projects/information that may be helpful in the selection process (1) ● Include a Gantt chart with a proposed timeline for the design process from public outreach through design and finished construction documents (3) (0-5)15 4.3 2.9 3.8 63.8 43.1 57.4 5. Schedule of Work (0-5)10 3.6 2.9 2.1 35.8 28.8 21.3 0.0 0.0 0.0 Within Richmond County 5 10 5 5 50.0 50.0 0.0 Within CSRA 5 6 0.0 0.0 0.0 Within Georgia 5 4 5 0.0 0.0 20.0 Within SE United States (includes AL, TN, NC, SC, FL) 5 2 0.0 0.0 0.0  All Others 5 1 0.0 0.0 0.0 7. References (0-5)5 4.1 3.0 3.6 20.6 15.0 17.9 25.1 19.4 22.8 315.3 236.3 262.9 8. Presentation by Team (0-5)10 0 0 0 9. Q&A Response to Panel Questions (0-5)5 0 0 0 0 0 0 Lowest Fees 5 10 5 0 50 0 Second 5 6 5 30 0 0 Third 5 4 5 0 0 20 Forth 5 2 0 0 0 Fifth 5 1 0 0 0 Total Phase 2 5 5 5 30 50 20 345.3 286.3 282.9 Procurement Department Completion Date: 1/9/18 Internal Use Only Note: Respondent/Offeror(s) receiving 600 or more points will be invited to do presentations to provide additional information if deemed necessary. Total Cumulative Score (Maximum point is 500) 10. Cost/Fee Proposal Consideration (only choose 1 line according to dollar value of the proposal in relation to all fee proposals - enter the point value for the one line only) Cumulative Evaluation Sheet for RFP# 17-298 Design Services - Lombard Mill Pond Preserve Trail, Phase II for the Augusta, GA – Recreation and Parks Department Evaluation Meeting: Monday, December 18, 2017 @ 3:00 p.m. Vendors Phase 2 (Option - Numbers 8-9) Procurement DepartmentRepresentative:__________Nancy Williams___________________________________ Evaluator: Cumulative Date: 1/9/18 Total (Total Possible Score 750) Ranking of 0-5 (Enter a number value between 0 and 5) 6. Proximity to Area (only choose 1 line according to location of the company - enter the ranking value for the one line only) Weighted Scores Phase 1 Total - (Total Maximum Ranking 25 - Maximum Weighted Total Possible 375) Phase 1 Scale 0 (Low) to 5 (High) 2KM Architects Inc. 529 Greene Street Augusta, GA 30901 Cranston Engineering Group 452 Ellis Street Augusta, GA 30901 Johnson, Laschober & Associates, 1296 Broad Street Augusta, GA 30901 Pond & Company 621 NW Frontage Road, Suite 320 Augusta, GA 30907 WK Dickson 1450 Greene Street, Suite 225 Augusta, GA 30901 Zimmerman, Evans, and Leopold 435 Telfair Street Augusta, GA 30901 Alta Planning and Design 111 E. Chapel Hill Street, Suite 100 Durham, NC 27701 EMC Engineering Services 4210 Columbia Road, Suite 16-A Martinez, GA 30907 Moreland Altobelli Associates 2450 Commerce Ave, Suite 100 Duluth, GA 30096 Vaughn & Melton Consulting Engineers 300 Chastain Center Blvd, Suite 325 Kennesaw, GA 30144 Wood + Partners Inc. 7 Lafayette Place Hilton Head Island, SC 29926 RFP Item #17-298 Design Services - Lombard Mill Pond Preserve Trail, Phase II For Recreation & Parks Department Mailed Out 11/7/17 RFP Item #17-298 Design Services - Lombard Mill Pond Preserve Trail, Phase II For Recreation & Parks Department RFP Due: TUE. 12/05/17@ 3:00 P.M. Glenn Parker Recreation & Parks Department Kellie Irving Compliance Department Ron Houck Recreation & Parks Department Commission Meeting Agenda 2/20/2018 2:00 PM Adoption of the 2018 Augusta, Georgia DBE Policy Statement and Program Department:Compliance Department Department:Compliance Department Caption:Motion to adopt the 2018 Augusta, Georgia Disadvantaged Business Enterprise (DBE) Policy Statement and Program for USDOT Federal Transit Administration (FTA) funded projects. (Approved by Administrative Services Committee February 13, 2018) Background:Augusta, Georgia receives federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, Augusta, Georgia assures it will comply with 49 CFR Part 26. Augusta, Georgia ensures that DBEs, as defined in 49 CFR Part 26, have an equal opportunity to receive and participate in USDOT assisted contracts. Analysis:The Augusta, Georgia DBE Policy Statement and Program provides detailed guidelines on administering and monitoring the federal DBE program relative to FTA funded projects for Augusta Public Transit. Financial Impact:Since Augusta, Georgia has received a grant of $250,000 or more in FTA planning capital, and/or operating assistance in a federal fiscal year, Augusta, Georgia will carry out this program until all funds from DOT financial assistance have been expended. Augusta, Georgia will provide to DOT updates representing significant changes in the program. Alternatives:There are no other alternatives. This 2018 Augusta, Georgia Disadvantaged Business Enterprise (DBE) Policy Statement and Program are required by federal law. Recommendation:Adopt the 2018 Augusta, Georgia Disadvantaged Business Enterprise (DBE) Policy Statement and Program for USDOT Federal Transit Administration (FTA) funded projects.Cover Memo Funds are Available in the Following Accounts: There are no funds required to adopt this policy and program. Without an adopted policy statement and program, Augusta, Georgia could face a fine or penalty imposed by FTA. REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo AUGUSTA, GEORGIA DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM FOR AUGUSTA PUBLIC TRANSIT FEDERAL TRANSIT ADMINISTRATION (FTA) US DEPARTMENT OF TRANSPORTATION AUGUSTA, GEORGIA | augustaga.gov Recipient ID: 2016 535 Telfair Street, Augusta, GA 30901 Kellie S. Irving, Compliance Department Director (DBELO) Email: kirving@augustaga.gov - (706) 826-1325 | f: (706) 823-4395 1 | P a g e AUGUSTA, GEORGIA DISADVANTAGED BUSINESS ENTERPRISE PROGRAM POLICY STATEMENT Policy Statement (§26.1, §26.23) Augusta, Georgia (Augusta, Georgia) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 Code of Federal Regulations (CFR) Part 26. Augusta, Georgia has received federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, Augusta, Georgia has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of Augusta, Georgia to ensure that DBEs, as defined in Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. It is also 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 marketplace outside the DBE program. Kellie S. Irving, Compliance Department Director, is Augusta, Georgia’s DBE Liaison Officer and 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 Augusta, Georgia in its financial assistance agreements with the DOT. Augusta, Georgia has disseminated this policy statement to its Board of Commissioners and Mayor and all of the departments of its organization. Augusta, Georgia has distributed this statement to DBE and non-DBE business communities that perform work for Augusta, Georgia on DOT-assisted contracts. Distribution of this policy statement is publicly displayed on our organization’s website, procurement contracting documents, and annual written notification to all vendors via U.S. Mail and/or email. _ Mayor Hardie Davis, Jr. Date Augusta, Georgia Commission Adopted: TBD 2 | P a g e SUBPART A – GENERAL REQUIREMENTS Objectives (§26.1, §26.23) Augusta, Georgia ensures that DBEs defined in 49 CFR Part 26 have an equal opportunity to receive and participate in DOT-assisted contracts. It is also its 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 marketplace outside the DBE program. Applicability (§26.3) Augusta, Georgia is the recipient of federal transit funds authorized by Titles I, III, V and VI of ISTEA, Pub. L. 102-240; or Titles I, II, and V of the Teas-21, Pub. L. 105-178; or by Federal transit laws in 49 U.S.C. Chapter 53. Applications This Augusta, Georgia DBE Program for U.S. DOT – Federal Transit Administration is only applicable to assisted federal funded contracts and other state funded contracts having mandatory DBE requirements. All U.S. DOT funded projects are subject to the requirements of 49 CFR Part 26. These requirements are mandatory and non-negotiable. Augusta, Georgia enforces all DBE requirements and/or State Agencies in accordance with Federal and State laws. The U.S. District Court for the Southern District of Georgia has entered an Order enjoining a RACE-BASED portion of Augusta, Georgia’s (local) DBE Program. A copy of this Order can be obtained at http://www.augustaga.gov/index.aspx?NID=1448. Thus, Augusta, Georgia does not have or operate a (local) DBE, Minority Business Enterprise (MBE) or Woman Owned Business Enterprise (WBE) program for projects (or portions of projects) having Augusta, Georgia as the source of funding. Definitions (§26.5) Augusta, Georgia will adopt the definitions contained in 49 CFR Section 26.5 for this program. The definitions of 49 CFR Section 26.5 are outlined in Attachment 2. 3 | P a g e Non-Discrimination Requirements (§26.7) Augusta, Georgia 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, Augusta, Georgia 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. Record-Keeping Requirements (§26.11) Uniform Report of DBE Awards or Commitments and Payments Augusta, Georgia will report DBE participation to the Federal Transit Administration (FTA) using the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to the DBE regulation. This report is due December 1 and June 1 each year. Bidders List Augusta, Georgia 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 bidders list will include the name, address, DBE/non-DBE status, age of firms, and annual gross receipts of firms. Augusta, Georgia will collect this information in the following ways: 1. A contract clause requiring prime bidders to report the names/addresses, and possibly other information, of all firms who quote to them on subcontracts; 2. An Augusta, Georgia -directed survey of a statistically sound sample of firms on a name/address list to get age of firm/size information; 3. A notice in all solicitations, and otherwise widely disseminated documents, requesting firms quoting on subcontracts to report information directly to Augusta, Georgia. Assurances (§26.13) Augusta, Georgia has signed the following assurances, applicable to all DOT-assisted contracts and their administration: Federal Financial Assistance Agreement Assurance Augusta, Georgia 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 4 | P a g e 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 AUGUSTA, GEORGIA 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 subrecipients. Contract Assurance Augusta, Georgia will ensure that the following clause is placed in every DOT-assisted contract and subcontract: The contractor, subrecipient, 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. SUBPART B – ADMINISTRATIVE REQUIREMENTS DBE Program Update (§26.21) Since Augusta, Georgia has received a grant of $250,000 or more in FTA planning capital, and/or operating assistance in a federal fiscal year, Augusta, Georgia will continue to carry out this program until all funds from DOT financial assistance have been expended. Augusta, Georgia will provide to DOT updates representing significant changes in the program. DBE Liaison Officer (§26.25) Augusta, Georgia’s DBE Liaison Officer may be contacted at: Kellie S. Irving Compliance Department Director Augusta, Georgia 535 Telfair Street, Suite 710 706.826.1325 kirving@augustga.gov www.augustaga.gov In that capacity, the DBE Liaison Officer (DBELO) is responsible for implementing all aspects of the DBE program and ensuring that Augusta, Georgia complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the Board of Commissioners and Mayor, concerning DBE program matters. An organization chart displaying the DBELO’s position in the organization is found in Attachment 3 to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in 5 | P a g e coordination with other appropriate officials. 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 Augusta, Georgia’s progress toward attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the Board of Commissioners and Mayor 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. Verifies DBE certifications according to the criteria set by DOT and certified through the Uniform Certification Process (UCP) in Georgia. 12. Provides outreach to DBEs and community organizations to advise them of opportunities. 13. Maintains Augusta, Georgia’s updated directory on certified DBEs. DBE Financial Institutions (§26.27) It is the policy of Augusta, Georgia 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. At this time, Augusta, Georgia has not identified DBE-owned financial institutions. However, AUGUSTA, GEORGIA encourages contractors to use the services of minority and women- owned financial institutions. AUGUSTA, GEORGIA will evaluate financial institutions owned and controlled by socially and economically disadvantaged individuals, and update the list bi- annually. A listing of minority-owned banks from the Federal Reserve Bank can be found at: https://www.federalreserve.gov/Releases/mob/current/default.htm. Augusta, Georgia has identified and provided the contact information of the minority-owned financial institutions listed in Attachment 4. Prompt Payment Mechanisms (§26.29) Prompt Payment: §26.29(a) AUGUSTA, GEORGIA 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 thirty (30) days from the receipt of each payment the prime contract receives from AUGUSTA, GEORGIA. Any delay or postponement of payment from the above referenced timeframe may occur only for good 6 | P a g e cause following written approval of AUGUSTA, GEORGIA. 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 thirty (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 AUGUSTA, GEORGIA. This clause applies to both DBE and non-DBE subcontracts. Monitoring and Enforcement: §26.29(d) AUGUSTA, GEORGIA has established the following mechanism to monitor and enforce prompt payment and return of retainage. AUGUSTA, GEORGIA shall place the following language in all federally funded contracts: The prime contractor will not be reimbursed for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have already performed. AUGUSTA, GEORGIA’s DBELO will conduct regular project site visits to monitor and confirm DBEs assigned to perform work on federally-funded projects. AUGUSTA, GEORGIA’s DBELO shall have final sign-off to ensure all DBE payments and retainage is in fact occurring. Directory (§26.31) AUGUSTA, GEORGIA maintains a directory identifying firms eligible to participate as DBEs. The directory lists the firm’s name, address, phone number, date of the most recent certification, and the type of work the firm has been certified to perform as a DBE. AUGUSTA, GEORGIA will revise the DBE Directory every fiscal quarter, which is downloaded from the Georgia Unified Certification Program (GDOT) Directory. AUGUSTA, GEORGIA will make the Directory available as follows: GDOT Directory linked to AUGUSTA, GEORGIA website, or an electronic copy, upon written request. The GDOT DBE Directory’s link is listed in Attachment 5 to this program document. Overconcentration (§26.33) AUGUSTA, GEORGIA has not identified that overconcentration exists in the types of work that DBEs perform. Business Development Programs (§26.35) AUGUSTA, GEORGIA has not established a business development program. AUGUSTA, GEORGIA will re-evaluate the need for such a program every two years. Monitoring and Enforcement Mechanisms (§26.37) AUGUSTA, GEORGIA will take the following monitoring and enforcement mechanisms to 7 | P a g e ensure compliance with 49 CFR Part 26. 1. AUGUSTA, GEORGIA will bring to the attention of the DOT 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. AUGUSTA, GEORGIA will consider similar action under AUGUSTA, GEORGIA’s own legal authorities, including responsibility determinations in future contracts. Attachment 6 lists the regulation, provisions, and contract remedies available to AUGUSTA, GEORGIA in the events of non-compliance with the DBE regulations by a participant in AUGUSTA, GEORGIA’s procurement activities. 3. AUGUSTA, GEORGIA 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 prime contractors to submit monthly Subcontracting Performance Reports to the DBELO for utilization auditing and participation levels. This will occur for each contract/project on which DBEs are participating. AUGUSTA, GEORGIA’s Monthly Subcontractors Paid Report is provided in Appendix A of this document. 4. AUGUSTA, GEORGIA will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. Small Business Participation (§26.39) AUGUSTA, GEORGIA is committed to fostering small businesses (both DBEs and non-DBEs) participation in its DBE program, in order to facilitate competition on DOT-assisted projects. AUGUSTA, GEORGIA is developing a Small Business Enterprise (SBE) Program which will be implemented in January 2019. The small business program participation strategies will include the following elements (to structure contracting requirements to facilitate competition by small business concerns):  Taking all reasonable steps to eliminate obstacles to their participation;  Including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors. As part of this program element, AUGUSTA, GEORGIA will utilize the following strategies (as listed in the DBE Rule Change of January 2011): (1) Establish small business contract goals on contracts meeting small business contracting criteria; (2) Require the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved (on prime contracts not having DBE contract goals); (3) Meet the portion of projected overall goal through race-neutral measures by ensuring that a 8 | P a g e reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. AUGUSTA, GEORGIA’s SBE program will not certify small businesses, however, will recognize and accept small businesses certified as SBEs by government agencies in the region, including but not limited to: Small Business Administration (SBA), Georgia Department of Transportation (GDOT), City of Atlanta, City of Savannah, and MARTA. SUBPART C – GOALS, GOOD FAITH EFFORTS AND COUNTING Set-Asides or Quotas (§26.43) AUGUSTA, GEORGIA does not use quotas in any way in the administration of this DBE program. Overall Goals (§26.45) In accordance with Section 26.45, AUGUSTA, GEORGIA will submit its triennial overall DBE goal to the FTA on August 1 of the year specified by the FTA. AUGUSTA, GEORGIA will also request use of project-specific DBE goals as appropriate, and/or will establish project-specific DBE goals as directed by the FTA. The process used by AUGUSTA, GEORGIA to establish the overall DBE goal is a two-step process. According to the USDOT Tips for Goal Setting (USDOT Tips), approved by the General Counsel of the USDOT, the recipient must first determine a base figure for the relative availability of certified DBEs and potentially certified Minority and Woman-owned Business Enterprises in the relevant market area. Next, AUGUSTA, GEORGIA must examine all relevant evidence to determine what adjustment, if any, is needed to the base figure in order to arrive at an overall goal. The final adjusted figure is the recipient’s overall goal, and represents the proportion of federal transportation funding that the recipient is expected to allocate to DBEs during the subsequent three federal fiscal years (FFY). Once the adjusted overall goal is determined, the process requires considering what portion of the goal will be met by race and gender-neutral measures. If AUGUSTA, GEORGIA purports that it can meet its overall goal with race and gender-neutral measures, those measures must be utilized. In contrast, if AUGUSTA, GEORGIA determines it cannot achieve the entire overall goal using only race and gender- neutral measures, it must establish a race and gender-conscious portion of the overall goal. AUGUSTA, GEORGIA implemented a race-neutral Disadvantaged Business Enterprise (DBE) program in accordance with directives issued by the Department of Transportation. As a result of the Ninth Circuit’s Western States decision, the FTA issued a Notice (guidance) (Docket No. FTA-2006- 24063) on March 23, 2006, stipulating a Notice of New Policy implementation and requests for comments to Public Transportation Providers regarding DOT’s DBE Program. AUGUSTA, GEORGIA defined its local market area as the Augusta-Richmond County. This is the area in which the substantial majority of the contractors and subcontractors with which AUGUSTA, GEORGIA does business are located; and the area in which AUGUSTA, GEORGIA spends the substantial majority of its contracting dollars. 9 | P a g e The two-step goal-setting process required by the regulations and the findings in Western States has been used to determine the recommended overall goal for FFY 2018-2020. The two steps for setting an overall goal are to: 1. Establish a base figure for the relative availability of DBEs; and 2. Determine the base figure adjustment, if necessary The base figure is intended to be a measurement of the current ready, willing and able DBEs as a percentage of all businesses ready, willing and able to perform the recipient’s anticipated FTA- assisted contracts. Before establishing the overall goal each year, AUGUSTA, GEORGIA will consult with the GDOT, recent disparity studies, other transit agencies, U.S. Census data, and random DBEs to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and AUGUSTA, GEORGIA’s efforts to establish a level playing field for the participation of DBEs. Following this consultation, AUGUSTA, GEORGIA 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 AUGUSTA, GEORGIA and DOT will accept comments on the goals for 45 days from the date of the notice. AUGUSTA, GEORGIA’s published Public Notice of the proposed Overall DBE Goal for FFY 2018-2020 was advertised in the following local market area publications: Augusta Chronicle Metro Spirit Urban Pro Metro Courier Additionally, AUGUSTA, GEORGIA uploaded the Overall DBE Goal for the FFY 2018-2020 DOT-assisted contracts to its website for convenient electronic access for review and comment. Normally, AUGUSTA, GEORGIA will issue this notice by June 1 of each year. The notice includes addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. AUGUSTA, GEORGIA’s 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 AUGUSTA, GEORGIA’s responses; and proof of publication of the goal in media outlets previously listed. AUGUSTA, GEORGIA will begin using its overall goal on October 1 of the specified year, unless AUGUSTA, GEORGIA has received other instructions from DOT. If AUGUSTA, GEORGIA establishes a goal on a project basis, it will begin using its goal by the time of the first solicitation for a DOT-assisted contract for the project. AUGUSTA, GEORGIA’s goal will 10 | P a g e remain effective for the duration of the three-year period established and approved by the FTA. Goal Setting and Accountability (§26.47) If the awards and commitments shown on AUGUSTA, GEORGIA’s Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall applicable to that fiscal year, AUGUSTA, GEORGIA will: 1. Analyze in detail the reason for the difference between the overall goal and the actual awards/commitments; 2. Establish specific steps and milestones to correct the problems identified in the analysis; and 3. Submit the plan to the FTA within 90 days of the end of the affected fiscal year. Transit Vehicle Manufacturers Goals (§26.49) AUGUSTA, GEORGIA will require each Transit Vehicle Manufacturer (TVM), 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, AUGUSTA, GEORGIA 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. Meeting Overall Goals/Contract Goals (§26.51) AUGUSTA, GEORGIA will meet the maximum feasible portion of its overall goal using race-neutral means of facilitating DBE participation. In order to do so, AUGUSTA, GEORGIA will:  Submit timely solicitations, conduct pre-bid meetings/conferences, develop clearly written plans and specifications, and delivery schedules in ways that facilitate DBEs and other small business firms’ participation.  Unbundle large contracts to make them more accessible to small businesses; requiring or encourage Service Providers to subcontract portions of work that they might otherwise perform with their own work forces.  Provide information and communication on AUGUSTA, GEORGIA contracting procedures and specific contract opportunities.  Provide assistance through available resources to interested DBEs in obtaining bonding, lines of credit, and/or insurance requirements. Upon acceptance of a disparity study supporting the use of contract goals, AUGUSTA, GEORGIA will use contract goals to meet any portion of the overall goal AUGUSTA, GEORGIA 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 AUGUSTA, GEORGIA’s overall goal that is not projected to be met through the use of race-neutral means. AUGUSTA, GEORGIA will establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities. AUGUSTA, GEORGIA needs not establish a contract goal on 11 | P a g e 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). AUGUSTA, GEORGIA will express its contract goals as a percentage of the federal share of a DOT-assisted contract. Good Faith Efforts Procedures (§26.53) 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, AUGUSTA, GEORGIA will not award the contract to a bidder who does not either: (1) meet the contract goal with verified, countable DBE participation; or (2) documents it has made adequate good faith efforts to meet the DBE contract goal, even though it was unable to do so. It is the obligation of the bidder to demonstrate it has made sufficient good faith efforts prior to submission of its bid. 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 following is a list of types of actions AUGUSTA, GEORGIA will consider as part of the bidder’s good faith efforts to obtain DBE participation. A. Soliciting through all reasonable and available means (e.g., attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation. D. (1) Negotiating in good faith with interested DBEs. It is the bidder’s responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. (2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional 12 | P a g e costs involved in finding and using DBEs is not in itself sufficient reason for a bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non- solicitation of bids in the contractor’s efforts to meet the project goal. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available minority/women community organizations; minority/women contractors’ groups; local, state, and federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. AUGUSTA, GEORGIA will ensure that all information is complete and accurate and adequately documents the bidder’s/offeror’s good faith efforts before AUGUSTA, GEORGIA commits to the performance of the contract by the bidder/offeror. Good faith efforts forms are located in Attachment 7. Information to be Submitted: §26.53(b) AUGUSTA, GEORGIA treats bidder’s/offeror’s 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: 1. The names and addresses of DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform; 3. The dollar amount of the participation of each DBE firm participating; 4. Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; 5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractors commitment and; 6. If the contract goal is not met, evidence of good faith efforts. Administrative Reconsideration: §26.53(d) Within five (5) days of being informed by AUGUSTA, GEORGIA that a bidder/offeror is not responsive because it has not documented sufficient good faith efforts, a bidder/offeror may 13 | P a g e request administrative reconsideration. Bidders/offerors should make this request in writing to the following reconsideration official: Janice Allen-Jackson City Administrator AUGUSTA, GEORGIA 535 Telfair Street, Ninth Floor 706.821.2400 Janice.Jackson@augustaga.gov 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 the reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. AUGUSTA, GEORGIA 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 DOT. Good Faith Efforts when a DBE is Terminated/Replaced on a Contract with Contract Goals: §26.53 (e) & (f) AUGUSTA, GEORGIA requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE contract goal without AUGUSTA, GEORGIA’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 AUGUSTA, GEORGIA 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 AUGUSTA, GEORGIA prior to consideration of the request to terminate. The DBE will then have five (5) days to respond and advise AUGUSTA, GEORGIA of why it objects to the proposed termination. In those instances where “good cause” exists to terminate a DBE’s contract, AUGUSTA, GEORGIA will require the prime contractor to make good faith efforts to replace a DBE that is terminated, or has otherwise failed to complete its work on a contract, with another certified DBE, to the extent needed to meet the contract goal. AUGUSTA, GEORGIA 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, AUGUSTA, GEORGIA will require the prime contractor to obtain prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, AUGUSTA, GEORGIA’s 14 | P a g e 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. Race-Conscious 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 AUGUSTA, GEORGIA 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 2), 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’s/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 (6) if the contract goal is not met, evidence of good faith efforts. Counting DBE Participation (§26.55) AUGUSTA, GEORGIA will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. SUBPARTS D & E – CERTIFICATION Unified Certification Programs (§26.81) AUGUSTA, GEORGIA is not a certifying agency but is a member of a Unified Certification Program (UCP) administered by State of Georgia Unified Certification Program (GDOT). A copy of the participation agreement can be found in Attachment 8. AUGUSTA, GEORGIA will use and count for DBE credit only those DBE firms certified by GDOT. The UCP is a “one-stop shopping” certification program that eliminates the need for a DBE or Airport Concessions Disadvantaged Business Enterprise (ACDBE) firm to obtain certifications from multiple agencies within the State. A business certified as a DBE or ACDBE through the GDOT is automatically accepted by all USDOT recipients in Georgia. The GDOT is charged with the responsibility of overseeing the certification activities performed by various certifying agencies, and compiling and maintaining a single statewide database of certified DBEs. The database is intended to expand the use of DBE and ACDBE firms by maintaining complete and current information on those businesses and the products and services they can provide to all USDOT recipients in Georgia. 15 | P a g e As mandated by USDOT in the DBE Program, Final Rule 49 Code of Federal Regulations (CFR), Parts 23 and 26, all public agencies that receive USDOT federal financial assistance must participate in a statewide unified certification program. These public agencies, commonly referred to as “recipients” of USDOT funds, include municipalities, counties, special districts, airports, transit agencies, and the Georgia Department of Transportation (GDOT). The GDOT is the agency responsible for certifying DBE firms. You only need to apply for DBE certification at one agency. If your firm meets the General Criteria for DBE certification as provided on the Application Package, submit your completed application, along with the requested documentation, to one of the Certifying Agencies serving the geographical area where your firm has its principal place of business. For information about the certification process or to apply for certification, firms should contact one of the following certifying agency: Georgia Department of Transportation (GDOT) One Georgia Center 600 West Peachtree NW Atlanta, GA 30308 (404) 631-1990 Main Office www.dot.ga.gov A copy of GDOT’s certification process and application can be found online at: http://www.dot.ga.gov/PS/Business/DBE SUBPART F – COMPLIANCE AND ENFORCEMENT Information, Confidentiality, Cooperation (§26.109) AUGUSTA, GEORGIA will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with federal, state and local law. Notwithstanding any contrary provisions of state or local law, AUGUSTA, GEORGIA 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 submitter. Monitoring Payments to DBEs AUGUSTA, GEORGIA will require prime contractors to maintain records and documents of payments to DBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of AUGUSTA, GEORGIA or DOT. This reporting requirement also extends to any certified DBE subcontractor. AUGUSTA, GEORGIA 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. 16 | P a g e ATTACHMENTS Attachment 1: AUGUSTA, GEORGIA DBE Program Resolution Attachment 2: Definitions Attachment 3: Organizational Chart Attachment 4: Minority Owned Financial Institutions Attachment 5: GDOT DBE Directory Attachment 6: Monitoring and Enforcement Mechanisms/Legal Remedies Attachment 7: Good Faith Efforts Forms Attachment 8: DBE Regulation, 49 CFR Part 26 Appendix A: AUGUSTA, GEORGIA Summary of DBE – Monthly Subcontractors Paid Report 17 | P a g e ATTACHMENT 1 AUGUSTA, GEORGIA Commission Resolution Adopting DBE Program AUGUSTA, GEORGIA DISADVANTAGED BUSINESS ENTERPRISE PROGRAM POLICY STATEMENT Policy Statement (§26.1, §26.23) Augusta, Georgia (Augusta, Georgia) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 Code of Federal Regulations (CFR) Part 26. Augusta, Georgia has received federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, Augusta, Georgia has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of Augusta, Georgia to ensure that DBEs, as defined in Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. It is also 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 marketplace outside the DBE program. Kellie S. Irving, Compliance Department Director, is Augusta, Georgia’s DBE Liaison Officer and 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 Augusta, Georgia in its financial assistance agreements with the DOT. Augusta, Georgia has disseminated this policy statement to its Board of Commissioners and Mayor and all of the departments of its organization. Augusta, Georgia has distributed this statement to DBE and non-DBE business communities that perform work for Augusta, Georgia on DOT-assisted contracts. Distribution of this policy statement is publicly displayed on our organization’s website, procurement contracting documents, and annual written notification to all vendors via U.S. Mail and/or email. _ Mayor Hardie Davis, Jr. Date Augusta, Georgia Commission Adopted: TBD 2 | P a g e ATTACHMENT 2 Definitions ATTACHMENT 2 DEFINITIONS https://www.ecfr.gov/cgi-bin/text- idx?SID=2dd6ec15157701acc589be830b1ef30e&mc=true&node=se49.1.26_15&rgn=div8 § 26.5 What do the terms used in this part mean? Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR Part 121. (1) Except as otherwise provided in 13 CFR Part 121, concerns are affiliates of each other when, either directly or indirectly: (i) One concern controls or has the power to control the other; or (ii) A third party or parties controls or has the power to control both; or (iii) An identity of interest between or among parties exists such that affiliation may be found. (2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common ownership, common management, and contractual relationships. Affiliates must be considered together in determining whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE program. Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian (including Tsimshian Indians not enrolled in the Metlakatla Indian Community), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native. Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). Assets mean all the property of a person available for paying debts or for distribution, including one's respective share of jointly held assets. This includes, but is not limited to, cash on hand and in banks, savings accounts, IRA or other retirement accounts, accounts receivable, life insurance, stocks and bonds, real estate, and personal property. Business, business concern or business enterprise means an entity organized for profit with a place of business located in the United States, and which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor. Compliance means that a recipient has correctly implemented the requirements of this part. Contingent Liability means a liability that depends on the occurrence of a future and uncertain event. This includes, but is not limited to, guaranty for debts owed by the applicant concern, legal claims and judgments, and provisions for federal income tax. Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is considered to be a contract. Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway, transit, or airport program. Days mean calendar days. In computing any period of time described in this part, the day from which the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, or Federal holiday, the period extends to the next day that is not a Saturday, Sunday, or Federal holiday. Similarly, in circumstances where the recipient's offices are closed for all or part of the last day, the period extends to the next day on which the agency is open. Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA). Disadvantaged Business Enterprise or DBE means a for-profit small business concern— (1) That is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more such individuals; and (2) Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. DOT-assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase of land. DOT/SBA Memorandum of Understanding or MOU, refers to the agreement signed on November 23, 1999, between the Department of Transportation (DOT) and the Small Business Administration (SBA) streamlining certification procedures for participation in SBA’s 8(a) Business Development (8(a) BD) and Small Disadvantaged Business (SDB) programs, and DOT’s Disadvantaged Business Enterprise (DBE) program for small and disadvantaged businesses. Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement. Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of business. Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandfather, grandmother, father-in-law, mother-in-law, sister-in-law, brother-inlaw, and domestic partner and civil unions recognized under State law. Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See definition of “tribally-owned concern” in this section. Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for- profit business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest. Liabilities mean financial or pecuniary obligations. This includes, but is not limited to, accounts payable, notes payable to bank or others, installment accounts, mortgages on real estate, and unpaid taxes. Memorandum of Understanding or MOU means a formal agreement between two or more parties. Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises the State of Hawaii. Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. Noncompliance means that a recipient has not correctly implemented the requirements of this part. Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The “Administrator” of an operating administration includes his or her designees. Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An individual’s personal net worth does not include: The individual’s ownership interest in an applicant or participating DBE firm; or the individual’s equity in his or her primary place of residence. An individual’s personal net worth includes only his or her own share of assets held jointly or as community property with the individual’s spouse. Primary industry classification means the most current North American Industry Classification System (NAICS) designation which best describes the primary business of a firm. The NAICS is described in the North American Industry Classification Manual—United States, which is available on the Internet at the U.S. Census Bureau Web site: http://www.census.gov/eos/www/naics/. Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to another recipient. Principal place of business means the business location where the individuals who manage the firm’s day-to-day operations spend most working hours and where top management’s business records are kept. If the offices from which management is directed and where business records are kept are in different locations, the recipient will determine the principal place of business for DBE program purposes. Program means any undertaking on a recipient’s part to use DOT financial assistance, authorized by the laws to which this part applies. Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women owned DBEs. Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of this part, race-neutral includes gender-neutrality. Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance. Secretary means the Secretary of Transportation or his/her designee. Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms. Small Business Administration or SBA means the United States Small Business Administration. SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a) BD or SDB programs. Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a small business concern as defined pursuant to Section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 CFR Part 121) that also does not exceed the cap on average annual gross receipts specified in § 26.65(b). Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who has been subjected to racial or ethnic prejudice or cultural bias within American society because of his or her identity as a members of groups and without regard to his or her individual qualities. The social disadvantage must stem from circumstances beyond the individual's control. (1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case basis. An individual must demonstrate that he or she has held himself or herself out, as a member of a designated group if you require it. (2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: (i) “Black Americans” which includes persons having origins in any of the Black racial groups of Africa; (ii) “Hispanic Americans” which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; (iii) “Native Americans” which includes persons who are enrolled members of a federally or State recognized Indian tribe, Alaska Natives, or Native Hawaiians; (iv) “Asian-Pacific Americans” which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), Republic of the Northern Marianas Islands, Samoa, Macao, Fiji, Tonga, Kirbati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong; (v) “Subcontinent Asian Americans” which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka; (vi) Women; (vii) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective. (3) Being born in a particular country does not, standing alone, mean that a person is necessarily a member of one of the groups listed in this definition. Spouse means a married person, including a person in a domestic partnership or a civil union recognized under State law. Transit vehicle manufacturer means any manufacturer whose primary business purpose is to manufacture vehicles specifically built for public mass transportation. Such vehicles include, but are not limited to: Buses, rail cars, trolleys, ferries, and vehicles manufactured specifically for paratransit purposes. Producers of vehicles that receive post-production alterations or retrofitting to be used for public transportation purposes (e.g., so-called cutaway vehicles, vans customized for service to people with disabilities) are also considered transit vehicle manufacturers. Businesses that manufacture, massproduce, or distribute vehicles solely for personal use and for sale “off the lot” are not considered transit vehicle manufacturer Tribally-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section. You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., ‘You must do XYZ’ means that recipients must do XYZ). [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003] ATTACHMENT 3 Organizational Chart Updated May 23, 2017 Deputy Administrator Deputy Administrator Mayor & Commission General Counsel Administrator Director of Compliance EEO, DBE & ADA Clerk Finance Transit Procurement 911 Citizens Information Technology Human Resources Fire Central Services Utilities Environmental Services Planning and Development RCCI Engineering Recreation & Parks Housing & Community Development Animal Services ATTACHMENT 4 Minority-Owned Financial Institutions Minority-Owned Financial Institutions (Georgia) Source: https://www.federalreserve.gov/Releases/mob/current/default.htm ATTACHMENT 5 Georgia Unified Certification Program DBE Directory Georgia Department of Transportation DBE Unified Certification Program Directory https://gdotbiext.dot.ga.gov/analytics/saw.dll?Dashboard ATTACHMENT 6 Monitoring and Enforcement Mechanisms/Legal Remedies ATTACHMENT 6 MONITORING AND ENFORCEMENT MECHANISMS The following sections contain the standards, policies, practices and procedures AUGUSTA, GEORGIA uses to assess whether a contractor is in compliance with regulatory and contract requirements applicable to DOT-assisted projects: (1) REGULATORY PROVISIONS Including but not limited to: A. 49 CFR Part 26 – Participation by Disadvantaged Business Enterprises Department of Transportation Financial Assistance Programs; particularly, Subpart F, Compliance and Enforcement B. 49 CFR Part 29 – Government-wide Debarment and Suspension (Non- Procurement) and Government-wide Requirements for Drug-Free Workplace. C. 49 CFR Part 31 – Program Fraud Civil Remedies D. 13 CFR Part 121 – Small Business Size Standards (2) CONTRACT REQUIRMENTS AND REMEDIES Contract requirements and remedies are provided in this DBE program and by administrative policies, practices and procedures requirements in each contract. All contractors, as a condition of Participation in any DOT-assisted contract, shall agree to the terms of this DBE program, and shall incorporate the DBE program and the DBE administrative policies, practices and procedures requirements into their contracts and subcontracts at all tiers. (3) FINDINGS OF NON-COMPLIANCE AND ADMINISTRATIVE SANCTIONS Contractors found not to be compliant with any part of the DBE program requirements shall be notified of AUGUSTA, GEORGIA’s finding of Non-Compliance, in writing, by certified mail. The notice shall cite the DBE program requirement under which the contractor is non-compliant, state the date of the findings and the grounds on which the finding was made and state the category of sanctions being imposed. Upon a finding of non-compliance, AUGUSTA, GEORGIA may choose to impose sanctions. (4) ENFORCEMENT MECHANISMS The federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE program, including, but not limited to, the following: A. Suspension or debarment proceedings pursuant to 49 CFR Part 26 B. Enforcement action pursuant to 49 CFR Part 31 C. Prosecution pursuant to 18 USC 1001. (5) RESOLUTION OF DISPUTES BETWEEN CONTRACTOR AND SUBCONTRACTORS Disputes between the Contractor and any lower-tier DBE subcontractors, which cannot be settled by discussions between the parties involved, shall be settled as described herein. Contractor shall notify AUGUSTA, GEORGIA of such dispute within 10 days of failure to resolve through written cure notice process described above. These provisions shall not apply to disputes between the Contractor and AUGUSTA, GEORGIA. The Contractor and Subcontractors shall include the dispute resolution provision in their contract. Both parties shall agree to proceed through informal meetings, mediation, or arbitration, or any combination thereof. Dispute submittals shall include terms and timeframes and the service or assistance to be employed. ATTACHMENT 7 Good Faith Effort Forms EVIDENCE OF GOOD FAITH EFFORTS This completed form should be furnished to AUGUSTA, GEORGIA CURRENT DATE: / / RFP/RFQ/P.O./Bid/Solicitation/Other: PROJECT DESCRIPTION: BIDDER/OFFERER(FIRM): CONTACT PERSON: TELEPHONE: ADDRESS: CITY: STATE: ZIP: EMAIL: YES NO EVIDENCE OF GOOD FAITH EFFORTS PRE‐BID MEETING(S): The bidder/offerer attended all pre‐bid meetings scheduled by AUGUSTA, GEORGIA to inform DBEs of contracting and subcontracting opportunities. COMMUNITY RESOURCES: The bidder/offerer used the services of available community organizations, small and/or disadvantaged business assistance offices and other organizations that provided assistance in the recruitment and placement of DBE firms. DBE LIST(S): The bidder/offerer utilized the GDOT list of certified DBE firms found on the GDOT website. ADVERTISEMENT: The bidder/offerer advertised in general circulation and/or trade association publications concerning subcontracting opportunities, and allowed DBEs reasonable time to respond. WRITTEN NOTICE(S): The bidder/offerer took the necessary steps to provide written notice in a manner reasonably calculated to inform DBEs of subcontracting opportunities and allowed sufficient time for them to participate effectively. SMALL CONTRACT(S):The bidder/offerer selected specific portions of the work to be performed by DBEs in order to increase the likelihood of meeting the DBE goals (including breaking down contracts into smaller units to facilitate DBE participation). INFORMATION: The bidder/offerer provided interested DBEs with adequate information about the plans, specifications and requirements of the subcontract. FOLLOW‐UP: The bidder/offerer followed‐up initial indications of interest by DBEs by contacting those DBEs to determine with certainty if they remained interested in bidding. GOOD FAITH NEGOTIATIONS: The bidder/offerer negotiated in good faith with interested DBEs and did not reject DBEs as unqualified without sound business reasons based on a thorough investigation of their capabilities. 1 | P a g e To determine whether a bidder/offerer has demonstrated good faith efforts to reach the DBE utilization goal(s) on the above‐referenced project, AUGUSTA, GEORGIA will consider, AT A MINIMUM, EVIDENCE OF GOOD FAITH EFFORTS as described in the table below. EVIDENCE OF GOOD FAITH EFFORTS a) A report of all proposals received from a joint venture of DBE firms. The report shall indicate the action taken by the bidder/offerer in response to the submitted proposals that have been rejected, and the reason for rejection shall be indicated. b) Documentation of efforts to enter into agreements with DBE firms for contracted work and efforts to arrange for a joint venture, partnership or other business relationship with DBEs. c) Documented contact with DBE firms, associations, or business development organizations which disseminate information to DBE firms. d) A copy of letters sent to groups in relevant market sectors notifying them of the bidder's/offerer's intent to submit a proposal to AUGUSTA, GEORGIA. e) Description of assistance provided by the bidder to DBE firms: 1. Review of Request for Proposal or other documents issued by AUGUSTA, GEORGIA. 2. Review of the Scope of Work to be performed. 3. Efforts to assist interested DBEs with bonding, insurance, lines of credit as required by the bidder/offerer. f) Documentation of any other effort(s) undertaken by the bidder to encourage the participation of DBE firms. g) Overall operation of the bidder/offerer may be considered in evaluating the Evidence of Good Faith Efforts of the bidder/offerer to comply with the goals and intent of the disadvantaged business enterprise goals for AUGUSTA, GEORGIA. h) Any other documentation to demonstrate Evidence of Good Faith Efforts to satisfy the objectives outlined above. ASSISTANCE You may contact the DBE Liaison Officer for assistance with completing any DBE form or document. You may also contact the DBE Liaison Officer for assistance in identifying available, capable, and willing DBE firms. CONTACT US Kellie S. Irving Compliance Department Director Augusta, Georgia 535 Telfair Street, Suite 710 706.826.1325 kirving@augustga.gov www.augustaga.gov 2 | P a g e ATTACHMENT 8 DBE Regulation, 49 CFR Part 26 DBE Regulation, 49 CFR Part 26 https://www.ecfr.gov/cgi- bin/retrieveECFR?gp=&SID=2dd6ec15157701acc589be830b 1ef30e&mc=true&n=pt49.1.26&r=PART&ty=HTML Appendis F to Part 26—Uniform Certification Application https://www.transportation.gov/sites/dot.gov/files/docs/New%20DBE%20Ce rtification%20Application%2011-18-2014_0.pdf Appendix G to Part 26—Personal Net Worth Statement https://www.transportation.gov/sites/dot.gov/files/docs/NewDBEPersNetWor thStmt.pdf E L E C T R O N I C C O D E O F F E D E R A L R E G U L AT I O N S e-CFR data is current as of January 10, 2018 Title 49 → Subtitle A → Part 26 Title 49: Transportation PART 26—PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS Contents Subpart A—General §26.1 What are the objectives of this part? §26.3 To whom does this part apply? §26.5 What do the terms used in this part mean? §26.7 What discriminatory actions are forbidden? §26.9 How does the Department issue guidance and interpretations under this part? §26.11 What records do recipients keep and report? §26.13 What assurances must recipients and contractors make? §26.15 How can recipients apply for exemptions or waivers? Subpart B—Administrative Requirements for DBE Programs for Federally-Assisted Contracting §26.21 Who must have a DBE program? §26.23 What is the requirement for a policy statement? §26.25 What is the requirement for a liaison officer? §26.27 What efforts must recipients make concerning DBE financial institutions? §26.29 What prompt payment mechanisms must recipients have? §26.31 What information must you include in your DBE directory? §26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work? §26.35 What role do business development and mentor-protégé programs have in the DBE program? §26.37 What are a recipient's responsibilities for monitoring the performance of other program participants? §26.39 Fostering small business participation. Subpart C—Goals, Good Faith Efforts, and Counting §26.41 What is the role of the statutory 10 percent goal in this program? §26.43 Can recipients use set-asides or quotas as part of this program? §26.45 How do recipients set overall goals? §26.47 Can recipients be penalized for failing to meet overall goals? §26.49 How are overall goals established for transit vehicle manufacturers? §26.51 What means do recipients use to meet overall goals? §26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals? §26.55 How is DBE participation counted toward goals? Subpart D—Certification Standards §26.61 How are burdens of proof allocated in the certification process? §26.63 What rules govern group membership determinations? §26.65 What rules govern business size determinations? §26.67 What rules determine social and economic disadvantage? §26.69 What rules govern determinations of ownership? §26.71 What rules govern determinations concerning control? §26.73 What are other rules affecting certification? Subpart E—Certification Procedures §26.81 What are the requirements for Unified Certification Programs? §26.83 What procedures do recipients follow in making certification decisions? §26.85 Interstate certification. §26.86 What rules govern recipients' denials of initial requests for certification? §26.87 What procedures does a recipient use to remove a DBE's eligibility? §26.88 Summary suspension of certification. §26.89 What is the process for certification appeals to the Department of Transportation? §26.91 What actions do recipients take following DOT certification appeal decisions? Subpart F—Compliance and Enforcement §26.101 What compliance procedures apply to recipients? §26.103 What enforcement actions apply in FHWA and FTA programs? §26.105 What enforcement actions apply in FAA programs? §26.107 What enforcement actions apply to firms participating in the DBE program? §26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation? Appendix A to Part 26—Guidance Concerning Good Faith Efforts Appendix B to Part 26—Uniform Report of DBE Awards or Commitments and Payments Form Appendix C to Part 26—DBE Business Development Program Guidelines Appendix D to Part 26—Mentor-Protégé Program Guidelines Appendix E to Part 26—Individual Determinations of Social and Economic Disadvantage Appendix F to Part 26—Uniform Certification Application Form Appendix G to Part 26—Personal Net Worth Statement AUTHORITY: 23 U.S.C. 304 and 324; 42 U.S.C. 2000d, et seq. ; 49 U.S.C. 47107, 47113, 47123; Sec. 1101(b), Pub. L. 105-178, 112 Stat. 107, 113. SOURCE: 64 FR 5126, Feb. 2, 1999, unless otherwise noted. Back to Top Subpart A—General Back to Top §26.1 What are the objectives of this part? This part seeks to achieve several objectives: (a) To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's highway, transit, and airport financial assistance programs; (b) To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; (c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law; (d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs; (e) To help remove barriers to the participation of DBEs in DOT-assisted contracts; (f) To promote the use of DBEs in all types of federally-assisted contracts and procurement activities conducted by recipients. (g) To assist the development of firms that can compete successfully in the marketplace outside the DBE program; and (h) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59592, Oct. 2, 2014] Back to Top §26.3 To whom does this part apply? (a) If you are a recipient of any of the following types of funds, this part applies to you: (1) Federal-aid highway funds authorized under Titles I (other than Part B) and V of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, or Titles I, III, and V of the Transportation Equity Act for the 21st Century (TEA-21), Pub. L. 105-178, 112 Stat. 107. Titles I, III, and V of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405. (2) 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, III, and V of the TEA-21, Pub. L. 105-178. Titles I, III, and V of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405. (3) Airport funds authorized by 49 U.S.C. 47101, et seq. (b) [Reserved] (c) If you are letting a contract, and that contract is to be performed entirely outside the United States, its territories and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract. (d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the contract. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59592, Oct. 2, 2014] Back to Top §26.5 What do the terms used in this part mean? Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part 121. (1) Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or indirectly: (i) One concern controls or has the power to control the other; or (ii) A third party or parties controls or has the power to control both; or (iii) An identity of interest between or among parties exists such that affiliation may be found. (2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common ownership, common management, and contractual relationships. Affiliates must be considered together in determining whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE program. Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian (including Tsimshian Indians not enrolled in the Metlaktla Indian Community), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native. Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). Assets mean all the property of a person available for paying debts or for distribution, including one's respective share of jointly held assets. This includes, but is not limited to, cash on hand and in banks, savings accounts, IRA or other retirement accounts, accounts receivable, life insurance, stocks and bonds, real estate, and personal property. Business, business concern or business enterprise means an entity organized for profit with a place of business located in the United States, and which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor. Compliance means that a recipient has correctly implemented the requirements of this part. Contingent Liability means a liability that depends on the occurrence of a future and uncertain event. This includes, but is not limited to, guaranty for debts owed by the applicant concern, legal claims and judgments, and provisions for federal income tax. Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is considered to be a contract. Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway, transit, or airport program. Days mean calendar days. In computing any period of time described in this part, the day from which the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, or Federal holiday, the period extends to the next day that is not a Saturday, Sunday, or Federal holiday. Similarly, in circumstances where the recipient's offices are closed for all or part of the last day, the period extends to the next day on which the agency is open. Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA). Disadvantaged business enterprise or DBE means a for-profit small business concern— (1) That is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more such individuals; and (2) Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. DOT-assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase of land. Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement. Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of business. Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandfather, grandmother, father-in-law, mother-in-law, sister-in-law, brother-in-law, and domestic partner and civil unions recognized under State law. Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See definition of “tribally-owned concern” in this section. Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest. Liabilities mean financial or pecuniary obligations. This includes, but is not limited to, accounts payable, notes payable to bank or others, installment accounts, mortgages on real estate, and unpaid taxes. Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises the State of Hawaii. Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. Noncompliance means that a recipient has not correctly implemented the requirements of this part. Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The “Administrator” of an operating administration includes his or her designees. Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An individual's personal net worth does not include: The individual's ownership interest in an applicant or participating DBE firm; or the individual's equity in his or her primary place of residence. An individual's personal net worth includes only his or her own share of assets held jointly or as community property with the individual's spouse. Primary industry classification means the most current North American Industry Classification System (NAICS) designation which best describes the primary business of a firm. The NAICS is described in the North American Industry Classification Manual—United States, which is available on the Internet at the U.S. Census Bureau Web site: http://www.census.gov/eos/www/naics/. Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to another recipient. Principal place of business means the business location where the individuals who manage the firm's day-to-day operations spend most working hours. If the offices from which management is directed and where the business records are kept are in different locations, the recipient will determine the principal place of business. Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to which this part applies. Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women-owned DBEs. Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of this part, race-neutral includes gender-neutrality. Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance. Secretary means the Secretary of Transportation or his/her designee. Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms. Small Business Administration or SBA means the United States Small Business Administration. SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a) BD or SDB programs. Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a small business concern as defined pursuant to section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual gross receipts specified in §26.65(b). Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who has been subjected to racial or ethnic prejudice or cultural bias within American society because of his or her identity as a members of groups and without regard to his or her individual qualities. The social disadvantage must stem from circumstances beyond the individual's control. (1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case basis. An individual must demonstrate that he or she has held himself or herself out, as a member of a designated group if you require it. (2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: (i) “Black Americans,” which includes persons having origins in any of the Black racial groups of Africa; (ii) “Hispanic Americans,” which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; (iii) “Native Americans,” which includes persons who are enrolled members of a federally or State recognized Indian tribe, Alaska Natives, or Native Hawaiians; (iv) “Asian-Pacific Americans,” which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), Republic of the Northern Marianas Islands, Samoa, Macao, Fiji, Tonga, Kirbati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong; (v) “Subcontinent Asian Americans,” which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka; (vi) Women; (vii) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective. (3) Being born in a particular country does not, standing alone, mean that a person is necessarily a member of one of the groups listed in this definition. Spouse means a married person, including a person in a domestic partnership or a civil union recognized under State law. Transit vehicle manufacturer means any manufacturer whose primary business purpose is to manufacture vehicles specifically built for public mass transportation. Such vehicles include, but are not limited to: Buses, rail cars, trolleys, ferries, and vehicles manufactured specifically for paratransit purposes. Producers of vehicles that receive post-production alterations or retrofitting to be used for public transportation purposes (e.g., so-called cutaway vehicles, vans customized for service to people with disabilities) are also considered transit vehicle manufacturers. Businesses that manufacture, mass-produce, or distribute vehicles solely for personal use and for sale “off the lot” are not considered transit vehicle manufacturers. Tribally-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section. You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., ‘You must do XYZ’ means that recipients must do XYZ). [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096, Jan. 28, 2011; 79 FR 59592, Oct. 2, 2014] Back to Top §26.7 What discriminatory actions are forbidden? (a) You must 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 this part on the basis of race, color, sex, or national origin. (b) In administering your DBE program, you must 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 program with respect to individuals of a particular race, color, sex, or national origin. Back to Top §26.9 How does the Department issue guidance and interpretations under this part? (a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of Transportation or any of its operating administrations. (b) The Secretary of Transportation, Office of the Secretary of Transportation, FHWA, FTA, and FAA may issue written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid, and express the official positions and views of the Department of Transportation or any of its operating administrations, only if they are issued over the signature of the Secretary of Transportation or if they contain the following statement: The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent with the language and intent of 49 CFR part 26. [72 FR 15617, Apr. 2, 2007] Back to Top §26.11 What records do recipients keep and report? (a) You must transmit the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to this part, at the intervals stated on the form. (b) You must continue to provide data about your DBE program to the Department as directed by DOT operating administrations. (c) You must create and maintain a bidders list. (1) The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts for use in helping you set your overall goals. (2) You must obtain the following information about DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts: (i) Firm name; (ii) Firm address; (iii) Firm's status as a DBE or non-DBE; (iv) Age of the firm; and (v) The annual gross receipts of the firm. You may obtain this information by asking each firm to indicate into what gross receipts bracket they fit (e.g., less than $500,000; $500,000-$1 million; $1-2 million; $2-5 million; etc.) rather than requesting an exact figure from the firm. (3) You may acquire the information for your bidders list in a variety of ways. For example, you can collect the data from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically sound estimate of the universe of DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts. You may combine different data collection approaches (e.g., collect name and address information from all bidders, while conducting a survey with respect to age and gross receipts information). (d) You must maintain records documenting a firm's compliance with the requirements of this part. At a minimum, you must keep a complete application package for each certified firm and all affidavits of no-change, change notices, and on-site reviews. These records must be retained in accordance with applicable record retention requirements for the recipient's financial assistance agreement. Other certification or compliance related records must be retained for a minimum of three (3) years unless otherwise provided by applicable record retention requirements for the recipient's financial assistance agreement, whichever is longer. (e) The State department of transportation in each UCP established pursuant to §26.81 of this part must report to the Department of Transportation's Office of Civil Rights, by January 1, 2015, and each year thereafter, the percentage and location in the State of certified DBE firms in the UCP Directory controlled by the following: (1) Women; (2) Socially and economically disadvantaged individuals (other than women); and (3) Individuals who are women and are otherwise socially and economically disadvantaged individuals. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 76 FR 5096, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014] Back to Top §26.13 What assurances must recipients and contractors make? (a) Each financial assistance agreement you sign with a DOT operating administration (or a primary recipient) must include the following assurance: The recipient 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 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 recipient of its failure to carry out its approved program, the Department may impose sanctions as provided for under 49 CFR part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). (b) Each contract you sign with a contractor (and each subcontract the prime contractor signs with a subcontractor) must include the following assurance: 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, which may include, but is not limited to: (1) Withholding monthly progress payments; (2) Assessing sanctions; (3) Liquidated damages; and/or (4) Disqualifying the contractor from future bidding as non-responsible. [79 FR 59593, Oct. 2, 2014] Back to Top §26.15 How can recipients apply for exemptions or waivers? (a) You can apply for an exemption from any provision of this part. To apply, you must request the exemption in writing from the Office of the Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the request only if it documents special or exceptional circumstances, not likely to be generally applicable, and not contemplated in connection with the rulemaking that established this part, that make your compliance with a specific provision of this part impractical. You must agree to take any steps that the Department specifies to comply with the intent of the provision from which an exemption is granted. The Secretary will issue a written response to all exemption requests. (b) You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program waivers are for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part by means that may differ from one or more of the requirements of Subpart B or C of this part. To receive a program waiver, you must follow these procedures: (1) You must apply through the concerned operating administration. The application must include a specific program proposal and address how you will meet the criteria of paragraph (b)(2) of this section. Before submitting your application, you must have had public participation in developing your proposal, including consultation with the DBE community and at least one public hearing. Your application must include a summary of the public participation process and the information gathered through it. (2) Your application must show that— (i) There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent with the objectives of this part using different or innovative means other than those that are provided in subpart B or C of this part; (ii) Conditions in your jurisdiction are appropriate for implementing the proposal; (iii) Your proposal would prevent discrimination against any individual or group in access to contracting opportunities or other benefits of the program; and (iv) Your proposal is consistent with applicable law and program requirements of the concerned operating administration's financial assistance program. (3) The Secretary has the authority to approve your application. If the Secretary grants your application, you may administer your DBE program as provided in your proposal, subject to the following conditions: (i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is counted as provided in §26.49; (ii) Your level of DBE participation continues to be consistent with the objectives of this part; (iii) There is a reasonable limitation on the duration of your modified program; and (iv) Any other conditions the Secretary makes on the grant of the waiver. (4) The Secretary may end a program waiver at any time and require you to comply with this part's provisions. The Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2) and (3) of this section continue to be met. Any such extension shall be for no longer than period originally set for the duration of the program. Back to Top Subpart B—Administrative Requirements for DBE Programs for Federally-Assisted Contracting Back to Top §26.21 Who must have a DBE program? (a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the requirements of this part: (1) All FHWA primary recipients receiving funds authorized by a statute to which this part applies; (2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding transit vehicle purchases) the cumulative total value of which exceeds $250,000 in FTA funds in a Federal fiscal year; (3) FAA recipients receiving grants for airport planning or development who will award prime contracts the cumulative total value of which exceeds $250,000 in FAA funds in a Federal fiscal year. (b)(1) You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating administration (OA). Once the OA has approved your program, the approval counts for all of your DOT-assisted programs (except that goals are reviewed by the particular operating administration that provides funding for your DOT-assisted contracts). (2) You do not have to submit regular updates of your DBE programs, as long as you remain in compliance. However, you must submit significant changes in the program for approval. (c) You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you are in compliance with it and this part. You must continue to carry out your program until all funds from DOT financial assistance have been expended. [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 79 FR 59593, Oct. 2, 2014] Back to Top §26.23 What is the requirement for a policy statement? You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states its objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts. Back to Top §26.25 What is the requirement for a liaison officer? You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE program. You must also have adequate staff to administer the program in compliance with this part. Back to Top §26.27 What efforts must recipients make concerning DBE financial institutions? You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in your community and make reasonable efforts to use these institutions. You must also encourage prime contractors to use such institutions. Back to Top §26.29 What prompt payment mechanisms must recipients have? (a) You must establish, as part of your DBE program, a contract clause to require prime contractors to pay subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment you make to the prime contractor. (b) You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to comply with this requirement: (1) You may decline to hold retainage from prime contractors and prohibit prime contractors from holding retainage from subcontractors. (2) You may decline to hold retainage from prime contractors and require a contract clause obligating prime contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. (3) You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances of portions of the prime contract, pay retainage to prime contractors based on these acceptances, and require a contract clause obligating the prime contractor to pay all retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after your payment to the prime contractor. (c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the recipient. When a recipient has made an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. (d) Your DBE program must provide appropriate means to enforce the requirements of this section. These means may include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program may also provide that any delay or postponement of payment among the parties may take place only for good cause, with your prior written approval. (e) You may also establish, as part of your DBE program, any of the following additional mechanisms to ensure prompt payment: (1) A contract clause that requires prime contractors to include in their subcontracts language providing that prime contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to resolve payment disputes. You may specify the nature of such mechanisms. (2) A contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed. (3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and other contractors are fully and promptly paid. [68 FR 35553, June 16, 2003] Back to Top §26.31 What information must you include in your DBE directory? (a) In the directory required under §26.81(g) of this Part, you must list all firms eligible to participate as DBEs in your program. In the listing for each firm, you must include its address, phone number, and the types of work the firm has been certified to perform as a DBE. (b) You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code available to describe each type of work. You must make any changes to your current directory entries necessary to meet the requirement of this paragraph (a) by August 26, 2011. [76 FR 5096, Jan. 28, 2011] Back to Top §26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work? (a) If you determine that DBE firms are so overconcentrated in a certain type of work as to unduly burden the opportunity of non-DBE firms to participate in this type of work, you must devise appropriate measures to address this overconcentration. (b) These measures may include the use of incentives, technical assistance, business development programs, mentor- protégé programs, and other appropriate measures designed to assist DBEs in performing work outside of the specific field in which you have determined that non-DBEs are unduly burdened. You may also consider varying your use of contract goals, to the extent consistent with §26.51, to unsure that non-DBEs are not unfairly prevented from competing for subcontracts. (c) You must obtain the approval of the concerned DOT operating administration for your determination of overconcentration and the measures you devise to address it. Once approved, the measures become part of your DBE program. Back to Top §26.35 What role do business development and mentor-protégé programs have in the DBE program? (a) You may or, if an operating administration directs you to, you must establish a DBE business development program (BDP) to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE program. You may require a DBE firm, as a condition of receiving assistance through the BDP, to agree to terminate its participation in the DBE program after a certain time has passed or certain objectives have been reached. See Appendix C of this part for guidance on administering BDP programs. (b) As part of a BDP or separately, you may establish a “mentor-protégé” program, in which another DBE or non-DBE firm is the principal source of business development assistance to a DBE firm. (1) Only firms you have certified as DBEs before they are proposed for participation in a mentor-protégé program are eligible to participate in the mentor-protégé program. (2) During the course of the mentor-protégé relationship, you must: (i) Not award DBE credit to a non-DBE mentor firm for using its own protégé firm for more than one half of its goal on any contract let by the recipient; and (ii) Not award DBE credit to a non-DBE mentor firm for using its own protégé firm for more than every other contract performed by the protégé firm. (3) For purposes of making determinations of business size under this part, you must not treat protégé firms as affiliates of mentor firms, when both firms are participating under an approved mentor-protégé program. See Appendix D of this part for guidance concerning the operation of mentor-protégé programs. (c) Your BDPs and mentor-protégé programs must be approved by the concerned operating administration before you implement them. Once approved, they become part of your DBE program. Back to Top §26.37 What are a recipient's responsibilities for monitoring the performance of other program participants? (a) You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must set forth these mechanisms in your DBE program. (b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed to DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually performed by the DBEs to which the work was committed. This mechanism must include a written certification that you have reviewed contracting records and monitored work sites in your state for this purpose. The monitoring to which this paragraph refers may be conducted in conjunction with monitoring of contract performance for other purposes (e.g., close-out reviews for a contract). (c) This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to DBE firms), including a means of comparing these attainments to commitments. In your reports of DBE participation to the Department, you must display both commitments and attainments. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 76 FR 5097, Jan. 28, 2011] Back to Top §26.39 Fostering small business participation. (a) Your DBE program must include an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors. (b) This element must be submitted to the appropriate DOT operating administration for approval as a part of your DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the following strategies: (1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1 million). (2) In multi-year design-build contracts or other large contracts (e.g., for “megaprojects”) requiring bidders on the prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses, including DBEs, can reasonably perform. (3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved. (4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts. (5) To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. (c) You must actively implement your program elements to foster small business participation. Doing so is a requirement of good faith implementation of your DBE program. [76 FR 5097, Jan. 28, 2011] Back to Top Subpart C—Goals, Good Faith Efforts, and Counting Back to Top §26.41 What is the role of the statutory 10 percent goal in this program? (a) The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not less than 10 percent of the authorized funds are to be expended with DBEs. (b) This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in evaluating and monitoring DBEs' opportunities to participate in DOT-assisted contracts. (c) The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 10 percent level, or any other particular level, or to take any special administrative steps if their goals are above or below 10 percent. Back to Top §26.43 Can recipients use set-asides or quotas as part of this program? (a) You are not permitted to use quotas for DBEs on DOT-assisted contracts subject to this part. (b) You may not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited and extreme circumstances, you may use set-asides when no other method could be reasonably expected to redress egregious instances of discrimination. Back to Top §26.45 How do recipients set overall goals? (a)(1) Except as provided in paragraph (a)(2) of this section, you must set an overall goal for DBE participation in your DOT-assisted contracts. (2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases) $250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to develop overall goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE program, it must remain in effect and you must seek to fulfill the objectives outlined in §26.1. (b) Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DBEs relative to all businesses ready, willing and able to participate on your DOT-assisted contracts (hereafter, the “relative availability of DBEs”). The goal must reflect your determination of the level of DBE participation you would expect absent the effects of discrimination. You cannot simply rely on either the 10 percent national goal, your previous overall goal or past DBE participation rates in your program without reference to the relative availability of DBEs in your market. (c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of DBEs. The following are examples of approaches that you may take toward determining a base figure. These examples are provided as a starting point for your goal setting process. Any percentage figure derived from one of these examples should be considered a basis from which you begin when examining all evidence available in your jurisdiction. These examples are not intended as an exhaustive list. Other methods or combinations of methods to determine a base figure may be used, subject to approval by the concerned operating administration. (1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DBEs in your market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP) data base, determine the number of all ready, willing and able businesses available in your market that perform work in the same NAICS codes. (Information about the CBP data base may be obtained from the Census Bureau at their web site, www.census.gov/epcd/cbp/view/cbpview.html.) Divide the number of DBEs by the number of all businesses to derive a base figure for the relative availability of DBEs in your market. (2) Use a bidders list. Determine the number of DBEs that have bid or quoted (successful and unsuccessful) on your DOT- assisted prime contracts or subcontracts in the past three years. Determine the number of all businesses that have bid or quoted (successful and unsuccessful) on prime or subcontracts in the same time period. Divide the number of DBE bidders and quoters by the number of all businesses to derive a base figure for the relative availability of DBEs in your market. When using this approach, you must establish a mechanism (documented in your goal submission) to directly capture data on DBE and non-DBE prime and subcontractors that submitted bids or quotes on your DOT-assisted contracts. (3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity study. (4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market has set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal. (5) Alternative methods. Except as otherwise provided in this paragraph, you may use other methods to determine a base figure for your overall goal. Any methodology you choose must be based on demonstrable evidence of local market conditions and be designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your market. The exclusive use of a list of prequalified contractors or plan holders, or a bidders list that does not comply with the requirements of paragraph (c)(2) of this section, is not an acceptable alternative means of determining the availability of DBEs. (d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your jurisdiction to determine what adjustment, if any, is needed to the base figure to arrive at your overall goal. If the evidence does not suggest an adjustment is necessary, then no adjustment shall be made. (1) There are many types of evidence that must be considered when adjusting the base figure. These include: (i) The current capacity of DBEs to perform work in your DOT-assisted contracting program, as measured by the volume of work DBEs have performed in recent years; (ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not already accounted for in your base figure; and (iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market and your contracting program. (2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form, grow and compete. These include, but are not limited to: (i) Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to participate in your program; (ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the extent you can relate it to the opportunities for DBEs to perform in your program. (3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past discrimination (often called the “but for” factor) or the effects of an ongoing DBE program, the adjustment must be based on demonstrable evidence that is logically and directly related to the effect for which the adjustment is sought. (e) Once you have determined a percentage figure in accordance with paragraphs (c) and (d) of this section, you should express your overall goal as follows: (1) If you are an FHWA recipient, as a percentage of all Federal-aid highway funds you will expend in FHWA-assisted contracts in the forthcoming three fiscal years. (2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be used for the purchase of transit vehicles) that you will expend in FTA or FAA-assisted contracts in the three forthcoming fiscal years. (3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your overall goal as a percentage of funds for a particular grant or project or group of grants and/or projects, including entire projects. Like other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence of the appropriate operating administration. (i) A project goal is an overall goal, and must meet all the substantive and procedural requirements of this section pertaining to overall goals. (ii) A project goal covers the entire length of the project to which it applies. (iii) The project goal should include a projection of the DBE participation anticipated to be obtained during each fiscal year covered by the project goal. (iv) The funds for the project to which the project goal pertains are separated from the base from which your regular overall goal, applicable to contracts not part of the project covered by a project goal, is calculated. (f)(1)(i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA, as applicable, and posted on that agency's Web site. (ii) You may adjust your three-year overall goal during the three-year period to which it applies, in order to reflect changed circumstances. You must submit such an adjustment to the concerned operating administration for review and approval. (iii) The operating administration may direct you to undertake a review of your goal if necessary to ensure that the goal continues to fit your circumstances appropriately. (iv) While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the overall goal and the provisions of Sec. 26.47(c) apply to each year during that three-year period. (v) You may make, for informational purposes, projections of your expected DBE achievements during each of the three years covered by your overall goal. However, it is the overall goal itself, and not these informational projections, to which the provisions of section 26.47(c) of this part apply. (2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of this section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA Administrator, as applicable. (3) You must include with your overall goal submission a description of the methodology you used to establish the goal, incuding your base figure and the evidence with which it was calculated, and the adjustments you made to the base figure and the evidence you relied on for the adjustments. You should also include a summary listing of the relevant available evidence in your jurisdiction and, where applicable, an explanation of why you did not use that evidence to adjust your base figure. You must also include your projection of the portions of the overall goal you expect to meet through race-neutral and race-consioous measures, respectively (see 26.51(c)). (4) You are not required to obtain prior operating administration concurrence with your overall goal. However, if the operating administration's review suggests that your overall goal has not been correctly calculated or that your method for calculating goals is inadequate, the operating administration may, after consulting with you, adjust your overall goal or require that you do so. The adjusted overall goal is binding on you. In evaluating the adequacy or soundness of the methodology used to derive the overall goal, the operating administration will be guided by goal setting principles and best practices identified by the Department in guidance issued pursuant to §26.9. (5) If you need additional time to collect data or take other steps to develop an approach to setting overall goals, you may request the approval of the concerned operating administration for an interim goal and/or goal-setting mechanism. Such a mechanism must: (i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the data available to you; and (ii) Avoid imposing undue burdens on non-DBEs. (6) Timely submission and operating administration approval of your overall goal is a condition of eligibility for DOT financial assistance. (7) If you fail to establish and implement goals as provided in this section, you are not in compliance with this part. If you establish and implement goals in a way different from that provided in this part, you are not in compliance with this part. If you fail to comply with this requirement, you are not eligible to receive DOT financial assistance. (g)(1) In establishing an overall goal, you must provide for consultation and publication. This includes: (i) Consultation with minority, women's and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and your efforts to establish a level playing field for the participation of DBEs. The consultation must include a scheduled, direct, interactive exchange (e.g., a face-to-face meeting, video conference, teleconference) with as many interested stakeholders as possible focused on obtaining information relevant to the goal setting process, and it must occur before you are required to submit your methodology to the operating administration for review pursuant to paragraph (f) of this section. You must document in your goal submission the consultation process you engaged in. Notwithstanding paragraph (f)(4) of this section, you may not implement your proposed goal until you have complied with this requirement. (ii) A published notice announcing your proposed overall goal before submission to the operating administration on August 1st. The notice must be posted on your official Internet Web site and may be posted in any other sources (e.g., minority-focused media, trade association publications). If the proposed goal changes following review by the operating administration, the revised goal must be posted on your official Internet Web site. (2) At your discretion, you may inform the public that the proposed overall goal and its rationale are available for inspection during normal business hours at your principal office and for a 30-day comment period. Notice of the comment period must include addresses to which comments may be sent. The public comment period will not extend the August 1st deadline set in paragraph (f) of this section. (h) Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group-specific goals. [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 68 FR 35553, June 16, 2003; 75 FR 5536, Feb. 3, 2010; 76 FR 5097, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014] Back to Top §26.47 Can recipients be penalized for failing to meet overall goals? (a) You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith. (b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good faith, you are in noncompliance with this part. (c) If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in order to be regarded by the Department as implementing your DBE program in good faith: (1) Analyze in detail the reasons for the difference between the overall goal and your awards and commitments in that fiscal year; (2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to enable you to meet fully your goal for the new fiscal year; (3)(i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or an Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit, within 90 days of the end of the fiscal year, the analysis and corrective actions developed under paragraphs (c)(1) and (2) of this section to the appropriate operating administration for approval. If the operating administration approves the report, you will be regarded as complying with the requirements of this section for the remainder of the fiscal year. (ii) As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i) of this section, you must retain analysis and corrective actions in your records for three years and make it available to FTA or FAA on request for their review. (4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis and corrective actions including, but not limited to, modifications to your overall goal methodology, changes in your race- conscious/race-neutral split, or the introduction of additional race-neutral or race-conscious measures. (5) You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in §26.103 or §26.105 of this part and other applicable regulations, for failing to implement your DBE program in good faith if any of the following things occur: (i) You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as required under paragraph (c)(3) of this section; (ii) FHWA, FTA, or FAA disapproves your analysis or corrective actions; or (iii) You do not fully implement the corrective actions to which you have committed or conditions that FHWA, FTA, or FAA has imposed following review of your analysis and corrective actions. (d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming to the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve DBE awards and commitments that would be necessary to allow you to meet your overall goal at the end of the fiscal year, FHWA, FTA, or FAA, as applicable, may require you to make further good faith efforts, such as by modifying your race-conscious/race-neutral split or introducing additional race-neutral or race-conscious measures for the remainder of the fiscal year. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011] Back to Top §26.49 How are overall goals established for transit vehicle manufacturers? (a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has complied with the requirements of this section. You do not include FTA assistance used in transit vehicle procurements in the base amount from which your overall goal is calculated. (1) Only those transit vehicle manufacturers listed on FTA's certified list of Transit Vehicle Manufacturers, or that have submitted a goal methodology to FTA that has been approved or has not been disapproved, at the time of solicitation are eligible to bid. (2) A TVM's failure to implement the DBE Program in the manner as prescribed in this section and throughout 49 CFR part 26 will be deemed as non-compliance, which will result in removal from FTA's certified TVMs list, resulting in that manufacturer becoming ineligible to bid. (3) FTA recipient's failure to comply with the requirements set forth in paragraph (a) of this section may result in formal enforcement action or appropriate sanction as determined by FTA (e.g., FTA declining to participate in the vehicle procurement). (4) FTA recipients are required to submit within 30 days of making an award, the name of the successful bidder, and the total dollar value of the contract in the manner prescribed in the grant agreement. (b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall percentage goal. (1) In setting your overall goal, you should be guided, to the extent applicable, by the principles underlying §26.45. The base from which you calculate this goal is the amount of FTA financial assistance included in transit vehicle contracts you will bid on during the fiscal year in question, less the portion(s) attributable to the manufacturing process performed entirely by the transit vehicle manufacturer's own forces. (i) You must consider and include in your base figure all domestic contracting opportunities made available to non-DBE firms; and (ii) You must exclude from this base figure funds attributable to work performed outside the United States and its territories, possessions, and commonwealths. (iii) In establishing an overall goal, the transit vehicle manufacturer must provide for public participation. This includes consultation with interested parties consistent with §26.45(g). (2) The requirements of this part with respect to submission and approval of overall goals apply to you as they do to recipients. (c) Transit vehicle manufacturers awarded must comply with the reporting requirements of §26.11 of this part including the requirement to submit the Uniform Report of Awards or Commitments and Payments, in order to remain eligible to bid on FTA assisted transit vehicle procurements. (d) Transit vehicle manufacturers must implement all other applicable requirements of this part, except those relating to UCPs and DBE certification procedures. (e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the manufacturers of this equipment must meet the same requirements (including goal approval by FHWA or FAA) as transit vehicle manufacturers must meet in FTA-assisted procurements. (f) As a recipient you may, with FTA approval, establish project-specific goals for DBE participation in the procurement of transit vehicles in lieu of complying through the procedures of this section. [79 FR 59594, Oct. 2, 2014] Back to Top §26.51 What means do recipients use to meet overall goals? (a) You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating race- neutral DBE participation. Race-neutral DBE participation includes any time a DBE wins a prime contract through customary competitive procurement procedures or is awarded a subcontract on a prime contract that does not carry a DBE contract goal. (b) Race-neutral means include, but are not limited to, the following: (1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate participation by DBEs and other small businesses and by making contracts more accessible to small businesses, by means such as those provided under §26.39 of this part. (2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing); (3) Providing technical assistance and other services; (4) Carrying out information and communications programs on contracting procedures and specific contract opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in languages other than English, where appropriate); (5) Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses; (6) Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency; (7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low; (8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors; and (9) Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media. (c) Each time you submit your overall goal for review by the concerned operating administration, you must also submit your projection of the portion of the goal that you expect to meet through race-neutral means and your basis for that projection. This projection is subject to approval by the concerned operating administration, in conjunction with its review of your overall goal. (d) You must establish contract goals to meet any portion of your overall goal you do not project being able to meet using race-neutral means. (e) The following provisions apply to the use of contract goals: (1) You may use contract goals only on those DOT-assisted contracts that have subcontracting possibilities. (2) You are not required to set a contract goal on every DOT-assisted contract. You are not required to set each contract goal at the same percentage level as the overall goal. The goal for a specific contract may be higher or lower than that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. However, over the period covered by your overall goal, you must set contract goals so that they will cumulatively result in meeting any portion of your overall goal you do not project being able to meet through the use of race-neutral means. (3) Operating administration approval of each contract goal is not necessarily required. However, operating administrations may review and approve or disapprove any contract goal you establish. (4) Your contract goals must provide for participation by all certified DBEs and must not be subdivided into group-specific goals. (f) To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination, you must adjust your use of contract goals as follows: (1) If your approved projection under paragraph (c) of this section estimates that you can meet your entire overall goal for a given year through race-neutral means, you must implement your program without setting contract goals during that year, unless it becomes necessary in order meet your overall goal. Example to paragraph (f)(1): Your overall goal for Year 1 is 12 percent. You estimate that you can obtain 12 percent or more DBE participation through the use of race-neutral measures, without any use of contract goals. In this case, you do not set any contract goals for the contracts that will be performed in Year 1. However, if part way through Year 1, your DBE awards or commitments are not at a level that would permit you to achieve your overall goal for Year 1, you could begin setting race-conscious DBE contract goals during the remainder of the year as part of your obligation to implement your program in good faith. (2) If, during the course of any year in which you are using contract goals, you determine that you will exceed your overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure that the use of contract goals does not result in exceeding the overall goal. If you determine that you will fall short of your overall goal, then you must make appropriate modifications in your use of race-neutral and/or race-conscious measures to allow you to meet the overall goal. Example to paragraph (f)(2): In Year II, your overall goal is 12 percent. You have estimated that you can obtain 5 percent DBE participation through use of race-neutral measures. You therefore plan to obtain the remaining 7 percent participation through use of DBE goals. By September, you have already obtained 11 percent DBE participation for the year. For contracts let during the remainder of the year, you use contract goals only to the extent necessary to obtain an additional one percent DBE participation. However, if you determine in September that your participation for the year is likely to be only 8 percent total, then you would increase your use of race-neutral and/or race-conscious means during the remainder of the year in order to achieve your overall goal. (3) If the DBE participation you have obtained by race-neutral means alone meets or exceeds your overall goals for two consecutive years, you are not required to make a projection of the amount of your goal you can meet using such means in the next year. You do not set contract goals on any contracts in the next year. You continue using only race-neutral means to meet your overall goals unless and until you do not meet your overall goal for a year. Example to paragraph (f)(3): Your overall goal for Years I and Year II is 10 percent. The DBE participation you obtain through race- neutral measures alone is 10 percent or more in each year. (For this purpose, it does not matter whether you obtained additional DBE participation through using contract goals in these years.) In Year III and following years, you do not need to make a projection under paragraph (c) of this section of the portion of your overall goal you expect to meet using race-neutral means. You simply use race-neutral means to achieve your overall goals. However, if in Year VI your DBE participation falls short of your overall goal, then you must make a paragraph (c) projection for Year VII and, if necessary, resume use of contract goals in that year. (4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of contract goals (i.e., not through the use of race-neutral means alone), you must reduce your use of contract goals proportionately in the following year. Example to paragraph (f)(4): In Years I and II, your overall goal is 12 percent, and you obtain 14 and 16 percent DBE participation, respectively. You have exceeded your goals over the two-year period by an average of 25 percent. In Year III, your overall goal is again 12 percent, and your paragraph (c) projection estimates that you will obtain 4 percent DBE participation through race-neutral means and 8 percent through contract goals. You then reduce the contract goal projection by 25 percent (i.e., from 8 to 6 percent) and set contract goals accordingly during the year. If in Year III you obtain 11 percent participation, you do not use this contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of exceeding overall goals. (g) In any year in which you project meeting part of your goal through race-neutral means and the remainder through contract goals, you must maintain data separately on DBE achievements in those contracts with and without contract goals, respectively. You must report this data to the concerned operating administration as provided in §26.11. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014] Back to Top §26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals? (a) When you have established a DBE contract goal, you must award the contract only to a bidder/offeror who makes good faith efforts to meet it. You must determine that a bidder/offeror has made good faith efforts if the bidder/offeror does either of the following things: (1) Documents that it has obtained enough DBE participation to meet the goal; or (2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in obtaining enough DBE participation to do so. If the bidder/offeror does document adequate good faith efforts, you must not deny award of the contract on the basis that the bidder/offeror failed to meet the goal. See Appendix A of this part for guidance in determining the adequacy of a bidder/offeror's good faith efforts. (b) In your solicitations for DOT-assisted contracts for which a contract goal has been established, you must require the following: (1) Award of the contract will be conditioned on meeting the requirements of this section; (2) All bidders or offerors will be required to submit the following information to the recipient, at the time provided in paragraph (b)(3) of this section: (i) The names and addresses of DBE firms that will participate in the contract; (ii) A description of the work that each DBE will perform. To count toward meeting a goal, each DBE firm must be certified in a NAICS code applicable to the kind of work the firm would perform on the contract; (iii) The dollar amount of the participation of each DBE firm participating; (iv) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; and (v) Written confirmation from each listed DBE firm that it is participating in the contract in the kind and amount of work provided in the prime contractor's commitment. (vi) If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part). The documentation of good faith efforts must include copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract; and (3)(i) At your discretion, the bidder/offeror must present the information required by paragraph (b)(2) of this section— (A) Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract negotiation procedures; or (B) No later than 7 days after bid opening as a matter of responsibility. The 7 days shall be reduced to 5 days beginning January 1, 2017. (ii) Provided that, in a negotiated procurement, including a design-build procurement, the bidder/offeror may make a contractually binding commitment to meet the goal at the time of bid submission or the presentation of initial proposals but provide the information required by paragraph (b)(2) of this section before the final selection for the contract is made by the recipient. (c) You must make sure all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before committing yourself to the performance of the contract by the bidder/offeror. (d) If you determine that the apparent successful bidder/offeror has failed to meet the requirements of paragraph (a) of this section, you must, before awarding the contract, provide the bidder/offeror an opportunity for administrative reconsideration. (1) As part of this reconsideration, the bidder/offeror must 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. (2) Your decision on reconsideration must be made by an official who did not take part in the original determination that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so. (3) The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. (4) You must 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. (5) The result of the reconsideration process is not administratively appealable to the Department of Transportation. (e) In a “design-build” or “turnkey” contracting situation, in which the recipient lets a master contract to a contractor, who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the project. The master contractor then establishes contract goals, as appropriate, for the subcontracts it lets. Recipients must maintain oversight of the master contractor's activities to ensure that they are conducted consistent with the requirements of this part. (f)(1)(i) You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph (b)(2) of this section (or an approved substitute DBE firm) without your prior written consent. This includes, but is not limited to, instances in which a prime contractor seeks to perform work originally designated for a DBE subcontractor with its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm. (ii) You must include in each prime contract a provision stating: (A) That the contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the contractor obtains your written consent as provided in this paragraph (f); and (B) That, unless your consent is provided under this paragraph (f), the contractor shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE. (2) You may provide such written consent only if you agree, for reasons stated in your concurrence document, that the prime contractor has good cause to terminate the DBE firm. (3) For purposes of this paragraph, good cause includes the following circumstances: (i) The listed DBE subcontractor fails or refuses to execute a written contract; (ii) The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal industry standards. Provided, however, that good cause does not exist if the failure or refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or discriminatory action of the prime contracor; (iii) The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable, nondiscriminatory bond requirements. (iv) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness; (v) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment proceedings pursuant 2 CFR Parts 180, 215 and 1,200 or applicable state law; (vii) You have determined that the listed DBE subcontractor is not a responsible contractor; (vi) The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice of its withdrawal; (vii) The listed DBE is ineligible to receive DBE credit for the type of work required; (viii) A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its work on the contract; (ix) Other documented good cause that you determine compels the termination of the DBE subcontractor. Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the contract so that the prime contractor can self-perform the work for which the DBE contractor was engaged or so that the prime contractor can substitute another DBE or non-DBE contractor after contract award. (4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime contractor must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to terminate and/or substitute, and the reason for the request. (5) The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why you should not approve the prime contractor's action. If required in a particular case as a matter of public necessity (e.g., safety), you may provide a response period shorter than five days. (6) In addition to post-award terminations, the provisions of this section apply to preaward deletions of or substitutions for DBE firms put forward by offerors in negotiated procurements. (g) When a DBE subcontractor is terminated as provided in paragraph (f) of this section, or fails to complete its work on the contract for any reason, you must require the prime contractor to make good faith efforts to find another DBE subcontractor to substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal you established for the procurement. The good faith efforts shall be documented by the contractor. If the recipient requests documentation under this provision, the contractor shall submit the documentation within 7 days, which may be extended for an additional 7 days if necessary at the request of the contractor, and the recipient shall provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated. (h) You must include in each prime contract the contract clause required by §26.13(b) stating that failure by the contractor to carry out the requirements of this part is a material breach of the contract and may result in the termination of the contract or such other remedies set forth in that section you deem appropriate if the prime contractor fails to comply with the requirements of this section. (i) You must apply the requirements of this section to DBE bidders/offerors for prime contracts. In determining whether a DBE bidder/offeror for a prime contract has met a contract goal, you count the work the DBE has committed to performing with its own forces as well as the work that it has committed to be performed by DBE subcontractors and DBE suppliers. (j) You must require the contractor awarded the contract to make available upon request a copy of all DBE subcontracts. The subcontractor shall ensure that all subcontracts or an agreement with DBEs to supply labor or materials require that the subcontract and all lower tier subcontractors be performed in accordance with this part's provisions. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014] Back to Top §26.55 How is DBE participation counted toward goals? (a) When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward DBE goals. (1) Count the entire amount of that portion of a construction contract (or other contract not covered by paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate). (2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services. (3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals. (b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals. (c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract. (1) A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and other relevant factors. (2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, you must examine similar transactions, particularly those in which DBEs do not participate. (3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful function. (4) When a DBE is presumed not to be performing a commercially useful function as provided in paragraph (c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices. (5) Your decisions on commercially useful function matters are subject to review by the concerned operating administration, but are not administratively appealable to DOT. (d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful function: (1) The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. (2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. (3) The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs. (4) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract. (5) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE that leases trucks equipped with drivers from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided by DBE-owned trucks or leased trucks with DBE employee drivers. Additional participation by non-DBE owned trucks equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement. If a recipient chooses this approach, it must obtain written consent from the appropriate DOT operating administration. Example to paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks from DBE Firm Y and six trucks equipped with drivers from non-DBE Firm Z. DBE credit would be awarded for the total value of transportation services provided by Firm X and Firm Y, and may also be awarded for the total value of transportation services provided by four of the six trucks provided by Firm Z. In all, full credit would be allowed for the participation of eight trucks. DBE credit could be awarded only for the fees or commissions pertaining to the remaining trucks Firm X receives as a result of the lease with Firm Z. (6) The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the DBE leases trucks from a non- DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these hauling services. Example to paragraph (d)(6): DBE Firm X uses two of its own trucks on a contract. It leases two additional trucks from non-DBE Firm Z. Firm X uses its own employees to drive the trucks leased from Firm Z. DBE credit would be awarded for the total value of the transportation services provided by all four trucks. (7) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. (e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following: (1)(i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies toward DBE goals. (ii) For purposes of this paragraph (e)(1), a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications. (2)(i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies toward DBE goals. (ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. (A) To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. (B) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided in this paragraph (e)(2)(ii) if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis. (C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph (e)(2). (3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals, however. (4) You must determine the amount of credit awarded to a firm for the provisions of materials and supplies (e.g., whether a firm is acting as a regular dealer or a transaction expediter) on a contract-by-contract basis. (f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time of the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided for in §26.87(i)). (g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified toward your overall goal. (h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 79 FR 59595, Oct. 2, 2014] Back to Top Subpart D—Certification Standards Back to Top §26.61 How are burdens of proof allocated in the certification process? (a) In determining whether to certify a firm as eligible to participate as a DBE, you must apply the standards of this subpart. (b) The firm seeking certification has the burden of demonstrating to you, by a preponderance of the evidence, that it meets the requirements of this subpart concerning group membership or individual disadvantage, business size, ownership, and control. (c) You must rebuttably presume that members of the designated groups identified in §26.67(a) are socially and economically disadvantaged. This means they do not have the burden of proving to you that they are socially and economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must submit a signed, notarized statement that they are a member of one of the groups in §26.67(a). Applicants do have the obligation to provide you information concerning their economic disadvantage (see §26.67). (d) Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a preponderance of the evidence, that they are socially and economically disadvantaged. (See Appendix E of this part.) (e) You must make determinations concerning whether individuals and firms have met their burden of demonstrating group membership, ownership, control, and social and economic disadvantage (where disadvantage must be demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003] Back to Top §26.63 What rules govern group membership determinations? (a)(1) If, after reviewing the signed notarized statement of membership in a presumptively disadvantaged group (see §26.61(c)), you have a well founded reason to question the individual's claim of membership in that group, you must require the individual to present additional evidence that he or she is a member of the group. (2) You must provide the individual a written explanation of your reasons for questioning his or her group membership and a written request for additional evidence as outlined in paragraph (b) of this section. (3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate burden on members of any particular designated group. Imposing a disproportionate burden on members of a particular group could violate §26.7(b) and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21. (b) In making such a determination, you must consider whether the person has held himself out to be a member of the group over a long period of time prior to application for certification and whether the person is regarded as a member of the group by the relevant community. You may require the applicant to produce appropriate documentation of group membership. (1) If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not a member of a designated disadvantaged group, the individual must demonstrate social and economic disadvantage on an individual basis. (2) Your decisions concerning membership in a designated group are subject to the certification appeals procedure of §26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003] Back to Top §26.65 What rules govern business size determinations? (a) To be an eligible DBE, a firm (including its affiliates) must be an existing small business, as defined by Small Business Administration (SBA) standards. As a recipient, you must apply current SBA business size standard(s) found in 13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in DOT-assisted contracts, including the primary industry classification of the applicant. (b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an eligible DBE in any Federal fiscal year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA regulations (see 13 CFR 121.402), over the firm's previous three fiscal years, in excess of $23.98 million. (c) The Department adjusts the number in paragraph (b) of this section annually using the Department of Commerce price deflators for purchases by State and local governments as the basis for this adjustment. [74 FR 15224, Apr. 3, 2009, as amended at 79 FR 59596, Oct. 2, 2014] Back to Top §26.67 What rules determine social and economic disadvantage? (a) Presumption of disadvantage. (1) You must rebuttably presume that citizens of the United States (or lawfully admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and economically disadvantaged individuals. You must require applicants to submit a signed, notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically disadvantaged. (2)(i) You must require each individual owner of a firm applying to participate as a DBE, whose ownership and control are relied upon for DBE certification, to certify that he or she has a personal net worth that does not exceed $1.32 million. (ii) You must require each individual who makes this certification to support it with a signed, notarized statement of personal net worth, with appropriate supporting documentation. To meet this requirement, you must use the DOT personal net worth form provided in appendix G to this part without change or revision. Where necessary to accurately determine an individual's personal net worth, you may, on a case-by-case basis, require additional financial information from the owner of an applicant firm (e.g., information concerning the assets of the owner's spouse, where needed to clarify whether assets have been transferred to the spouse or when the owner's spouse is involved in the operation of the company). Requests for additional information shall not be unduly burdensome or intrusive. (iii) In determining an individual's net worth, you must observe the following requirements: (A) Exclude an individual's ownership interest in the applicant firm; (B) Exclude the individual's equity in his or her primary residence (except any portion of such equity that is attributable to excessive withdrawals from the applicant firm). The equity is the market value of the residence less any mortgages and home equity loan balances. Recipients must ensure that home equity loan balances are included in the equity calculation and not as a separate liability on the individual's personal net worth form. Exclusions for net worth purposes are not exclusions for asset valuation or access to capital and credit purposes. (C) Do not use a contingent liability to reduce an individual's net worth. (D) With respect to assets held in vested pension plans, Individual Retirement Accounts, 401(k) accounts, or other retirement savings or investment programs in which the assets cannot be distributed to the individual at the present time without significant adverse tax or interest consequences, include only the present value of such assets, less the tax and interest penalties that would accrue if the asset were distributed at the present time. (iv) Notwithstanding any provision of Federal or State law, you must not release an individual's personal net worth statement nor any documents pertaining to it to any third party without the written consent of the submitter. Provided, that you must transmit this information to DOT in any certification appeal proceeding under §26.89 of this part or to any other State to which the individual's firm has applied for certification under §26.85 of this part. (b) Rebuttal of presumption of disadvantage. (1) An individual's presumption of economic disadvantage may be rebutted in two ways. (i) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a)(2) of this section shows that the individual's personal net worth exceeds $1.32 million, the individual's presumption of economic disadvantage is rebutted. You are not required to have a proceeding under paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case. Example to paragraph (b)(1)(i): An individual with very high assets and significant liabilities may, in accounting terms, have a PNW of less than $1.32 million. However, the person's assets collectively (e.g., high income level, a very expensive house, a yacht, extensive real or personal property holdings) may lead a reasonable person to conclude that he or she is not economically disadvantaged. The recipient may rebut the individual's presumption of economic disadvantage under these circumstances, as provided in this section, even though the individual's PNW is less than $1.32 million. (ii)(A) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a) (2) of this section demonstrates that the individual is able to accumulate substantial wealth, the individual's presumption of economic disadvantage is rebutted. In making this determination, as a certifying agency, you may consider factors that include, but are not limited to, the following: (1) Whether the average adjusted gross income of the owner over the most recent three year period exceeds $350,000; (2) Whether the income was unusual and not likely to occur in the future; firm; (3) Whether the earnings were offset by losses; (4) Whether the income was reinvested in the firm or used to pay taxes arising in the normal course of operations by the (5) Other evidence that income is not indicative of lack of economic disadvantage; and (6) Whether the total fair market value of the owner's assets exceed $6 million. (B) You must have a proceeding under paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case. (2) If you have a reasonable basis to believe that an individual who is a member of one of the designated groups is not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to determine whether the presumption should be regarded as rebutted with respect to that individual. Your proceeding must follow the procedures of §26.87. (3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the individual is not socially and economically disadvantaged. You may require the individual to produce information relevant to the determination of his or her disadvantage. (4) When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her ownership and control of the firm in question cannot be used for purposes of DBE eligibility under this subpart unless and until he or she makes an individual showing of social and/or economic disadvantage. If the basis for rebutting the presumption is a determination that the individual's personal net worth exceeds $1.32 million, the individual is no longer eligible for participation in the program and cannot regain eligibility by making an individual showing of disadvantage, so long as his or her PNW remains above that amount. (c) Transfers within two years. (1) Except as set forth in paragraph (c)(2) of this section, recipients must attribute to an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member, to a trust a beneficiary of which is an immediate family member, or to the applicant firm for less than fair market value, within two years prior to a concern's application for participation in the DBE program or within two years of recipient's review of the firm's annual affidavit, unless the individual claiming disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of essential support. (2) Recipients must not attribute to an individual claiming disadvantaged status any assets transferred by that individual to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays, graduations, anniversaries, and retirements. (d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who are not presumed to be socially and economically disadvantaged (including individuals whose presumed disadvantage has been rebutted) may apply for DBE certification. You must make a case-by-case determination of whether each individual whose ownership and control are relied upon for DBE certification is socially and economically disadvantaged. In such a proceeding, the applicant firm has the burden of demonstrating to you, by a preponderance of the evidence, that the individuals who own and control it are socially and economically disadvantaged. An individual whose personal net worth exceeds $1.32 million shall not be deemed to be economically disadvantaged. In making these determinations, use the guidance found in Appendix E of this part. You must require that applicants provide sufficient information to permit determinations under the guidance of appendix E of this part. [79 FR 59596, Oct. 2, 2014] Back to Top §26.69 What rules govern determinations of ownership? (a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must consider all the facts in the record viewed as a whole, including the origin of all assets and how and when they were used in obtaining the firm. All transactions for the establishment and ownership (or transfer of ownership) must be in the normal course of business, reflecting commercial and arms-length practices. (b) To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged individuals. (1) In the case of a corporation, such individuals must own at least 51 percent of the each class of voting stock outstanding and 51 percent of the aggregate of all stock outstanding. (2) In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership agreement. (3) In the case of a limited liability company, at least 51 percent of each class of member interest must be owned by socially and economically disadvantaged individuals. (c)(1) The firm's ownership by socially and economically disadvantaged individuals, including their contribution of capital or expertise to acquire their ownership interests, must be real, substantial, and continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. Proof of contribution of capital should be submitted at the time of the application. When the contribution of capital is through a loan, there must be documentation of the value of assets used as collateral for the loan. (2) Insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, mere participation in a firm's activities as an employee, or capitalization not commensurate with the value for the firm. (3) The disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and be entitled to the profits and loss commensurate with their ownership interests, as demonstrated by the substance, not merely the form, of arrangements. Any terms or practices that give a non-disadvantaged individual or firm a priority or superior right to a firm's profits, compared to the disadvantaged owner(s), are grounds for denial. (4) Debt instruments from financial institutions or other organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan. Examples to paragraph (c): (i) An individual pays $100 to acquire a majority interest in a firm worth $1 million. The individual's contribution to capital would not be viewed as substantial. (ii) A 51% disadvantaged owner and a non-disadvantaged 49% owner contribute $100 and $10,000, respectively, to acquire a firm grossing $1 million. This may be indicative of a pro forma arrangement that does not meet the requirements of (c)(1). (iii) The disadvantaged owner of a DBE applicant firm spends $250 to file articles of incorporation and obtains a $100,000 loan, but makes only nominal or sporadic payments to repay the loan. This type of contribution is not of a continuing nature. (d) All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are considered as held by disadvantaged persons in determining the ownership of a firm. However, securities or assets held in trust are regarded as held by a disadvantaged individual for purposes of determining ownership of the firm, if— (1) The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the same or another such individual; or (2) The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective control over the management, policy-making, and daily operational activities of the firm. Assets held in a revocable living trust may be counted only in the situation where the same disadvantaged individual is the sole grantor, beneficiary, and trustee. (e) The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their ownership interests must be real and substantial. Examples of insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or mere participation in a firm's activities as an employee. Debt instruments from financial institutions or other organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan. (f) The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged owner's contribution to acquire ownership: (1) The owner's expertise must be— (i) In a specialized field; (ii) Of outstanding quality; (iii) In areas critical to the firm's operations; (iv) Indispensable to the firm's potential success; (v) Specific to the type of work the firm performs; and (vi) Documented in the records of the firm. These records must clearly show the contribution of expertise and its value to the firm. (2) The individual whose expertise is relied upon must have a significant financial investment in the firm. (g) You must always deem as held by a socially and economically disadvantaged individual, for purposes of determining ownership, all interests in a business or other assets obtained by the individual— (1) As the result of a final property settlement or court order in a divorce or legal separation, provided that no term or condition of the agreement or divorce decree is inconsistent with this section; or (2) Through inheritance, or otherwise because of the death of the former owner. (h)(1) You must presume as not being held by a socially and economically disadvantaged individual, for purposes of determining ownership, all interests in a business or other assets obtained by the individual as the result of a gift, or transfer without adequate consideration, from any non-disadvantaged individual or non-DBE firm who is— (i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm; (ii) Involved in the same or a similar line of business; or (iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is seeking certification. (2) To overcome this presumption and permit the interests or assets to be counted, the disadvantaged individual must demonstrate to you, by clear and convincing evidence, that— and (i) The gift or transfer to the disadvantaged individual was made for reasons other than obtaining certification as a DBE; (ii) The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding the continuing participation of a non-disadvantaged individual who provided the gift or transfer. (i) You must apply the following rules in situations in which marital assets form a basis for ownership of a firm: (1) When marital assets (other than the assets of the business in question), held jointly or as community property by both spouses, are used to acquire the ownership interest asserted by one spouse, you must deem the ownership interest in the firm to have been acquired by that spouse with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which either spouse or the firm is domiciled. You do not count a greater portion of joint or community property assets toward ownership than state law would recognize as belonging to the socially and economically disadvantaged owner of the applicant firm. (2) A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or community assets used to acquire an ownership interest in the firm must be included as part of the firm's application for DBE certification. (j) You may consider the following factors in determining the ownership of a firm. However, you must not regard a contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because— (1) A socially and economically disadvantaged individual acquired his or her ownership interest as the result of a gift, or transfer without adequate consideration, other than the types set forth in paragraph (h) of this section; (2) There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged individual on financing agreements, contracts for the purchase or sale of real or personal property, bank signature cards, or other documents; or (3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who is not a socially and economically disadvantaged individual to a spouse who is such an individual. In this case, you must give particularly close and careful scrutiny to the ownership and control of a firm to ensure that it is owned and controlled, in substance as well as in form, by a socially and economically disadvantaged individual. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59597, Oct. 2, 2014] Back to Top §26.71 What rules govern determinations concerning control? (a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the facts in the record, viewed as a whole. (b) Only an independent business may be certified as a DBE. An independent business is one the viability of which does not depend on its relationship with another firm or firms. (1) In determining whether a potential DBE is an independent business, you must scrutinize relationships with non-DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other resources. (2) You must consider whether present or recent employer/employee relationships between the disadvantaged owner(s) of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise the independence of the potential DBE firm. (3) You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive or primary dealings with a prime contractor compromises the independence of the potential DBE firm. (4) In considering factors related to the independence of a potential DBE firm, you must consider the consistency of relationships between the potential DBE and non-DBE firms with normal industry practice. (c) A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the socially and economically disadvantaged owners. There can be no restrictions through corporate charter provisions, by-law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to different classes of stock, employment contracts, requirements for concurrence by non-disadvantaged partners, conditions precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights) that prevent the socially and economically disadvantaged owners, without the cooperation or vote of any non-disadvantaged individual, from making any business decision of the firm. This paragraph does not preclude a spousal co-signature on documents as provided for in §26.69(j)(2). (d) The socially and economically disadvantaged owners must possess the power to direct or cause the direction of the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of management, policy and operations. (1) A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or president). (2) In a corporation, disadvantaged owners must control the board of directors. (3) In a partnership, one or more disadvantaged owners must serve as general partners, with control over all partnership decisions. (e) Individuals who are not socially and economically disadvantaged or immediate family members may be involved in a DBE firm as owners, managers, employees, stockholders, officers, and/or directors. Such individuals must not, however possess or exercise the power to control the firm, or be disproportionately responsible for the operation of the firm. (f) The socially and economically disadvantaged owners of the firm may delegate various areas of the management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are socially and economically disadvantaged individuals. Such delegations of authority must be revocable, and the socially and economically disadvantaged owners must retain the power to hire and fire any person to whom such authority is delegated. The managerial role of the socially and economically disadvantaged owners in the firm's overall affairs must be such that the recipient can reasonably conclude that the socially and economically disadvantaged owners actually exercise control over the firm's operations, management, and policy. (g) The socially and economically disadvantaged owners must have an overall understanding of, and managerial and technical competence and experience directly related to, the type of business in which the firm is engaged and the firm's operations. The socially and economically disadvantaged owners are not required to have experience or expertise in every critical area of the firm's operations, or to have greater experience or expertise in a given field than managers or key employees. The socially and economically disadvantaged owners must have the ability to intelligently and critically evaluate information presented by other participants in the firm's activities and to use this information to make independent decisions concerning the firm's daily operations, management, and policymaking. Generally, expertise limited to office management, administration, or bookkeeping functions unrelated to the principal business activities of the firm is insufficient to demonstrate control. (h) If state or local law requires the persons to have a particular license or other credential in order to own and/or control a certain type of firm, then the socially and economically disadvantaged persons who own and control a potential DBE firm of that type must possess the required license or credential. If state or local law does not require such a person to have such a license or credential to own and/or control a firm, you must not deny certification solely on the ground that the person lacks the license or credential. However, you may take into account the absence of the license or credential as one factor in determining whether the socially and economically disadvantaged owners actually control the firm. (i)(1) You may consider differences in remuneration between the socially and economically disadvantaged owners and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in the context of the duties of the persons involved, normal industry practices, the firm's policy and practice concerning reinvestment of income, and any other explanations for the differences proffered by the firm. You may determine that a firm is controlled by its socially and economically disadvantaged owner although that owner's remuneration is lower than that of some other participants in the firm. (2) In a case where a non-disadvantaged individual formerly controlled the firm, and a socially and economically disadvantaged individual now controls it, you may consider a difference between the remuneration of the former and current controller of the firm as a factor in determining who controls the firm, particularly when the non-disadvantaged individual remains involved with the firm and continues to receive greater compensation than the disadvantaged individual. (j) In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in outside employment or other business interests that conflict with the management of the firm or prevent the individual from devoting sufficient time and attention to the affairs of the firm to control its activities. For example, absentee ownership of a business and part-time work in a full-time firm are not viewed as constituting control. However, an individual could be viewed as controlling a part-time business that operates only on evenings and/or weekends, if the individual controls it all the time it is operating. (k)(1) A socially and economically disadvantaged individual may control a firm even though one or more of the individual's immediate family members (who themselves are not socially and economically disadvantaged individuals) participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise provided in this paragraph, you must make a judgment about the control the socially and economically disadvantaged owner exercises vis-a-vis other persons involved in the business as you do in other situations, without regard to whether or not the other persons are immediate family members. (2) If you cannot determine that the socially and economically disadvantaged owners—as distinct from the family as a whole—control the firm, then the socially and economically disadvantaged owners have failed to carry their burden of proof concerning control, even though they may participate significantly in the firm's activities. (l) Where a firm was formerly owned and/or controlled by a non-disadvantaged individual (whether or not an immediate family member), ownership and/or control were transferred to a socially and economically disadvantaged individual, and the nondisadvantaged individual remains involved with the firm in any capacity, there is a rebuttable presumption of control by the non-disadvantaged individual unless the disadvantaged individual now owning the firm demonstrates to you, by clear and convincing evidence, that: (1) The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than obtaining certification as a DBE; and (2) The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding the continuing participation of a nondisadvantaged individual who formerly owned and/or controlled the firm. (m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may consider whether the firm owns equipment necessary to perform its work. However, you must not determine that a firm is not controlled by socially and economically disadvantaged individuals solely because the firm leases, rather than owns, such equipment, where leasing equipment is a normal industry practice and the lease does not involve a relationship with a prime contractor or other party that compromises the independence of the firm. (n) You must grant certification to a firm only for specific types of work in which the socially and economically disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the firm need demonstrate to you only that its socially and economically disadvantaged owners are able to control the firm with respect to that type of work. You must not require that the firm be recertified or submit a new application for certification, but you must verify the disadvantaged owner's control of the firm in the additional type of work. (1) The types of work a firm can perform (whether on initial certification or when a new type of work is added) must be described in terms of the most specific available NAICS code for that type of work. If you choose, you may also, in addition to applying the appropriate NAICS code, apply a descriptor from a classification scheme of equivalent detail and specificity. A correct NAICS code is one that describes, as specifically as possible, the principal goods or services which the firm would provide to DOT recipients. Multiple NAICS codes may be assigned where appropriate. Program participants must rely on, and not depart from, the plain meaning of NAICS code descriptions in determining the scope of a firm's certification. If your Directory does not list types of work for any firm in a manner consistent with this paragraph (a)(1), you must update the Directory entry for that firm to meet the requirements of this paragraph (a)(1) by August 28, 2011. (2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept up-to-date and accurately reflect work which the UCP has determined the firm's owners can control. The firm bears the burden of providing detailed company information the certifying agency needs to make an appropriate NAICS code designation. (3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s) of work in which it is seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification documentation, supplement the assigned NAICS code(s) with a clear, specific, and detailed narrative description of the type of work in which the firm is certified. A vague, general, or confusing description is not sufficient for this purpose, and recipients should not rely on such a description in determining whether a firm's participation can be counted toward DBE goals. (4) A certifier is not precluded from changing a certification classification or description if there is a factual basis in the record. However, certifiers must not make after-the-fact statements about the scope of a certification, not supported by evidence in the record of the certification action. (o) A business operating under a franchise or license agreement may be certified if it meets the standards in this subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affiliation exists, you should generally not consider the restraints relating to standardized quality, advertising, accounting format, and other provisions imposed on the franchisee or licensee by the franchise agreement or license, provided that the franchisee or licensee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement or license, affiliation could arise through other means, such as common management or excessive restrictions on the sale or transfer of the franchise interest or license. (p) In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non- disadvantaged partners must not have the power, without the specific written concurrence of the socially and economically disadvantaged partner(s), to contractually bind the partnership or subject the partnership to contract or tort liability. (q) The socially and economically disadvantaged individuals controlling a firm may use an employee leasing company. The use of such a company does not preclude the socially and economically disadvantaged individuals from controlling their firm if they continue to maintain an employer-employee relationship with the leased employees. This includes being responsible for hiring, firing, training, assigning, and otherwise controlling the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related to the employees. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28, 2011; 79 FR 59597, Oct. 2, 2014] Back to Top §26.73 What are other rules affecting certification? (a)(1) Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely to counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as provided in paragraph (a)(2) of this section, you must not consider commercially useful function issues in any way in making decisions about whether to certify a firm as a DBE. (2) You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct indicating its involvement in attempts to evade or subvert the intent or requirements of the DBE program. (b)(1) You must evaluate the eligibility of a firm on the basis of present circumstances. You must not refuse to certify a firm based solely on historical information indicating a lack of ownership or control of the firm by socially and economically disadvantaged individuals at some time in the past, if the firm currently meets the ownership and control standards of this part. (2) You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed projects or contracts at the time of its application, has not yet realized profits from its activities, or has not demonstrated a potential for success. If the firm meets disadvantaged, size, ownership, and control requirements of this Part, the firm is eligible for certification. (c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for information relevant to the certification process. Failure or refusal to provide such information is a ground for a denial or removal of certification. (d) Only firms organized for profit may be eligible DBEs. Not-for-profit organizations, even though controlled by socially and economically disadvantaged individuals, are not eligible to be certified as DBEs. (e) An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm—even a DBE firm —cannot be an eligible DBE. (1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding company, established for tax, capitalization or other purposes consistent with industry practice, and the parent or holding company in turn owns and controls an operating subsidiary, you may certify the subsidiary if it otherwise meets all requirements of this subpart. In this situation, the individual owners and controllers of the parent or holding company are deemed to control the subsidiary through the parent or holding company. (2) You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by socially and economically disadvantaged individuals. The following examples illustrate how this cumulative ownership provision works: Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company, which has a wholly-owned subsidiary. The subsidiary may be certified, if it meets all other requirements. Example 2: Disadvantaged individuals own 100 percent of the holding company, which owns 51 percent of a subsidiary. The subsidiary may be certified, if all other requirements are met. Example 3: Disadvantaged individuals own 80 percent of the holding company, which in turn owns 70 percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by disadvantaged individuals is 56 percent (80 percent of the 70 percent). This is more than 51 percent, so you may certify the subsidiary, if all other requirements are met. Example 4: Same as Example 2 or 3, but someone other than the socially and economically disadvantaged owners of the parent or holding company controls the subsidiary. Even though the subsidiary is owned by disadvantaged individuals, through the holding or parent company, you cannot certify it because it fails to meet control requirements. Example 5: Disadvantaged individuals own 60 percent of the holding company, which in turn owns 51 percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by disadvantaged individuals is about 31 percent. This is less than 51 percent, so you cannot certify the subsidiary. Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other companies. The combined gross receipts of the holding companies and its subsidiaries are greater than the size standard for the subsidiary seeking certification and/or the gross receipts cap of §26.65(b). Under the rules concerning affiliation, the subsidiary fails to meet the size standard and cannot be certified. (f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to demonstrate that a firm is an independent business, owned and controlled by socially and economically disadvantaged individuals. (g) You must not require a DBE firm to be prequalified as a condition for certification. (h) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Hawaiians as individuals, may be eligible for certification. Such a firm must meet the size standards of §26.65. Such a firm must be controlled by socially and economically disadvantaged individuals, as provided in §26.71. (i) The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs). (1) Notwithstanding any other provisions of this subpart, a direct or indirect subsidiary corporation, joint venture, or partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following requirements: (i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of the Settlement Common Stock and by Natives and descendents of Natives represents a majority of both the total equity of the ANC and the total voting power of the corporation for purposes of electing directors; (ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or partnership entity held by the ANC and by holders of its Settlement Common Stock represent a majority of both the total equity of the entity and the total voting power of the entity for the purpose of electing directors, the general partner, or principal officers; and (iii) The subsidiary, joint venture, or partnership entity has been certified by the Small Business Administration under the 8(a) or small disadvantaged business program. (2) As a recipient to whom an ANC-related entity applies for certification, you do not use the DOT uniform application form (see Appendix F of this part). You must obtain from the firm documentation sufficient to demonstrate that entity meets the requirements of paragraph (i)(1) of this section. You must also obtain sufficient information about the firm to allow you to administer your program (e.g., information that would appear in your DBE Directory). (3) If an ANC-related firm does not meet all the conditions of paragraph (i)(1) of this section, then it must meet the requirements of paragraph (h) of this section in order to be certified, on the same basis as firms owned by Indian Tribes or Native Hawaiian Organizations. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014] Back to Top Subpart E—Certification Procedures Back to Top §26.81 What are the requirements for Unified Certification Programs? (a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP). (1) Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary may, on the basis of extenuating circumstances shown by the recipients in the state, extend this deadline for no more than one additional year. (2) The agreement must provide for the establishment of a UCP meeting all the requirements of this section. The agreement must specify that the UCP will follow all certification procedures and standards of this part, on the same basis as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring activities of DOT and its operating administrations; and that the UCP shall implement DOT directives and guidance concerning certification matters. The agreement shall also commit recipients to ensuring that the UCP has sufficient resources and expertise to carry out the requirements of this part. The agreement shall include an implementation schedule ensuring that the UCP is fully operational no later than 18 months following the approval of the agreement by the Secretary. (3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients in that state. (4) The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state for revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is deemed to be accepted. (5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall have the opportunity to make an explanation to the Secretary why a deadline could not be met and why meeting the deadline was beyond your control. If you fail to make such an explanation, or the explanation does not justify the failure to meet the deadline, the Secretary shall direct you to complete the required action by a date certain. If you and the other recipients fail to carry out this direction in a timely manner, you are collectively in noncompliance with this part. (b) The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to participation in the DOT DBE Program. (1) Certification decisions by the UCP shall be binding on all DOT recipients within the state. (2) The UCP shall provide “one-stop shopping” to applicants for certification, such that an applicant is required to apply only once for a DBE certification that will be honored by all recipients in the state. (3) All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs, and recipients may use only UCPs that comply with the certification and nondiscrimination requirements of this part. (c) All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due date for bids or offers on a contract on which a firm seeks to participate as a DBE. (d) A UCP is not required to process an application for certification from a firm having its principal place of business outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of business. The “home state” UCP shall share its information and documents concerning the firm with other UCPs that are considering the firm's application. (e) Subject to DOT approval as provided in this section, the recipients in two or more states may form a regional UCP. UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline the specific responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT recipient. (f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements with other recipients, on a regional or inter-jurisdictional basis, to perform certification functions required by this part. You may also grant reciprocity to other recipient's certification decisions. (g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those from other states certified under the provisions of this part), the information required by §26.31. The UCP shall make the directory available to the public electronically, on the internet, as well as in print. The UCP shall update the electronic version of the directory by including additions, deletions, and other changes as soon as they are made and shall revise the print version of the Directory at least once a year. (h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to recipients also apply to UCPs. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5100, Jan. 28, 2011] Back to Top §26.83 What procedures do recipients follow in making certification decisions? (a) You must ensure that only firms certified as eligible DBEs under this section participate as DBEs in your program. (b) You must determine the eligibility of firms as DBEs consistent with the standards of subpart D of this part. When a UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that recipients are required to meet. (c)(1) You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of this part: (i) Perform an on-site visit to the firm's principal place of business. You must interview the principal officers and review their résumés and/or work histories. You may interview key personnel of the firm if necessary. You must also perform an on-site visit to job sites if there are such sites on which the firm is working at the time of the eligibility investigation in your jurisdiction or local area. You may rely upon the site visit report of any other recipient with respect to a firm applying for certification; (ii) Analyze documentation related to the legal structure, ownership, and control of the applicant firm. This includes, but is not limited to, Articles of Incorporation/Organization; corporate by-laws or operating agreements; organizational, annual and board/member meeting records; stock ledgers and certificates; and State-issued Certificates of Good Standing (iii) Analyze the bonding and financial capacity of the firm; lease and loan agreements; bank account signature cards; (iv) Determine the work history of the firm, including contracts it has received, work it has completed; and payroll records; (v) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its preferred locations for performing the work, if any. (vi) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its key personnel possess to perform the work it seeks to do as part of the DBE program; (vii) Obtain complete Federal income tax returns (or requests for extensions) filed by the firm, its affiliates, and the socially and economically disadvantaged owners for the last 3 years. A complete return includes all forms, schedules, and statements filed with the Internal Revenue Service. (viii) Require potential DBEs to complete and submit an appropriate application form, except as otherwise provided in §26.85 of this part. (2) You must use the application form provided in Appendix F to this part without change or revision. However, you may provide in your DBE program, with the written approval of the concerned operating administration, for supplementing the form by requesting specified additional information not inconsistent with this part. (3) You must make sure that the applicant attests to the accuracy and truthfulness of the information on the application form. This shall be done either in the form of an affidavit sworn to by the applicant before a person who is authorized by State law to administer oaths or in the form of an unsworn declaration executed under penalty of perjury of the laws of the United States. (4) You must review all information on the form prior to making a decision about the eligibility of the firm. You may request clarification of information contained in the application at any time in the application process. (d) When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for certification information you have obtained about that firm (e.g., including application materials or the report of a site visit, if you have made one to the firm), you must promptly make the information available to the other recipient. (e) [Reserved] (f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose a reasonable application fee for certification. Fee waivers shall be made in appropriate cases. (g) You must safeguard from disclosure to unauthorized persons information gathered as part of the certification process that may reasonably be regarded as proprietary or other confidential business information, consistent with applicable Federal, state, and local law. (h)(1) Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in whole or in part, through the procedures of §26.87 of this part, except as provided in §26.67(b)(1) of this part. (2) You may not require DBEs to reapply for certification or undergo a recertification process. However, you may conduct a certification review of a certified DBE firm, including a new on-site review, if appropriate in light of changed circumstances (e.g., of the kind requiring notice under paragraph (i) of this section or relating to suspension of certification under §26.88), a complaint, or other information concerning the firm's eligibility. If information comes to your attention that leads you to question the firm's eligibility, you may conduct an on-site review on an unannounced basis, at the firm's offices and job sites. (i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change in the information provided in your application form. (1) Changes in management responsibility among members of a limited liability company are covered by this requirement. (2) You must attach supporting documentation describing in detail the nature of such changes. (3) The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by state law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of the United States. You must provide the written notification within 30 days of the occurrence of the change. If you fail to make timely notification of such a change, you will be deemed to have failed to cooperate under §26.109(c). (j) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your certification, an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States. This affidavit must affirm that there have been no changes in the firm's circumstances affecting its ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material changes in the information provided in its application form, except for changes about which you have notified the recipient under paragraph (i) of this section. The affidavit shall specifically affirm that your firm continues to meet SBA business size criteria and the overall gross receipts cap of this part, documenting this affirmation with supporting documentation of your firm's size and gross receipts (e.g., submission of Federal tax returns). If you fail to provide this affidavit in a timely manner, you will be deemed to have failed to cooperate under §26.109(c). (k) If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from the applicant firm all information required under this part. You may extend this time period once, for no more than an additional 60 days, upon written notice to the firm, explaining fully and specifically the reasons for the extension. You may establish a different time frame in your DBE program, upon a showing that this time frame is not feasible, and subject to the approval of the concerned operating administration. Your failure to make a decision by the applicable deadline under this paragraph is deemed a constructive denial of the application, on the basis of which the firm may appeal to DOT under §26.89. (l) As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application whether the application is complete and suitable for evaluation and, if not, what additional information or action is required. (m) Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application before you have issued a decision on the application, the applicant can resubmit the application at any time. As a recipient or UCP, you may not apply the waiting period provided under §26.86(c) of this part before allowing the applicant to resubmit its application. However, you may place the reapplication at the “end of the line,” behind other applications that have been made since the firm's previous application was withdrawn. You may also apply the waiting period provided under §26.86(c) of this part to a firm that has established a pattern of frequently withdrawing applications before you make a decision. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014] Back to Top §26.85 Interstate certification. (a) This section applies with respect to any firm that is currently certified in its home state. (b) When a firm currently certified in its home state (“State A”) applies to another State (“State B”) for DBE certification, State B may, at its discretion, accept State A's certification and certify the firm, without further procedures. (1) To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from State A. (2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A. State B can do so by reviewing State A's electronic directory or obtaining written confirmation from State A. (c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph (b) of this section, as the applicant firm you must provide the information in paragraphs (c)(1) through (4) of this section to State B. (1) You must provide to State B a complete copy of the application form, all supporting documents, and any other information you have submitted to State A or any other state related to your firm's certification. This includes affidavits of no change (see §26.83(j)) and any notices of changes (see §26.83(i)) that you have submitted to State A, as well as any correspondence you have had with State A's UCP or any other recipient concerning your application or status as a DBE firm. (2) You must also provide to State B any notices or correspondence from states other than State A relating to your status as an applicant or certified DBE in those states. For example, if you have been denied certification or decertified in State C, or subject to a decertification action there, you must inform State B of this fact and provide all documentation concerning this action to State B. (3) If you have filed a certification appeal with DOT (see §26.89), you must inform State B of the fact and provide your letter of appeal and DOT's response to State B. (4) You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States. (i) This affidavit must affirm that you have submitted all the information required by 49 CFR 26.85(c) and the information is complete and, in the case of the information required by §26.85(c)(1), is an identical copy of the information submitted to State A. (ii) If the on-site report from State A supporting your certification in State A is more than three years old, as of the date of your application to State B, State B may require that your affidavit also affirm that the facts in the on-site report remain true and correct. (d) As State B, when you receive from an applicant firm all the information required by paragraph (c) of this section, you must take the following actions: (1) Within seven days contact State A and request a copy of the site visit review report for the firm (see §26.83(c)(1)), any updates to the site visit review, and any evaluation of the firm based on the site visit. As State A, you must transmit this information to State B within seven days of receiving the request. A pattern by State B of not making such requests in a timely manner or by “State A” or any other State of not complying with such requests in a timely manner is noncompliance with this Part. (2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or should not apply in your State. Reasons for making such a determination may include the following: (i) Evidence that State A's certification was obtained by fraud; (ii) New information, not available to State A at the time of its certification, showing that the firm does not meet all eligibility criteria; (iii) State A's certification was factually erroneous or was inconsistent with the requirements of this part; (iv) The State law of State B requires a result different from that of the State law of State A. (v) The information provided by the applicant firm did not meet the requirements of paragraph (c) of this section. (3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant firm all the information required by paragraph (c) of this section, send to the applicant firm a notice that it is certified and place the firm on your directory of certified firms. (4) If, as State B, you have determined that there is good cause to believe that State A's certification is erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant firm all the information required by paragraph (c) of this section, send to the applicant firm a notice stating the reasons for your determination. (i) This notice must state with particularity the specific reasons why State B believes that the firm does not meet the requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to State B with respect to these reasons. (ii) The firm may elect to respond in writing, to request an in-person meeting with State B's decision maker to discuss State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B you must schedule the meeting to take place within 30 days of receiving the firm's request. (iii) The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the requirements of this Part with respect to the particularized issues raised by State B's notice. The firm is not otherwise responsible for further demonstrating its eligibility to State B. (iv) The decision maker for State B must be an individual who is thoroughly familiar with the provisions of this Part concerning certification. (v) State B must issue a written decision within 30 days of the receipt of the written response from the firm or the meeting with the decision maker, whichever is later. (vi) The firm's application for certification is stayed pending the outcome of this process. (vii) A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under s§26.89 of this part. (e) As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you have made a timely request for it, you may hold action required by paragraphs (d)(2) through (4) of this section in abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the date on which you received from an applicant firm all the information required by paragraph (c) of this section, notify the firm in writing of the delay in the process and the reason for it. (f)(1) As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other State in which the firm is certified, through the procedures of paragraph (d)(4) of this section, or decertify a firm, in whole or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOCR's) Ineligibility Determination Online Database. You must enter the following information: (i) The name of the firm; (ii) The name(s) of the firm's owner(s); (iii) The type and date of the action; (iv) The reason for the action. (2) As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm that is applying to you for certification or that you have already certified is on the list. (3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP that made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting UCP within 7 days of receiving the request. As the UCP receiving the decision, you must then consider the information in the decision in determining what, if any, action to take with respect to the certified DBE firm or applicant. (g) You must implement the requirements of this section beginning January 1, 2012. [76 FR 5100, Jan. 28, 2011] Back to Top §26.86 What rules govern recipients' denials of initial requests for certification? (a) When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the record that supports each reason for the denial. All documents and other information on which the denial is based must be made available to the applicant, on request. (b) [Reserved] (c) When a firm is denied certification, you must establish a time period of no more than twelve months that must elapse before the firm may reapply to the recipient for certification. You may provide, in your DBE program, subject to approval by the concerned operating administration, a shorter waiting period for reapplication. The time period for reapplication begins to run on the date the explanation required by paragraph (a) of this section is received by the firm. An applicant's appeal of your decision to the Department pursuant to §26.89 does not extend this period. (d) When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial to the Department under §26.89. [64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003; 79 FR 59598, Oct. 2, 2014] Back to Top §26.87 What procedures does a recipient use to remove a DBE's eligibility? (a) Ineligibility complaints. (1) Any person may file with you a written complaint alleging that a currently-certified firm is ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general allegation that a firm is ineligible or an anonymous complaint. The complaint may include any information or arguments supporting the complainant's assertion that the firm is ineligible and should not continue to be certified. Confidentiality of complainants' identities must be protected as provided in §26.109(b). (2) You must review your records concerning the firm, any material provided by the firm and the complainant, and other available information. You may request additional information from the firm or conduct any other investigation that you deem necessary. (3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed determination. If you determine that such reasonable cause does not exist, you must notify the complainant and the firm in writing of this determination and the reasons for it. All statements of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the record on which each reason is based. (b) Recipient-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other information that comes to your attention, you determine that there is reasonable cause to believe that a currently certified firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable cause must specifically reference the evidence in the record on which each reason is based. (c) DOT directive to initiate proceeding. (1) If the concerned operating administration determines that information in your certification records, or other information available to the concerned operating administration, provides reasonable cause to believe that a firm you certified does not meet the eligibility criteria of this part, the concerned operating administration may direct you to initiate a proceeding to remove the firm's certification. (2) The concerned operating administration must provide you and the firm a notice setting forth the reasons for the directive, including any relevant documentation or other information. (3) You must immediately commence and prosecute a proceeding to remove eligibility as provided by paragraph (b) of this section. (d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph (a), (b), or (c) of this section, you must give the firm an opportunity for an informal hearing, at which the firm may respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it should remain certified. (1) In such a proceeding, you bear the burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards of this part. (2) You must maintain a complete record of the hearing, by any means acceptable under state law for the retention of a verbatim record of an administrative hearing. If there is an appeal to DOT under §26.89, you must provide a transcript of the hearing to DOT and, on request, to the firm. You must retain the original record of the hearing. You may charge the firm only for the cost of copying the record. (3) The firm may elect to present information and arguments in writing, without going to a hearing. In such a situation, you bear the same burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards, as you would during a hearing. (e) Separation of functions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the firm's eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in these actions. (1) Your method of implementing this requirement must be made part of your DBE program. (2) The decisionmaker must be an individual who is knowledgeable about the certification requirements of your DBE program and this part. (3) Before a UCP is operational in its state, a small airport or small transit authority (i.e., an airport or transit authority serving an area with less than 250,000 population) is required to meet this requirement only to the extent feasible. (f) Grounds for decision. You may base a decision to remove a firm's eligibility only on one or more of the following grounds: (1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm unable to meet the eligibility standards of this part; (2) Information or evidence not available to you at the time the firm was certified; (3) Information relevant to eligibility that has been concealed or misrepresented by the firm; (4) A change in the certification standards or requirements of the Department since you certified the firm; (5) Your decision to certify the firm was clearly erroneous; (6) The firm has failed to cooperate with you (see §26.109(c)); (7) The firm has exhibited a pattern of conduct indicating its involvement in attempts to subvert the intent or requirements of the DBE program (see §26.73(a)(2)); or (8) The firm has been suspended or debarred for conduct related to the DBE program. The notice required by paragraph (g) of this section must include a copy of the suspension or debarment action. A decision to remove a firm for this reason shall not be subject to the hearing procedures in paragraph (d) of this section. (g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The notice must inform the firm of the consequences of your decision and of the availability of an appeal to the Department of Transportation under §26.89. You must send copies of the notice to the complainant in an ineligibility complaint or the concerned operating administration that had directed you to initiate the proceeding. Provided that, when sending such a notice to a complainant other than a DOT operating administration, you must not include information reasonably construed as confidential business information without the written consent of the firm that submitted the information. (h) [Reserved] (i) Status of firm during proceeding. (1) A firm remains an eligible DBE during the pendancy of your proceeding to remove its eligibility. (2) The firm does not become ineligible until the issuance of the notice provided for in paragraph (g) of this section. (j) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action: (1) When a prime contractor has made a commitment to using the ineligible firm, or you have made a commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the decertification notice provided for in paragraph (g) of this section, the ineligible firm does not count toward the contract goal or overall goal. You must direct the prime contractor to meet the contract goal with an eligible DBE firm or demonstrate to you that it has made a good faith effort to do so. (2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal for the firm's work. In this case, or in a case where you have let a prime contract to the DBE that was later ruled ineligible, the portion of the ineligible firm's performance of the contract remaining after you issued the notice of its ineligibility shall not count toward your overall goal, but may count toward the contract goal. (3) Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the performance of the contract, you may continue to count its participation on that contract toward overall and contract goals. (k) Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section, the firm may appeal the removal to the Department under §26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011; 79 FR 59599, Oct. 2, 2014] Back to Top §26.88 Summary suspension of certification. (a) A recipient shall immediately suspend a DBE's certification without adhering to the requirements in §26.87(d) of this part when an individual owner whose ownership and control of the firm are necessary to the firm's certification dies or is incarcerated. (b)(1) A recipient may immediately suspend a DBE's certification without adhering to the requirements in §26.87(d) when there is adequate evidence to believe that there has been a material change in circumstances that may affect the eligibility of the DBE firm to remain certified, or when the DBE fails to notify the recipient or UCP in writing of any material change in circumstances as required by §26.83(i) of this part or fails to timely file an affidavit of no change under §26.83(j). (2) In determining the adequacy of the evidence to issue a suspension under paragraph (b)(1) of this section, the recipient shall consider all relevant factors, including how much information is available, the credibility of the information and allegations given the circumstances, whether or not important allegations are corroborated, and what inferences can reasonably be drawn as a result. (c) The concerned operating administration may direct the recipient to take action pursuant to paragraph (a) or (b) this section if it determines that information available to it is sufficient to warrant immediate suspension. (d) When a firm is suspended pursuant to paragraph (a) or (b) of this section, the recipient shall immediately notify the DBE of the suspension by certified mail, return receipt requested, to the last known address of the owner(s) of the DBE. (e) Suspension is a temporary status of ineligibility pending an expedited show cause hearing/proceeding under §26.87 of this part to determine whether the DBE is eligible to participate in the program and consequently should be removed. The suspension takes effect when the DBE receives, or is deemed to have received, the Notice of Suspension. (f) While suspended, the DBE may not be considered to meet a contract goal on a new contract, and any work it does on a contract received during the suspension shall not be counted toward a recipient's overall goal. The DBE may continue to perform under an existing contract executed before the DBE received a Notice of Suspension and may be counted toward the contract goal during the period of suspension as long as the DBE is performing a commercially useful function under the existing contract. (g) Following receipt of the Notice of Suspension, if the DBE believes it is no longer eligible, it may voluntarily withdraw from the program, in which case no further action is required. If the DBE believes that its eligibility should be reinstated, it must provide to the recipient information demonstrating that the firm is eligible notwithstanding its changed circumstances. Within 30 days of receiving this information, the recipient must either lift the suspension and reinstate the firm's certification or commence a decertification action under §26.87 of this part. If the recipient commences a decertification proceeding, the suspension remains in effect during the proceeding. (h) The decision to immediately suspend a DBE under paragraph (a) or (b) of this section is not appealable to the US Department of Transportation. The failure of a recipient to either lift the suspension and reinstate the firm or commence a decertification proceeding, as required by paragraph (g) of this section, is appealable to the U.S. Department of Transportation under §26.89 of this part, as a constructive decertification. [79 FR 59599, Oct. 2, 2014] Back to Top §26.89 What is the process for certification appeals to the Department of Transportation? (a)(1) If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA-certified firms, you may make an administrative appeal to the Department. (2) If you are a complainant in an ineligibility complaint to a recipient (including the concerned operating administration in the circumstances provided in §26.87(c)), you may appeal to the Department if the recipient does not find reasonable cause to propose removing the firm's eligibility or, following a removal of eligibility proceeding, determines that the firm is eligible. (3) Send appeals to the following address: U.S. Department of Transportation, Departmental Office of Civil Rights, 1200 New Jersey Avenue SE., Washington, DC 20590-0001. (b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does not stay the effect of the recipient's decision while it is considering an appeal. (c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's final decision, including information and setting forth a full and specific statement as to why the decision is erroneous, what significant fact that the recipient failed to consider, or what provisions of this Part the recipient did not properly apply. The Department may accept an appeal filed later than 90 days after the date of the decision if the Department determines that there was good cause for the late filing of the appeal or in the interest of justice. (d) When it receives an appeal, the Department requests a copy of the recipient's complete administrative record in the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript, within 20 days of the Department's request. The Department may extend this time period on the basis of a recipient's showing of good cause. To facilitate the Department's review of a recipient's decision, you must ensure that such administrative records are well organized, indexed, and paginated. Records that do not comport with these requirements are not acceptable and will be returned to you to be corrected immediately. If an appeal is brought concerning one recipient's certification decision concerning a firm, and that recipient relied on the decision and/or administrative record of another recipient, this requirement applies to both recipients involved. (e) The Department makes its decision based solely on the entire administrative record as supplemented by the appeal. The Department does not make a de novo review of the matter and does not conduct a hearing. The Department may also supplement the administrative record by adding relevant information made available by the DOT Office of Inspector General; Federal, State, or local law enforcement authorities; officials of a DOT operating administration or other appropriate DOT office; a recipient; or a firm or other private party. (f) As a recipient, when you provide supplementary information to the Department, you shall also make this information available to the firm and any third-party complainant involved, consistent with Federal or applicable state laws concerning freedom of information and privacy. The Department makes available, on request by the firm and any third-party complainant involved, any supplementary information it receives from any source. (1) The Department affirms your decision unless it determines, based on the entire administrative record, that your decision is unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification. (2) If the Department determines, after reviewing the entire administrative record, that your decision was unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification, the Department reverses your decision and directs you to certify the firm or remove its eligibility, as appropriate. You must take the action directed by the Department's decision immediately upon receiving written notice of it. (3) The Department is not required to reverse your decision if the Department determines that a procedural error did not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the appellant to present its case. (4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact on the outcome of the case, the Department may remand the record to you with instructions seeking clarification or augmentation of the record before making a finding. The Department may also remand a case to you for further proceedings consistent with Department instructions concerning the proper application of the provisions of this part. (5) The Department does not uphold your decision based on grounds not specified in your decision. (6) The Department's decision is based on the status and circumstances of the firm as of the date of the decision being appealed. (7) The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision has been involved in the proceeding (see paragraph (d) of this section). The Department will also notify the SBA in writing when DOT takes an action on an appeal that results in or confirms a loss of eligibility to any SBA-certified firm. The notice includes the reasons for the Department's decision, including specific references to the evidence in the record that supports each reason for the decision. (8) The Department's policy is to make its decision within 180 days of receiving the complete administrative record. If the Department does not make its decision within this period, the Department provides written notice to concerned parties, including a statement of the reason for the delay and a date by which the appeal decision will be made. (g) All decisions under this section are administratively final, and are not subject to petitions for reconsideration. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556, June 16, 2003; 73 FR 33329, June 12, 2008; 79 FR 59599, Oct. 2, 2014] Back to Top §26.91 What actions do recipients take following DOT certification appeal decisions? (a) If you are the recipient from whose action an appeal under §26.89 is taken, the decision is binding. It is not binding on other recipients. (b) If you are a recipient to which a DOT determination under §26.89 is applicable, you must take the following action: (1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on receipt of the determination, without further proceedings on your part. Effective on the date of your receipt of the Department's determination, the consequences of a removal of eligibility set forth in §26.87(i) take effect. (2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's eligibility, you must expeditiously commence a proceeding to determine whether the firm's eligibility should be removed, as provided in §26.87. (3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm, you must certify the firm, effective on the date of your receipt of the written notice of Department's determination. (4) If the Department determines that you erroneously determined that the presumption of social and economic disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action as determined by the Department. (5) If the Department affirms your determination, no further action is necessary. (c) Where DOT has upheld your denial of certification to or removal of eligibility from a firm, or directed the removal of a firm's eligibility, other recipients with whom the firm is certified may commence a proceeding to remove the firm's eligibility under §26.87. Such recipients must not remove the firm's eligibility absent such a proceeding. Where DOT has reversed your denial of certification to or removal of eligibility from a firm, other recipients must take the DOT action into account in any certification action involving the firm. However, other recipients are not required to certify the firm based on the DOT decision. Back to Top Subpart F—Compliance and Enforcement Back to Top §26.101 What compliance procedures apply to recipients? (a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under §26.103 or §26.105 or appropriate program sanctions by the concerned operating administration, such as the suspension or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies are remedied. Program sanctions may include, in the case of the FHWA program, actions provided for under 23 CFR 1.36; in the case of the FAA program, actions consistent with 49 U.S.C. 47106(d), 47111(d), and 47122; and in the case of the FTA program, any actions permitted under 49 U.S.C. chapter 53 or applicable FTA program requirements. (b) As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any requirement of this part because you have been prevented from complying because a Federal court has issued a final order in which the court found that the requirement is unconstitutional. Back to Top §26.103 What enforcement actions apply in FHWA and FTA programs? The provisions of this section apply to enforcement actions under FHWA and FTA programs: (a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If you want to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the date on which you learned of a continuing course of conduct in violation of this part. In response to your written request, the Office of Civil Rights may extend the time for filing in the interest of justice, specifying in writing the reason for so doing. The Office of Civil Rights may protect the confidentiality of your identity as provided in §26.109(b). Complaints under this part are limited to allegations of violation of the provisions of this part. (b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this part at any time, including reviews of paperwork and on-site reviews, as appropriate. The Office of Civil Rights may direct the operating administration to initiate a compliance review based on complaints received. (c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance review, that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends you, return receipt requested, a written notice advising you that there is reasonable cause to find you in noncompliance. The notice states the reasons for this finding and directs you to reply within 30 days concerning whether you wish to begin conciliation. (d) Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30, but not more than 120, days from the date of your request. The appropriate DOT office may extend the conciliation period for up to 30 days for good cause, consistent with applicable statutes. (2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed and you are regarded as being in compliance. The conciliation agreement sets forth the measures you have taken or will take to ensure compliance. While a conciliation agreement is in effect, you remain eligible for FHWA or FTA financial assistance. (3) The concerned operating administration shall monitor your implementation of the conciliation agreement and ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are in noncompliance. (4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in paragraph (d)(1) of this section, then enforcement proceedings begin. (e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart. (2) Applicable findings in enforcement proceedings are binding on all DOT offices. Back to Top §26.105 What enforcement actions apply in FAA programs? (a) Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance is enforced through the procedures of Title 49 of the United States Code, including 49 U.S.C. 47106(d), 47111(d), and 47122, and regulations implementing them. (b) The provisions of §26.103(b) and this section apply to enforcement actions in FAA programs. (c) Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR part 16 with the Federal Aviation Administration Office of Chief Counsel. Back to Top §26.107 What enforcement actions apply to firms participating in the DBE program? (a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate in a DOT-assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations or under circumstances indicating a serious lack of business integrity or honesty, the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200. (b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts to use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances indicating a serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of subpart D of this part, the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200. (c) In a suspension or debarment proceeding brought under paragraph (a) or (b) of this section, the concerned operating administration may consider the fact that a purported DBE has been certified by a recipient. Such certification does not preclude the Department from determining that the purported DBE, or another firm that has used or attempted to use it to meet DBE goals, should be suspended or debarred. (d) The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, against any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31. (e) The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other applicable provisions of law, any person who makes a false or fraudulent statement in connection with participation of a DBE in any DOT- assisted program or otherwise violates applicable Federal statutes. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5101, Jan. 28, 2011] Back to Top §26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation? (a) Availability of records. (1) In responding to requests for information concerning any aspect of the DBE program, the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a). The Department may make available to the public any information concerning the DBE program release of which is not prohibited by Federal law. (2) Notwithstanding any provision of Federal or state law, you must 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. This includes applications for DBE certification and supporting information. However, you must transmit this information to DOT in any certification appeal proceeding under §26.89 of this part or to any other state to which the individual's firm has applied for certification under §26.85 of this part. (b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a) 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. FAA follows the procedures of 14 CFR part 16 with respect to confidentiality of information in complaints. (c) 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 (e.g., with respect to recipients, a finding of noncompliance; with respect to DBE firms, denial of certification or removal of eligibility and/or suspension and debarment; with respect to a complainant or appellant, dismissal of the complaint or appeal; with respect to a contractor which uses DBE firms to meet goals, findings of non-responsibility for future contracts and/or suspension and debarment). (d) Intimidation and retaliation. If you are a recipient, contractor, or any other participant in the program, you must not 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. If you violate this prohibition, you are in noncompliance with this part. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011] Back to Top Appendix A to Part 26—Guidance Concerning Good Faith Efforts I. When, as a recipient, you establish a contract goal on a DOT-assisted contract for procuring construction, equipment, services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. II. In any situation in which you have established a contract goal, Part 26 requires you to use the good faith efforts mechanism of this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a bidder that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity, and intensity of the different kinds of efforts that the bidder has made, based on the regulations and the guidance in this Appendix. The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination concerning the sufficiency of the firm's good faith efforts is a judgment call. Determinations should not be made using quantitative formulas. III. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. A. (1) Conducing market research to identify small business contractors and suppliers and soliciting through all reasonable and available means the interest of all certified DBEs that have the capability to perform the work of the contract. This may include attendance at pre-bid and business matchmaking meetings and events, advertising and/or written notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE directory) and which are located in the area or surrounding areas of the project. (2) The bidder should solicit this interest as early in the acquisition process as practicable to allow the DBEs to respond to the solicitation and submit a timely offer for the subcontract. The bidder should determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units (for example, smaller tasks or quantities) to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. This may include, where possible, establishing flexible timeframes for performance and delivery schedules in a manner that encourages and facilitates DBE participation. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation with their offer for the subcontract. D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional Agreements could not be reached for DBEs to perform the work. (2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. E. (1) Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union status) are not legitimate causes for the rejection or non- solicitation of bids in the contractor's efforts to meet the project goal. Another practice considered an insufficient good faith effort is the rejection of the DBE because its quotation for the work was not the lowest received. However, nothing in this paragraph shall be construed to require the bidder or prime contractor to accept unreasonable quotes in order to satisfy contract goals. (2) A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the ability and/or desire to perform the contract work with its own forces does not relieve the contractor of the obligation to make good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a prospective replacement DBE's reasonable quote. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available minority/women community organizations; minority/women contractors' groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by- case basis to provide assistance in the recruitment and placement of DBEs. V. In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documented efforts. At a minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. As provided in §26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract to review whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation to inquire as to whether they were contacted by the prime. Pro forma mailings to DBEs requesting bids are not alone sufficient to satisfy good faith efforts under the rule. VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to constitute good faith efforts. [79 FR 59600, Oct. 2, 2014] Back to Top Appendix B to Part 26—Uniform Report of DBE Awards or Commitments and Payments Form INSTRUCTIONS FOR COMPLETING THE UNIFORM REPORT OF DBE AWARDS/COMMITMENTS AND PAYMENTS Recipients of Department of Transportation (DOT) funds are expected to keep accurate data regarding the contracting opportunities available to firms paid for with DOT dollars. Failure to submit contracting data relative to the DBE program will result in noncompliance with Part 26. All dollar values listed on this form should represent the DOT share attributable to the Operating Administration (OA): Federal Highway Administration (FHWA), Federal Aviation Administration (FAA) or Federal Transit Administration (FTA) to which this report will be submitted. 1. Indicate the DOT (OA) that provides your Federal financial assistance. If assistance comes from more than one OA, use separate reporting forms for each OA. If you are an FTA recipient, indicate your Vendor Number in the space provided. 2. If you are an FAA recipient, indicate the relevant AIP Numbers covered by this report. If you are an FTA recipient, indicate the Grant/Project numbers covered by this report. If more than ten attach a separate sheet. 3. Specify the Federal fiscal year (i.e., October 1-September 30) in which the covered reporting period falls. 4. State the date of submission of this report. 5. Check the appropriate box that indicates the reporting period that the data provided in this report covers. For FHWA and FTA recipients, if this report is due June 1, data should cover October 1-March 31. If this report is due December 1, data should cover April 1-September 30. If the report is due to the FAA, data should cover the entire year. 6. Provide the name and address of the recipient. 7. State your overall DBE goal(s) established for the Federal fiscal year of the report being submitted to and approved by the relevant OA. Your overall goal is to be reported as well as the breakdown for specific Race Conscious and Race Neutral projections (both of which include gender-conscious/neutral projections). The Race Conscious projection should be based on measures that focus on and provide benefits only for DBEs. The use of contract goals is a primary example of a race conscious measure. The Race Neutral projection should include measures that, while benefiting DBEs, are not solely focused on DBE firms. For example, a small business outreach program, technical assistance, and prompt payment clauses can assist a wide variety of businesses in addition to helping DBE firms. Section A: Awards and Commitments Made During This Period The amounts in items 8(A)-10(I) should include all types of prime contracts awarded and all types of subcontracts awarded or committed, including: professional or consultant services, construction, purchase of materials or supplies, lease or purchase of equipment and any other types of services. All dollar amounts are to reflect only the Federal share of such contracts and should be rounded to the nearest dollar. Line 8: Prime contracts awarded this period: The items on this line should correspond to the contracts directly between the recipient and a supply or service contractor, with no intermediaries between the two. 8(A). Provide the total dollar amount for all prime contracts assisted with DOT funds and awarded during this reporting period. This value should include the entire Federal share of the contracts without removing any amounts associated with resulting subcontracts. 8(B). Provide the total number of all prime contracts assisted with DOT funds and awarded during this reporting period. 8(C). From the total dollar amount awarded in item 8(A), provide the dollar amount awarded in prime contracts to certified DBE firms during this reporting period. This amount should not include the amounts sub contracted to other firms. 8(D). From the total number of prime contracts awarded in item 8(B), specify the number of prime contracts awarded to certified DBE firms during this reporting period. 8(E&F). This field is closed for data entry. Except for the very rare case of DBE-set asides permitted under 49 CFR part 26, all prime contracts awarded to DBES are regarded as race-neutral. 8(G). From the total dollar amount awarded in item 8(C), provide the dollar amount awarded to certified DBEs through the use of Race Neutral methods. See the definition of Race Neutral in item 7 and the explanation in item 8 of project types to include. 8(H). From the total number of prime contracts awarded in 8(D), specify the number awarded to DBEs through Race Neutral methods. 8(I). Of all prime contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar amount in item 8(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the nearest tenth. Line 9: Subcontracts awarded/committed this period: Items 9(A)-9(I) are derived in the same way as items 8(A)-8(I), except that these calculations should be based on subcontracts rather than prime contracts. Unlike prime contracts, which may only be awarded, subcontracts may be either awarded or committed. 9(A). If filling out the form for general reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during this period. This value should be a subset of the total dollars awarded in prime contracts in 8(A), and therefore should never be greater than the amount awarded in prime contracts. If filling out the form for project reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during this period. This value should be a subset of the total dollars awarded or previously in prime contracts in 8(A). The sum of all subcontract amounts in consecutive periods should never exceed the sum of all prime contract amounts awarded in those periods. 9(B). Provide the total number of all sub contracts assisted with DOT funds that were awarded or committed during this reporting period. 9(C). From the total dollar amount of sub contracts awarded/committed this period in item 9(A), provide the total dollar amount awarded in sub contracts to DBEs. 9(D). From the total number of sub contracts awarded or committed in item 9(B), specify the number of sub contracts awarded or committed to DBEs. 9(E). From the total dollar amount of sub contracts awarded or committed to DBEs this period, provide the amount in dollars to DBEs using Race Conscious measures. 9(F). From the total number of sub contracts awarded orcommitted to DBEs this period, provide the number of sub contracts awarded or committed to DBEs using Race Conscious measures. 9(G). From the total dollar amount of sub contracts awarded/committed to DBEs this period, provide the amount in dollars to DBEs using Race Neutral measures. 9(H). From the total number of sub contracts awarded/committed to DBEs this period, provide the number of sub contracts awarded to DBEs using Race Neutral measures. 9(I). Of all subcontracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar amount in item 9(C) by the dollar amount in item 9(A) to derive this percentage. Round percentage to the nearest tenth. Line 10: Total contracts awarded or committed this period. These fields should be used to show the total dollar value and number of contracts awarded to DBEs and to calculate the overall percentage of dollars awarded to DBEs. 10(A)-10(B). These fields are unavailable for data entry. 10(C-H). Combine the total values listed on the prime contracts line (Line 8) with the corresponding values on the subcontracts line (Line 9). 10(I). Of all contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the total dollars awarded to DBEs in item 10(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the nearest tenth. Section B: Breakdown by Ethnicity & Gender of Contracts Awarded to DBEs This Period 11-17. Further breakdown the contracting activity with DBE involvement. The Total Dollar Amount to DBEs in 17(C) should equal the Total Dollar Amount to DBEs in 10(C). Likewise the total number of contracts to DBEs in 17(F) should equal the Total Number of Contracts to DBEs in 10(D). Line 16: The “Non-Minority” category is reserved for any firms whose owners are not members of the presumptively disadvantaged groups already listed, but who are either “women” OR eligible for the DBE program on an individual basis. All DBE firms must be certified by the Unified Certification Program to be counted in this report. Section C: Payments on Ongoing Contracts Line 18(A-E). Submit information on contracts that are currently in progress. All dollar amounts are to reflect only the Federal share of such contracts, and should be rounded to the nearest dollar. 18(A). Provide the total dollar amount paid to all firms performing work on contracts. 18(B). Provide the total number of contracts where work was performed during the reporting period. 18(C). From the total number of contracts provided in 18(A) provide the total number of contracts that are currently being performed by DBE firms for which payments have been made. 18(D). From the total dollar amount paid to all firms in 18(A), provide the total dollar value paid to DBE firms currently performing work during this period. 18(E). Provide the total number of DBE firms that received payment during this reporting period. For example, while 3 contracts may be active during this period, one DBE firm may be providing supplies or services on all three contracts. This field should only list the number of DBE firms performing work. 18(F). Of all payments made during this period, calculate the percentage going to DBEs. Divide the total dollar value to DBEs in item 18(D) by the total dollars of all payments in 18(B). Round percentage to the nearest tenth. Section D: Actual Payments on Contracts Completed This Reporting Period This section should provide information only on contracts that are closed during this period. All dollar amounts are to reflect the entire Federal share of such contracts, and should be rounded to the nearest dollar. 19(A). Provide the total number of contracts completed during this reporting period that used Race Conscious measures. Race Conscious contracts are those with contract goals or another race conscious measure. 19(B). Provide the total dollar value of prime contracts completed this reporting period that had race conscious measures. 19(C). From the total dollar value of prime contracts completed this period in 19(B), provide the total dollar amount of dollars awarded or committed to DBE firms in order to meet the contract goals. This applies only to Race Conscious contracts. 19(D). Provide the actual total DBE participation in dollars on the race conscious contracts completed this reporting period. 19(E). Of all the contracts completed this reporting period using Race Conscious measures, calculate the percentage of DBE participation. Divide the total dollar amount to DBEs in item 19(D) by the total dollar value provided in 19(B) to derive this percentage. Round to the nearest tenth. 20(A)-20(E). Items 21(A)-21(E) are derived in the same manner as items 19(A)-19(E), except these figures should be based on contracts completed using Race Neutral measures. 20(C). This field is closed. 21(A)-21(D). Calculate the totals for each column by adding the race conscious and neutral figures provided in each row above. 21(C). This field is closed. 21(E). Calculate the overall percentage of dollars to DBEs on completed contracts. Divide the Total DBE participation dollar value in 21(D) by the Total Dollar Value of Contracts Completed in 21(B) to derive this percentage. Round to the nearest tenth. 23. Name of the Authorized Representative preparing this form. 24. Signature of the Authorized Representative. 25. Phone number of the Authorized Representative. **Submit your completed report to your Regional or Division Office. View or download PDF [79 FR 59601, Oct. 2, 2014] Back to Top Appendix C to Part 26—DBE Business Development Program Guidelines The purpose of this program element is to further the development of DBEs, including but not limited to assisting them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the provision of training and assistance from the recipient. (A) Each firm that participates in a recipient's business development program (BDP) program is subject to a program term determined by the recipient. The term should consist of two stages; a developmental stage and a transitional stage. (B) In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria contained in part 26. (C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a comprehensive business plan setting forth the participant's business targets, objectives and goals. The participant will not be eligible for program benefits until such business plan is submitted and approved by the recipient. The approved business plan will constitute the participant's short and long term goals and the strategy for developmental growth to the point of economic viability in non-traditional areas of work and/or work outside the DBE program. (D) The business plan should contain at least the following: (1) An analysis of market potential, competitive environment and other business analyses estimating the program participant's prospects for profitable operation during the term of program participation and after graduation from the program. (2) An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting any financial, managerial, technical, or labor conditions which could impede the participant from receiving contracts other than those in traditional areas of DBE participation. (3) Specific targets, objectives, and goals for the business development of the participant during the next two years, utilizing the results of the analysis conducted pursuant to paragraphs (C) and (D)(1) of this appendix; (4) Estimates of contract awards from the DBE program and from other sources which are needed to meet the objectives and goals for the years covered by the business plan; and (5) Such other information as the recipient may require. (E) Each participant should annually review its currently approved business plan with the recipient and modify the plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently approved plan should be considered the applicable plan for all program purposes until the recipient approves in writing a modified plan. The recipient should establish an anniversary date for review of the participant's business plan and contract forecasts. (F) Each participant should annually forecast in writing its need for contract awards for the next program year and the succeeding program year during the review of its business plan conducted under paragraph (E) of this appendix. Such forecast should be included in the participant's business plan. The forecast should include: (1) The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the business plan; (2) The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE participation; (3) The types of contract opportunities being sought, based on the firm's primary line of business; and (4) Such other information as may be requested by the recipient to aid in providing effective business development assistance to the participant. (G) Program participation is divided into two stages; (1) a developmental stage and (2) a transitional stage. The developmental stage is designed to assist participants to overcome their social and economic disadvantage by providing such assistance as may be necessary and appropriate to enable them to access relevant markets and strengthen their financial and managerial skills. The transitional stage of program participation follows the developmental stage and is designed to assist participants to overcome, insofar as practical, their social and economic disadvantage and to prepare the participant for leaving the program. (H) The length of service in the program term should not be a pre-set time frame for either the developmental or transitional stages but should be figured on the number of years considered necessary in normal progression of achieving the firm's established goals and objectives. The setting of such time could be factored on such items as, but not limited to, the number of contracts, aggregate amount of the contract received, years in business, growth potential, etc. (I) Beginning in the first year of the transitional stage of program participation, each participant should annually submit for inclusion in its business plan a transition management plan outlining specific steps to promote profitable business operations in areas other than traditional areas of DBE participation after graduation from the program. The transition management plan should be submitted to the recipient at the same time other modifications are submitted pursuant to the annual review under paragraph (E) of this section. The plan should set forth the same information as required under paragraph (F) of steps the participant will take to continue its business development after the expiration of its program term. (J) When a participant is recognized as successfully completing the program by substantially achieving the targets, objectives and goals set forth in its program term, and has demonstrated the ability to compete in the marketplace, its further participation within the program may be determined by the recipient. (K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the following factors, among others, should be considered by the recipient: (1) Profitability; (2) Sales, including improved ratio of non-traditional contracts to traditional-type contracts; (3) Net worth, financial ratios, working capital, capitalization, access to credit and capital; (4) Ability to obtain bonding; (5) A positive comparison of the DBE's business and financial profile with profiles of non-DBE businesses in the same area or similar business category; and (6) Good management capacity and capability. (L) Upon determination by the recipient that the participant should be graduated from the developmental program, the recipient should notify the participant in writing of its intent to graduate the firm in a letter of notification. The letter of notification should set forth findings, based on the facts, for every material issue relating to the basis of the program graduation with specific reasons for each finding. The letter of notification should also provide the participant 45 days from the date of service of the letter to submit in writing information that would explain why the proposed basis of graduation is not warranted. (M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's program term for good cause due to the failure of the firm to engage in business practices that will promote its competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of inadequate performance or unjustified delinquent performance. Also, the recipient can discontinue the participation of a firm that does not actively pursue and bid on contracts, and a firm that, without justification, regularly fails to respond to solicitations in the type of work it is qualified for and in the geographical areas where it has indicated availability under its approved business plan. The recipient should take such action if over a 2-year period a DBE firm exhibits such a pattern. Back to Top Appendix D to Part 26—Mentor-Protégé Program Guidelines (A) The purpose of this program element is to further the development of DBEs, including but not limited to assisting them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the provision of training and assistance from other firms. To operate a mentor-protégé program, a recipient must obtain the approval of the concerned operating administration. (B)(1) Any mentor-protégé relationship shall be based on a written development plan, approved by the recipient, which clearly sets forth the objectives of the parties and their respective roles, the duration of the arrangement and the services and resources to be provided by the mentor to the protégé. The formal mentor-protégé agreement may set a fee schedule to cover the direct and indirect cost for such services rendered by the mentor for specific training and assistance to the protégé through the life of the agreement. Services provided by the mentor may be reimbursable under the FTA, FHWA, and FAA programs. (2) To be eligible for reimbursement, the mentor's services provided and associated costs must be directly attributable and properly allowable to specific individual contracts. The recipient may establish a line item for the mentor to quote the portion of the fee schedule expected to be provided during the life of the contract. The amount claimed shall be verified by the recipient and paid on an incremental basis representing the time the protégé is working on the contract. The total individual contract figures accumulated over the life of the agreement shall not exceed the amount stipulated in the original mentor/protégé agreement. (C) DBEs involved in a mentor-protégé agreement must be independent business entities which meet the requirements for certification as defined in subpart D of this part. A protégé firm must be certified before it begins participation in a mentor- protégé arrangement. If the recipient chooses to recognize mentor/protégé agreements, it should establish formal general program guidelines. These guidelines must be submitted to the operating administration for approval prior to the recipient executing an individual contractor/ subcontractor mentor-protégé agreement. Back to Top Appendix E to Part 26—Individual Determinations of Social and Economic Disadvantage The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic disadvantage determinations (see 13 CFR 124.103(c) and 124.104). SOCIAL DISADVANTAGE I. Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias within American society because of their identities as members of groups and without regard to their individual qualities. Social disadvantage must stem from circumstances beyond their control. Evidence of individual social disadvantage must include the following elements: (A) At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic origin, gender, disability, long-term residence in an environment isolated from the mainstream of American society, or other similar causes not common to individuals who are not socially disadvantaged; (B) Personal experiences of substantial and chronic social disadvantage in American society, not in other countries; and (C) Negative impact on entry into or advancement in the business world because of the disadvantage. Recipients will consider any relevant evidence in assessing this element. In every case, however, recipients will consider education, employment and business history, where applicable, to see if the totality of circumstances shows disadvantage in entering into or advancing in the business world. (1) Education. Recipients will consider such factors as denial of equal access to institutions of higher education and vocational training, exclusion from social and professional association with students or teachers, denial of educational honors rightfully earned, and social patterns or pressures which discouraged the individual from pursuing a professional or business education. (2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other aspects of professional advancement, pay and fringe benefits, and other terms and conditions of employment; retaliatory or discriminatory behavior by an employer or labor union; and social patterns or pressures which have channeled the individual into non- professional or non-business fields. (3) Business history. The recipient will consider such factors as unequal access to credit or capital, acquisition of credit or capital under commercially unfavorable circumstances, unequal treatment in opportunities for government contracts or other work, unequal treatment by potential customers and business associates, and exclusion from business or professional organizations. II. With respect to paragraph I.(A) of this appendix, the Department notes that people with disabilities have disproportionately low incomes and high rates of unemployment. Many physical and attitudinal barriers remain to their full participation in education, employment, and business opportunities available to the general public. The Americans with Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with disabilities. It is plausible that many individuals with disabilities—especially persons with severe disabilities (e.g., significant mobility, vision, or hearing impairments) —may be socially and economically disadvantaged. III. Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by individuals with disabilities, making a case-by-case judgment about whether such an individual meets the criteria of this appendix. As public entities subject to Title II of the ADA, recipients must also ensure their DBE programs are accessible to individuals with disabilities. For example, physical barriers or the lack of application and information materials in accessible formats cannot be permitted to thwart the access of potential applicants to the certification process or other services made available to DBEs and applicants. ECONOMIC DISADVANTAGE (A) General. Economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same or similar line of business who are not socially disadvantaged. (B) Submission of narrative and financial information. (1) Each individual claiming economic disadvantage must describe the conditions which are the basis for the claim in a narrative statement, and must submit personal financial information. (2) [Reserved] (C) Factors to be considered. In considering diminished capital and credit opportunities, recipients will examine factors relating to the personal financial condition of any individual claiming disadvantaged status, including personal income for the past two years (including bonuses and the value of company stock given in lieu of cash), personal net worth, and the fair market value of all assets, whether encumbered or not. Recipients will also consider the financial condition of the applicant compared to the financial profiles of small businesses in the same primary industry classification, or, if not available, in similar lines of business, which are not owned and controlled by socially and economically disadvantaged individuals in evaluating the individual's access to credit and capital. The financial profiles that recipients will compare include total assets, net sales, pre-tax profit, sales/working capital ratio, and net worth. (D) Transfers within two years. (1) Except as set forth in paragraph (D)(2) of this appendix, recipients will attribute to an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member, or to a trust, a beneficiary of which is an immediate family member, for less than fair market value, within two years prior to a concern's application for participation in the DBE program, unless the individual claiming disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of essential support. (2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that individual to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays, graduations, anniversaries, and retirements. (3) In determining an individual's access to capital and credit, recipients may consider any assets that the individual transferred within such two-year period described by paragraph (D)(1) of this appendix that are not considered in evaluating the individual's assets and net worth (e.g., transfers to charities). [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 2003] Back to Top Appendix F to Part 26—Uniform Certification Application Form View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF [79 FR 59603, Oct. 2, 2014] Back to Top Appendix G to Part 26—Personal Net Worth Statement View or download PDF View or download PDF View or download PDF View or download PDF View or download PDF [79 FR 59617, Oct. 2, 2014] Back to Top Need assistance? APPENDIX A AUGUSTA, GEORGIA SUMMARY OF DISADVANTAGED BUSINESS ENTERPRISE (DBE) MONTHLY SUBCONTRACTORS PAID REPORT AUGUSTA, GEORGIA Summary of Disadvantaged Business Enterprise (DBE) - Monthly Subcontractors Paid Report Reporting Period (Month/Year) Report Number Date Prepared 1) Project Name 2) Project Location 3) Contract Number 4) Original Contract Award Amount 5) Contract Award Date 6) Current Contract Value 7) AUGUSTA, GEORGIA Payment to Prime This Month 8) Total Amount Paid to Prime to Date 9) Date of Last Progress Payment Received from AUGUSTA, GEORGIA 10) Percent of Project Complete 11) DBE Goal Percentage (committed) 12) Prime Contractor 13) Contact Person 14) Street Address 15) City/State/ZIP 16) Area Code/Phone No. 17) Email Address 18) SUBCONTRACTOR/SUPPLIER Dollars Paid This Month Dollar Amount Paid to Date Schedule Activity ID (Construction only) Type of Work Performed Original Dollar Amount Committed Dollar +/- resulting from Change Order Activity Subcontractor/Supplier #1 ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person Subcontractor/Supplier #2 ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person Subcontractor/Supplier #3 ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person ↓ ↓ ↓ ↓ ↓ ↓ Page 1 of 4 Completed By: AUGUSTA, GEORGIA Summary of Disadvantaged Business Enterprise (DBE) - Monthly Subcontractors Paid Report Reporting Period (Month/Year) Report Number Date Prepared Name Signature Date Page 2 of 4 Subcontractor/Supplier #4 ↓ ↓ ↓ ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person Subcontractor/Supplier #5 ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person Subcontractor/Supplier #6 ↓ ↓ ↓ ↓ ↓ ↓ ↓ Name Address Area Code/Phone Contact Person INSTRUCTIONS The Prime shall make prompt payment of all monies due and owed to DBE and non-DBE firms within 15 business days upon receipt of payment from AUGUSTA, GEORGIA (AUGUSTA, GEORGIA) as per Contract Agreement. Payment of retention shall be made to all DBE and non-DBE subcontractors within 15 days after satisfactory completion of the subcontracted work. This form is due to AUGUSTA, GEORGIA by the 15th of each month and should reflect all payments made to subs through the last day of the previous month. The Prime must report monthly, even if the sub(s) did not perform any work for the previous month. Please forward signed documents by email and/or fax to AUGUSTA, GEORGIA's DBE Liaison Officer. AUGUSTA, GEORGIA Summary of Disadvantaged Business Enterprise (DBE) - Monthly Subcontractors Paid Report Reporting Period (Month/Year) Report Number Date Prepared Invoice Payment History DBE Subcontractors/Suppliers Sub/Supplier #1 Sub/Supplier #2 Sub/Supplier #3 Sub/Supplier #4 Sub/Supplier #5 Sub/Supplier #6 DBE Sub/Supplier Total Invoice Numbers Invoice Date and Date Paid Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ Amount Paid $ GRAND TOTAL (Paid to Date) Page 3 of 4 AUGUSTA, GEORGIA Summary of Disadvantaged Business Enterprise (DBE) - Monthly Subcontractors Paid Report Reporting Period (Month/Year) Report Number Date Prepared SUCCESSFUL BIDDER: Instructions – Summary of Monthly DBE Payments Information  This form requires specific information regarding the disadvantaged business enterprise subcontractors paid on this construction contract. The form must be completed for all DBEs paid for each monthly period. The form requires that the Reporting Period (month/year) be included. A Report Number should also be completed. This field should include a sequential number with the first form having number “1.” The date prepared should also be included. IMPORTANT: Identify all DBE firms that were paid during the reporting period for the project, regardless of tier. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the “List of Subcontractors” submitted with your bid. There is a column for the “Dollars Paid This Month.” Enter the Total amount paid for each DBE firm for the reporting period. Also include the total amount paid to date, which shall include the amount paid for the current reporting period. Include the Schedule Activity ID for construction contracts. Include a brief description for the type of work performed. The original dollar amount committed to the DBE firm should be included in the appropriate Column and any increase or decrease in the subcontract amount resulting from a change order shall be included in the “Dollar +/- resulting from Change Order Activity” column. The Summary of Monthly DBE Payments report must be signed and dated by the prime contractor’s representative that is responsible for reporting DBE compliance matters. The form must be submitted no later than the 15th day of each month. Page 4 of 4 Commission Meeting Agenda 2/20/2018 2:00 PM Create Communication Specialist Position Department:Tax Commissioner Office Department:Tax Commissioner Office Caption:Motion to approve merging two part-time positions to create one full-time Communication Specialist Position. (Approved by Administrative Services Committee February 13, 2018) Background:See attachment for further details. Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo _J LRICHMONO COUNTY I FASTER. TAX COMMISSIONER'S OFFICE FRIENDLIER. STEVEN 8. KENDRICK TAX COMMISSIONER EX-OFFICIO SHERIFF TEDERELL C. JOHNSON CHIEF DEPUTY BETTER. TAX COMMISSIONER 535 Telfair Street I Suite 100 I Augusta, GA 30901 706-821-2391 ph I 706-821-2488 fx I arctax.com Commission Meeting Agenda 2/13/2018 2:00 PM Motion to merge two part-time positions to create one full time Tax Clerk Position Department: Tax Commissioner's Office Department: Tax Commissioner's Office Caption: Motion to approve merging two part-time positions to create one full-time Communication Specialist position Background: The Tax Commissioner's Office is working on a project with Utilities that will require a full time staff member. This collaboration will save the Utilities Department time, money, and provide them with easier access to their data. Analysis: NIA Financial Impact: The Utilities department is estimated to save approximately $50,000- $60,000 annually after implementation. (Year 2) Alternative: Not Approve Recommendation: Approve Funds are available in the following Account: 101015610/5111210-No additional funding required REVIEWED AND APPORVED BY: �;��;trato,�� Human Resotf-0 alb _ � mc'l/'-(. �oy 1 3£-, 7vo ;:;-CIYY\ PTt/34dJ�I �'rv :Zf(rn 7D C1dlXIL Fl plus l:urtflF;ts cLb� � RPA-s · tl> cJol,�h ftuo (X>S'trhortr w:d �<-�J � h bt <;ubn1 � Uc) on u__ Offl'W ti b:; (Jmm,5St f""'� Commission Meeting Agenda 2/20/2018 2:00 PM FY2017 Consolidated Annual Performance and Evaluation Report (CAPER) Department:Housing & Community Development Department:Housing & Community Development Caption:Motion to approve HCD to publishing the advertisement for a 15- day Public Comment per the Citizen Participation Plan and submit the 2017 Consolidated Annual Performance and Evaluation Report (CAPER) report to HUD thereafter once comments are received with no return to Commission. (Approved by Administrative Services Committee February 13, 2018) Background:In order to fulfill statutory and regulatory requirements mandated by the U.S. Department of Housing and Urban Development with regard to the 2015-2019 Consolidated Plan, the City of Augusta is required to make available for public comment the 2017 Consolidated Annual Performance and Evaluation Report (CAPER) which provides the jurisdiction an opportunity to evaluate its overall progress in carrying out priorities and specific objectives identified in its Consolidated Plan and its 2017 Annual Action Plan. The 2017 Consolidated Annual Performance and Evaluation Report (CAPER) summarizes the results of activities that have taken place during Program Year 2017. The performance report must include a description of the resources made available, the investment of available resources, the geographic distribution and location of investments, the families and persons assisted (including the racial and ethnic demographics of persons assisted), actions taken to affirmatively further fair housing, and other actions indicated in the Consolidated Plan and the Action Plan. The importance of timely and accurate performance reports cannot be overstated. Performance reporting meets three basic purposes: • Provides HUD with necessary information to meet its statutory requirement to assess each grantee's ability to carry out relevant CPD programs in compliance with all applicable rules and regulations; • Provides information necessary for HUD's Annual Report to Congress, also statutorily mandated; • Provides grantees an opportunity to describe to citizens their successes in revitalizing deteriorated neighborhoods and meeting objectives stipulated in their Consolidated Plan. Utilizing Community Development Block Cover Memo Grant (CDBG), Emergency Solutions Grant (ESG), Housing Opportunities for Persons with Aids (HOPWA) and HOME Investment Partnership (HOME) funds; Augusta - Richmond County, its sub-recipients and Partner Agencies utilize the CAPER to substantiate progress in accomplishing the goals outlined in this third year of the 2015-2019 5-Year Consolidated Plan. Analysis:The City received the following four (4) entitlement grants from HUD during 2017: 1. Community Development Block Grant (CDBG) is a formula-based program designed to develop viable urban communities by providing decent housing, a suitable living environment and expanding economic opportunities for persons of low and moderate income. 2. Emergency Solutions Grant (ESG) is a formula-based program targeted at improving the lives and safety of persons who are homeless or at-risk of becoming homeless. 3. HOME Investment Partnerships Program (HOME) is a formula-based program designed to expand and improve the supply of decent, safe and affordable housing and access to homeownership for very low and low-income persons. 4. Housing Opportunities for Persons with AIDS (HOPWA) Program is a formula-based program designed to provide housing and supportive services to low income persons living with HIV/AIDS and their families. Within 90 days after the end of their program year, state and local governments that receive CDBG, ESG, HOME, and HOPWA funds directly from HUD must ensure that all activity information in IDIS is up-to-date as of the last day of the program year. This process is called end-of-year reporting, fulfilling three purposes by the grantee: 1. Meeting CAPER and program requirements. 2. Producing accurate IDIS reports, some of which must be made available to the public. 3. Ensuring that HUD will have the most current information during its annual assessment of a grantee's performance. Financial Impact:No Financial Report Alternatives:None Recommended Recommendation:Approval for HCD to publish advertisement for a 15-day Public Comment per the Citizen Participation Plan and submit CAPER report to HUD thereafter once comments are received with no return to Commission. Funds are Available in the Following Accounts: Community Development Block Grant (CDBG) Emergency Solutions Grant (ESG) HOME Investment Partnership Grant (HOME) Housing Opportunities for Persons with AIDS Grant (HOPWA) Cover Memo REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Staff Attorneys Department: Department: Caption:Motion to approve tasking the Administrator with reviewing the criteria for the career ladders that the General Counsel presented and bring back a recommendation whether that criteria needs to be adjusted. (Approved by Administrative Services Committee February 13, 2018) Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Approve Augusta Commercial Property Insurance Renewal Department:Finance - Risk Management Division Department:Finance - Risk Management Division Caption:Motion to approve Augusta Commercial Property Insurance coverage for 2018 offered through Affiliated FM, current carrier, for a premium of $399,565 for full blanket coverage and limited flood coverage in flood prone areas. (Approved by Finance Committee February 13, 2018) Background:Augusta has elected to use Property Insurance Broker Services and carry commercial property insurance on its properties since consolidation. The Risk Management Office staff inspects all Augusta properties annually and works with insurance company engineers to ensure adequate coverage and to in help reduce risk of property loss to Augusta. Analysis:Dawson & Taylor Insurance Company seeks annual quotes from the insurance market for "all risks" coverage on buildings and contents. Please see attachments for quote summary and list of declinations. Insurers providing quotes were Affiliated FM Insurance, Hartford Insurance, Chubb Insurance, XL Caitlan Insurance, Travelers Insurance. Several insurers did not qualify or declined to quote coverage. Quotes are obtained from companies with A or better rating. Affiliated FM is the low bidder and is providing the greatest level of coverage for the exposure. Current coverage carries a $50,000 deductible per occurrence except for flood and earthquake. Financial Impact:A premium for blanket coverage is being offered on total property values of $780,345,953 for $399,565 with a $50,000 deductible. The quote from Affiliated FM includes flood coverage. Alternatives:1. Drop coverage and assume all risk, 2. Reduce premiums by only insuring those properties representing the largest losses should an event damage these structures (Municipal Building, Judicial Center, RCCI, etc.) Neither alternative is recommendedCover Memo Recommendation:Approve Commercial Property Insurance coverage renewal for 2018 through Affiliated FM for a premium of $399,565 which includes flood coverage and Boiler & Maintenance coverage. Effective March 1, 2018 - March 1, 2019 Funds are Available in the Following Accounts: Funds are available through Risk Management General Insurance Fund Account 611 015212 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo Commission Meeting Agenda 2/20/2018 2:00 PM Engineering Services for Utilities Department’s Fort Gordon Cyber CoE Campus Utilities Department:Utilities Department:Utilities Caption:Motion to accept proposal from Johnson, Laschober & Associates, P.C. to provide engineering services for the Utilities Department’s Fort Gordon Cyber CoE Campus Utilities. RFQ 13- 124 (Approved by Engineering Services Committee February 13, 2018) Background:Augusta Utilities Department (AUD) is the contracted water, sanitary sewer, and irrigation utility provider for Fort Gordon. Fort Gordon has planned to construct a new Cyber Center of Excellence (CoE) campus, which encompasses the entire existing campus facilities around Signal Tower. Existing buildings are scheduled for demolition or renovation, and new buildings will be constructed to create a new cyber campus. The campus will require new water, sanitary sewer and irrigation mains and service lines to provide utility services to each facility on campus. The masterplan has projects scheduled to be performed in sequence out to 2028. Thus, the utility work sequence will be complicated to keep existing facilities in service, while constructing new mains and services for the new and renovated buildings. Johnson, Laschober & Associates, P.C. (JLA) has been providing engineering services to the Fort Gordon planning team for the Cyber CoE Campus site planning. Thus, JLA is knowledgeable of the campus planning, design, scheduling and coordination information, which is often subject to change. JLA is uniquely positioned to provide design services to AUD and represent AUD interests within the overall campus design process. Therefore, AUD requested JLA submit a proposal to provide professional services to design and provide construction services for AUD’s water, sanitary sewer and irrigation utilities within the Cyber CoE Campus. These professional services costs are to be recovered within AUD’s projects’ budgets for Cyber CoE Campus utility projects paid for by Fort Gordon. Analysis:Based upon their qualifications as preapproved consultants under Cover Memo RFQ #13-124 Engineering Consultant Services for Utilities, the Utilities Department recommends contracting with Johnson, Laschober & Associates, P.C. to perform professional services for the Utilities Department’s Fort Gordon Cyber CoE Campus utilities. Utilities Department requests approval in the amount of $150,000.00 to fund the proposed services. Financial Impact:$150,000.00 funds are available from the following accounts: 507043490-5212115 / 88880160-5212115 Alternatives:No alternatives are recommended. Recommendation:Recommend approval for Utilities Department to contract with Johnson, Laschober & Associates, P.C. for the proposed services in the amount of $150,000.00. Funds are Available in the Following Accounts: Funds are available in the following accounts: 507043490- 5212115 / 88880160-5212115 REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo Project Vicinity Map AUD Fort Gordon Cyber CoE Utilities Cyber CoECampus Utilities Request for Qualifications Request for Qualifications will be received at this office until Friday, May 3, 2013 @ 11:00 a.m. for furnishing: RFQ Item #13-124 Engineering Consultant Services for Utilities Department RFQs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 530 Greene Street - Room 605 Augusta, Georgia 30901 RFQ documents may be viewed on the Augusta Georgia web site under the Procurement Department ARCbid. RFQ documents may be obtained at the office of the Augusta, GA Procurement Department, 530 Greene Street – Room 605, Augusta, GA 30901. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Friday, April 19, 2013 @ 5:00 P.M. No RFQ will be accepted by fax, all must be received by mail or hand delivered. No RFQ may be withdrawn for a period of 90 days after time has been called on the date of opening. Invitation for bids and specifications. An invitation for bids shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the invitation to bid including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waiveable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFQ number on the outside of the envelope. Bidders are cautioned that acquisition of RFQ documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFQ documents from unauthorized sources places the bidder at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. GERI A. SAMS, Procurement Director Publish: Augusta Chronicle March 28, April 4, 11, 18, 2013 Revised: 8/15/2011 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies James G Swift & Assoc 1206 Interstate Parkway Augusta, GA 30909 Yes 118565 Yes Yes Yes Yes CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 Yes 123606 Yes Yes Yes Yes Johnson Laschober 1296 Broad Street Augusta, GA 30901 Yes 226309 Yes Yes Yes Yes Moreland Altobelli Asso 2211 Beaver Ruin Road, Suite 190 Norcross, GA 30071 Yes 53328 Yes Yes Yes Yes W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 Yes 62985 Yes Yes Yes Yes WK Dickson & Co 1450 Greene Street Augusta, GA 30901 Yes AWIL6294/ 110665 Yes Yes Yes Yes Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 Yes 64684 Yes Yes Yes Yes Woolpert 375 Northridge Rd, # 100 Atlanta, GA 30350 Yes 11815 Yes Yes Yes Yes Dewberry 551 Piney Forest Road Danville, VA 24540 Yes 104636 Yes Yes Yes Yes McKim & Creed 8020 Tower Point Dr Charlotte, NC 28227 Yes 68813 Yes Yes Yes Yes Brown & Caldwell 900 Hammond Dr St 400 Atlanta, GA 30328 Yes MNEW1351/ 69828 Yes Yes Yes Yes Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 Yes 70249 Yes Yes Yes Yes RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Page 1 of 3 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. ADS LLC 1300 Meridian St., 3000 Huntsville, AL 35801 Yes/Non- Compliant 23043 Yes Yes Yes Yes URS Corporation 1000 Abernathy Rd 900 Atlanta, GA 30328 Yes No/Non- Compliant Yes Yes Yes Yes Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 Yes 426843 Yes Yes Yes Yes EMC Engineering 10 Chatham Center South, Suite 100 Savannah, GA 31405 Yes 324745 Yes Yes Yes Yes Gresham, Smith & Part 1400 Nashville City Center 511 Union St Nashville, TN 37219 Yes No/Non- Compliant Yes Yes Yes Yes ZEL Engineers 435 Telfair Street Augusta, GA 30901 Yes 257101 Yes Yes Yes Yes MWH 230 Peachtree St., S 470 Atlanta, GA Yes 539319 Yes Yes Yes Yes Stevenson & Palmer 723 Industrial Park Dr Evans, GA 30809 Yes 131222 Yes Yes Yes Yes Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 Yes 104087 Yes Yes Yes Yes Jacobs Engineering 6801 Govenor's Lake Pk Norcross, GA 30071 Yes 212531 Yes Yes Yes No/Non- Compliant S L King & Associates 270 Peachtree St NW Atlanta, GA 30303 Yes 435335 Yes No/Non- Compliant Yes Yes S.L. King Technologies 270 Peachtree St NW Atlanta, GA 30303 Yes 435335 Yes No/Non- Compliant Yes Yes Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 Yes 331909 Yes Yes Yes Yes Page 2 of 3 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Christopher Booker 3319 Perkins Road Augusta, GA 30906 Yes 667907 Yes Yes Yes Yes Moore Associates 1009 East Avenue North Augusta, SC 29841 LATE Non- Compliant Page 3 of 3 W R Toole Engineers ZEL Engineers Wastewater Collection Roster Cranston Engineering Group James G Swift & Associates Johnson Laschober Stevenson & Palmer WK Dickson & Co. W R Toole Engineers ZEL Engineers Water Distribution Roster Cranston Engineering Group James G Swift & Associates Johnson Laschober Stevenson & Palmer WK Dickson & Co. Water Treatment Plant Roster Brown & Caldwell MWH ZEL Engineers CH2M Hill Wastewater Treatment Plant Roster CH2M Hill Hazen and Sawyer ZEL Engineers Moreland Altobelli Assoc. McKim & Creed RFQ Item #13-124 Program Management Roster Constantine Engineering McKim & Creed Moreland Altobelli Assoc. CH2M Hill Surveying Roster Cranston Engineering Group WK Dickson & Co. W R Toole Engineers Dewberry WK Dickson & Co. Municipal O & M Roster CH2M Hill Dewberry MWH Architecture Roster GDOT Project Design Cranston Engineering Group WK Dickson & Co. Moreland Altobelli Assoc. Engineering Consultant Services For Augusta, GA - Utilities Department Christopher Booker Johnson Laschober ZEL Engineers Collection System Eval. Roster McKim & Creed WK Dickson & Co. Woolpert CH2M Hill MWH Utility Management Roster CH2M Hill Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 20 20 20 15 75 YES CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 10 20 70 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 15 10 10 5 40 NO EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 20 5 15 60 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 15 15 5 15 50 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 20 20 15 20 75 YES Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 20 20 5 15 60 NO Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Water Distribution RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 20 20 20 15 75 YES CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 15 20 75 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 10 5 15 50 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 20 20 15 20 75 YES Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 20 20 5 15 60 NO Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Wastewater Collection RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 20 65 YES Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 10 20 65 YES Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Water Treatment Plant RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 10 65 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 15 60 NO Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 20 65 YES Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 10 5 15 50 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Wastewater Treatment Plant RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 10 15 5 15 45 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 15 15 20 70 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 20 20 5 20 65 YES Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 20 65 YES Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 15 60 NO Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 5155 530NO EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 20 5 15 60 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 20 20 5 15 60 NO Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Collection System Evaluation RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 0 W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 YES McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 10 5 15 50 YES Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Municipal O & M RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 0 W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 5 15 60 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 15 20 10 15 60 YES McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 10 15 5 15 45 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Utility Management RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 15 5 15 55 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 15 15 15 20 65 YES MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 20 20 15 20 75 YES RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Architecture RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 20 65 YES W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 10 20 70 YES Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 20 20 10 20 70 YES Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Program Management RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 20 15 75 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Surveying RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 10 55 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 10 15 15 15 55 NO WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 15 20 10 15 60 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. GDOT Project Design RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Commission Meeting Agenda 2/20/2018 2:00 PM Engineering Services for Utilities Department’s Fort Gordon Block 10 Irrigation System Project Department:Utilities Department:Utilities Caption:Motion to accept proposal from Johnson, Laschober & Associates, P.C. to provide engineering services for the Utilities Department’s Fort Gordon Block 10 Irrigation System project. RFQ 13-124 (Approved by Engineering Services Committee February 13, 2018) Background:Augusta Utilities Department (AUD) is the contracted water, sanitary sewer, and irrigation utility provider for Fort Gordon. Fort Gordon has contracted AUD to perform additional services to design and construct the Block 10 Replacement of Irrigation System from Potable to Non-potable project. The project consists of irrigation system and landscaping improvements in the block bounded by Chamberlain Avenue, 19th Street, Barnes Avenue, and 20th Street. AUD requested a proposal from Johnson, Laschober & Associates, P.C. (JLA), who have Landscape Architects on staff, to design and provide professional services throughout the project. These professional services costs are included in AUD’s project budget to be paid by Fort Gordon. Analysis:Based upon their qualifications as preapproved consultants under RFQ #13-124 Engineering Consultant Services for Utilities, the Utilities Department recommends contracting with Johnson, Laschober & Associates, P.C. to perform professional services for the Fort Gordon Block 10 Irrigation System project. Utilities Department requests approval in the amount of $74,500.00 to fund the proposed services. Financial Impact:$74,500.00 funds are available from the following accounts: 507043410-5212115 / 88880071-5212115 Alternatives:No alternatives are recommended. Cover Memo Recommendation:Recommend approval for Utilities Department to contract with Johnson, Laschober & Associates, P.C. for the proposed services in the amount of $74,500.00. Funds are Available in the Following Accounts: Funds are available in the following accounts: 507043410- 5212115 / 88880071-5212115 REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo h&Žƌƚ'ŽƌĚŽŶůŽĐŬϭϬ/ƌƌŝŐĂƚŝŽŶ^ǇƐƚĞŵWƌŽũĞĐƚ WƌŽũĞĐƚsŝĐŝŶiƚǇDĂƉEd^ ŚĂŵďĞƌůĂŝŶǀĞŶƵĞ ϭϵ ƚ Ś ^ ƚ ƌ Ğ Ğ ƚ &Žƌƚ'ŽƌĚŽŶ 'Ăƚ Ğ ϭ ' Ă ƚ Ğ ϱ ' Ă ƚ Ğ Ϯ ^Dϭͬϭϲͬϭϴ Block 10 Irrigation System Project Request for Qualifications Request for Qualifications will be received at this office until Friday, May 3, 2013 @ 11:00 a.m. for furnishing: RFQ Item #13-124 Engineering Consultant Services for Utilities Department RFQs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 530 Greene Street - Room 605 Augusta, Georgia 30901 RFQ documents may be viewed on the Augusta Georgia web site under the Procurement Department ARCbid. RFQ documents may be obtained at the office of the Augusta, GA Procurement Department, 530 Greene Street – Room 605, Augusta, GA 30901. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Friday, April 19, 2013 @ 5:00 P.M. No RFQ will be accepted by fax, all must be received by mail or hand delivered. No RFQ may be withdrawn for a period of 90 days after time has been called on the date of opening. Invitation for bids and specifications. An invitation for bids shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the invitation to bid including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waiveable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFQ number on the outside of the envelope. Bidders are cautioned that acquisition of RFQ documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFQ documents from unauthorized sources places the bidder at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. GERI A. SAMS, Procurement Director Publish: Augusta Chronicle March 28, April 4, 11, 18, 2013 Revised: 8/15/2011 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies James G Swift & Assoc 1206 Interstate Parkway Augusta, GA 30909 Yes 118565 Yes Yes Yes Yes CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 Yes 123606 Yes Yes Yes Yes Johnson Laschober 1296 Broad Street Augusta, GA 30901 Yes 226309 Yes Yes Yes Yes Moreland Altobelli Asso 2211 Beaver Ruin Road, Suite 190 Norcross, GA 30071 Yes 53328 Yes Yes Yes Yes W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 Yes 62985 Yes Yes Yes Yes WK Dickson & Co 1450 Greene Street Augusta, GA 30901 Yes AWIL6294/ 110665 Yes Yes Yes Yes Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 Yes 64684 Yes Yes Yes Yes Woolpert 375 Northridge Rd, # 100 Atlanta, GA 30350 Yes 11815 Yes Yes Yes Yes Dewberry 551 Piney Forest Road Danville, VA 24540 Yes 104636 Yes Yes Yes Yes McKim & Creed 8020 Tower Point Dr Charlotte, NC 28227 Yes 68813 Yes Yes Yes Yes Brown & Caldwell 900 Hammond Dr St 400 Atlanta, GA 30328 Yes MNEW1351/ 69828 Yes Yes Yes Yes Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 Yes 70249 Yes Yes Yes Yes RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Page 1 of 3 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. ADS LLC 1300 Meridian St., 3000 Huntsville, AL 35801 Yes/Non- Compliant 23043 Yes Yes Yes Yes URS Corporation 1000 Abernathy Rd 900 Atlanta, GA 30328 Yes No/Non- Compliant Yes Yes Yes Yes Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 Yes 426843 Yes Yes Yes Yes EMC Engineering 10 Chatham Center South, Suite 100 Savannah, GA 31405 Yes 324745 Yes Yes Yes Yes Gresham, Smith & Part 1400 Nashville City Center 511 Union St Nashville, TN 37219 Yes No/Non- Compliant Yes Yes Yes Yes ZEL Engineers 435 Telfair Street Augusta, GA 30901 Yes 257101 Yes Yes Yes Yes MWH 230 Peachtree St., S 470 Atlanta, GA Yes 539319 Yes Yes Yes Yes Stevenson & Palmer 723 Industrial Park Dr Evans, GA 30809 Yes 131222 Yes Yes Yes Yes Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 Yes 104087 Yes Yes Yes Yes Jacobs Engineering 6801 Govenor's Lake Pk Norcross, GA 30071 Yes 212531 Yes Yes Yes No/Non- Compliant S L King & Associates 270 Peachtree St NW Atlanta, GA 30303 Yes 435335 Yes No/Non- Compliant Yes Yes S.L. King Technologies 270 Peachtree St NW Atlanta, GA 30303 Yes 435335 Yes No/Non- Compliant Yes Yes Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 Yes 331909 Yes Yes Yes Yes Page 2 of 3 VENDORS Attachment B E-Verify Addendum 1 SAVE Form Original 6 Copies RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Christopher Booker 3319 Perkins Road Augusta, GA 30906 Yes 667907 Yes Yes Yes Yes Moore Associates 1009 East Avenue North Augusta, SC 29841 LATE Non- Compliant Page 3 of 3 W R Toole Engineers ZEL Engineers Wastewater Collection Roster Cranston Engineering Group James G Swift & Associates Johnson Laschober Stevenson & Palmer WK Dickson & Co. W R Toole Engineers ZEL Engineers Water Distribution Roster Cranston Engineering Group James G Swift & Associates Johnson Laschober Stevenson & Palmer WK Dickson & Co. Water Treatment Plant Roster Brown & Caldwell MWH ZEL Engineers CH2M Hill Wastewater Treatment Plant Roster CH2M Hill Hazen and Sawyer ZEL Engineers Moreland Altobelli Assoc. McKim & Creed RFQ Item #13-124 Program Management Roster Constantine Engineering McKim & Creed Moreland Altobelli Assoc. CH2M Hill Surveying Roster Cranston Engineering Group WK Dickson & Co. W R Toole Engineers Dewberry WK Dickson & Co. Municipal O & M Roster CH2M Hill Dewberry MWH Architecture Roster GDOT Project Design Cranston Engineering Group WK Dickson & Co. Moreland Altobelli Assoc. Engineering Consultant Services For Augusta, GA - Utilities Department Christopher Booker Johnson Laschober ZEL Engineers Collection System Eval. Roster McKim & Creed WK Dickson & Co. Woolpert CH2M Hill MWH Utility Management Roster CH2M Hill Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 20 20 20 15 75 YES CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 10 20 70 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 15 10 10 5 40 NO EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 20 5 15 60 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 15 15 5 15 50 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 20 20 15 20 75 YES Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 20 20 5 15 60 NO Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Water Distribution RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 20 20 20 15 75 YES CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 15 20 75 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 10 5 15 50 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 20 20 15 20 75 YES Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 20 20 5 15 60 NO Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Wastewater Collection RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 20 65 YES Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 10 20 65 YES Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Water Treatment Plant RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 10 65 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 15 60 NO Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 15 60 NO Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 20 65 YES Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 20 10 5 15 50 NO ZEL Engineers 435 Telfair Street Augusta, GA 30901 20 20 20 20 80 YES MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Wastewater Treatment Plant RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 10 15 5 15 45 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 15 15 20 70 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 20 20 5 20 65 YES Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 NO McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 5 20 65 YES Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 20 20 5 15 60 NO Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 20 20 5 15 60 NO Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 5155 530NO EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 20 5 15 60 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 20 20 5 15 60 NO Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Collection System Evaluation RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 0 W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 20 20 5 15 60 YES McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 10 5 15 50 YES Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Municipal O & M RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 YES Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 0 W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 5 15 60 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 15 20 10 15 60 YES McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 10 15 5 15 45 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Utility Management RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 20 20 20 20 80 YES Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 15 5 15 55 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 15 15 15 20 65 YES MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 20 20 15 20 75 YES RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Architecture RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 20 20 15 5 60 NO Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 20 65 YES W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 0 WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 0 Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 0 Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 20 20 10 20 70 YES Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 20 15 5 15 55 NO Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 20 20 10 20 70 YES Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Program Management RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 15 60 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 20 20 20 15 75 YES WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 20 20 20 15 75 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. Surveying RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Evaluation Criteria 1. Firm Experience 2. Experience of Proposed Staff 3. Knowledge of Augusta Systems 4. References Total AUD List Points 25 25 25 25 100 James G Swift & Assoc. 1206 Interstate Parkway Augusta, GA 30909 0 CH2M Hill 1000 Abernathy Rd., Atlanta, GA 30328 0 Johnson Laschober 1296 Broad Street Augusta, GA 30901 0 Moreland Altobelli Assoc. 2211 Beaver Ruin Rd., Suite 190 Norcross, GA 30071 20 20 5 10 55 NO W R Toole Engineers 1005 Broad Street, 200 Augusta, GA 30901 10 15 15 15 55 NO WK Dickson & Co. 1450 Greene Street Augusta, GA 30901 15 20 10 15 60 YES Cranston Engineering Group 452 Ellis Street Augusta, GA 30903-2546 20 20 20 20 80 YES Woolpert 375 Northridge Rd., #100 Atlanta, GA 30350 0 Dewberry 551 Piney Forest Rd Danville, VA 24540 0 McKim & Creed 8020 Tower Point DR Charlotte, NC 28227 0 Brown & Caldwell 900 Hammond Dr. St 400 Atlanta, GA 30328 0 Hazen and Sawyer 5775 Peachtree Dunwoody Rd, St D-520 Atlanta, GA 30342 0 Integrated Circles Tech 270 Peachtree St NW Atlanta, GA 30303 0 EMC Engineering 10 Chatham Center S, Suite 100 Savannah, GA 31405 0 ZEL Engineers 435 Telfair Street Augusta, GA 30901 0 MWH 230 Peachtree St., S 470 Atlanta, GA 0 Stevenson & Palmer 723 Industrial Park Dr. Evans, GA 30809 0 Constantine Engineering 60-B Springdale Rd Mobile, AL 36606 0 Rindt-McDuff Associates 334 Cherokee St Marietta, GA 30060 0 Christopher Booker 3319 Perkins Road Augusta, GA 30906 0 RFQ Due: Friday, May 3, 2013 @ 11:00 a.m. GDOT Project Design RFQ Opening RFQ Item #13-124 Engineering Consultant Services for Augusta, Georgia - Utilities Department Commission Meeting Agenda 2/20/2018 2:00 PM Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-042-00-0) - 1928 Florida Road Department:Law Department:Law Caption:Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-042-00-0) - 1928 Florida Road. (Approved by Engineering Services Committee February 13, 2018) Background:One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 7,500 sq. ft. in fee. The appraised value is $7,400.00. Analysis:Condemnation is necessary in order to acquire the required property. Financial Impact:The necessary costs will be covered under the project budget. Alternatives:Deny condemnation. Recommendation:Approve condemnation. Funds are Available in the Following Accounts: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo AGENDA ITEM __________ EDITION __________ CAPTION: Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-042-00-0) 1928 Florida Road BACKGROUND: One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 7,500 sq. ft. in fee. The appraised value is $7,400.00. ANALYSIS: Condemnation is necessary in order to acquire the required property. FINANCIAL IMPACT: The necessary costs will be covered under the project budget. ALTERNATIVES: Deny condemnation. RECOMMENDATION: Approve condemnation. AGENDA DATE: February 13, 2018 DEPARTMENT DIRECTOR: FUNDS ARE AVAILABLE IN THE FOLLOWING ACCOUNTS: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 ADMINISTRATOR: _________________________ FINANCE: _______________________________ DATE: January 31, 2018 TO: The Honorable Hardie Davis, Jr. Mayor Members of the Augusta Commission Members of the Engineering Services Committee FROM: Randolph Frails, Esquire and Andrew MacKenzie, General Counsel SUBJECT: Acquisition of 7,500 sq. ft. to City of Augusta, Georgia from Harriett C. Dunbar and Solomon Dunbar, Jr., by and through his known and unknown heirs 1928 Florida Road Augusta Information Technology - GIS Division, Augusta, GAAugusta GA GIS January 31, 2018 0 50 10025 ft 0 10 205 m 1:564 Disclaimer: While every effort is made to keep information provided over the internet accurate and up-to-date, Augusta does not certify the authenticity or accuracy of such information. No warranties, express or implied, are provided for the records and/or mapping data herein, or for their use or interpretation by the User. Commission Meeting Agenda 2/20/2018 2:00 PM Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-043-00-0) - 1926 Florida Road Department:Law Department:Law Caption:Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-043-00-0) - 1926 Florida Road.(Approved by Engineering Services Committee February 13, 2018) Background:One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 7,500 sq. ft. in fee. The appraised value is $7,400.00. Analysis:Condemnation is necessary in order to acquire the required property. Financial Impact:The necessary costs will be covered under the project budget. Alternatives:Deny condemnation. Recommendation:Approve condemnation. Funds are Available in the Following Accounts: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo AGENDA ITEM __________ EDITION __________ CAPTION: Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-043-00-0) 1926 Florida Road BACKGROUND: One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 7,500 sq. ft. in fee. The appraised value is $7,400.00. ANALYSIS: Condemnation is necessary in order to acquire the required property. FINANCIAL IMPACT: The necessary costs will be covered under the project budget. ALTERNATIVES: Deny condemnation. RECOMMENDATION: Approve condemnation. AGENDA DATE: February 13, 2018 DEPARTMENT DIRECTOR: FUNDS ARE AVAILABLE IN THE FOLLOWING ACCOUNTS: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 ADMINISTRATOR: _________________________ FINANCE: _______________________________ DATE: January 31, 2018 TO: The Honorable Hardie Davis, Jr. Mayor Members of the Augusta Commission Members of the Engineering Services Committee FROM: Randolph Frails, Esquire and Andrew MacKenzie, General Counsel SUBJECT: Acquisition of 7,500 sq. ft. to City of Augusta, Georgia from Harriett C. Dunbar and Solomon Dunbar, Jr., by and through his known and unknown heirs 1926 Florida Road Augusta Information Technology - GIS Division, Augusta, GAAugusta GA GIS January 31, 2018 0 50 10025 ft 0 10 205 m 1:564 Disclaimer: While every effort is made to keep information provided over the internet accurate and up-to-date, Augusta does not certify the authenticity or accuracy of such information. No warranties, express or implied, are provided for the records and/or mapping data herein, or for their use or interpretation by the User. Commission Meeting Agenda 2/20/2018 2:00 PM Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-044-00-0) - 1922 Florida Road Department:Law Department:Law Caption:Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-044-00-0) - 1922 Florida Road. (Approved by Engineering Services Committee February 13, 2018) Background:One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 15,150 sq. ft. in fee. The appraised value is $8,200.00. Analysis:Condemnation is necessary in order to acquire the required property. Financial Impact:The necessary costs will be covered under the project budget. Alternatives:Deny condemnation. Recommendation:Approve condemnation. Funds are Available in the Following Accounts: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo AGENDA ITEM __________ EDITION __________ CAPTION: Motion to authorize condemnation to acquire property in fee simple interests (Parcel 088-1-044-00-0) 1922 Florida Road BACKGROUND: One owner died intestate and his heirs are not in agreement with a sale of the property. Therefore, the City seeks to acquire the property through condemnation. The required property consists of 15,150 sq. ft. in fee. The appraised value is $8,200.00. ANALYSIS: Condemnation is necessary in order to acquire the required property. FINANCIAL IMPACT: The necessary costs will be covered under the project budget. ALTERNATIVES: Deny condemnation. RECOMMENDATION: Approve condemnation. AGENDA DATE: February 13, 2018 DEPARTMENT DIRECTOR: FUNDS ARE AVAILABLE IN THE FOLLOWING ACCOUNTS: G/L: 328-041110-52.12122 J/L: 212828203-52.12122 ADMINISTRATOR: _________________________ FINANCE: _______________________________ DATE: January 31, 2018 TO: The Honorable Hardie Davis, Jr. Mayor Members of the Augusta Commission Members of the Engineering Services Committee FROM: Randolph Frails, Esquire and Andrew MacKenzie, General Counsel SUBJECT: Acquisition of 15,1500 sq. ft. to City of Augusta, Georgia from Harriett C. Dunbar and Solomon Dunbar, Jr., by and through his known and unknown heirs 1922 Florida Road Augusta Information Technology - GIS Division, Augusta, GAAugusta GA GIS January 31, 2018 0 50 10025 ft 0 10 205 m 1:564 Disclaimer: While every effort is made to keep information provided over the internet accurate and up-to-date, Augusta does not certify the authenticity or accuracy of such information. No warranties, express or implied, are provided for the records and/or mapping data herein, or for their use or interpretation by the User. Commission Meeting Agenda 2/20/2018 2:00 PM Minutes Department: Department: Caption:Motion to approve the minutes of the regular meeting of the Augusta Commission held February 6, 2018 and Special Called meeting held February 13, 2018. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo Commission Meeting Agenda Commission Chamber -2t6t20l} ATTENDAITICE: P_resent: Hons. Mary Davis, Mayor Pro Tem; Jefferson, sias, Frantom, Fennoy, D. williams, Hasan and Smith, members of Augusta Richmond County commisiion. Absent: Hons. Hardie Davis, Jr., Mayor; Guilfoyle and M. williams, members of the Augusta Richmond County Commission. INVOCATION: tvtinister Carl Jones, Pastor, Church of Christ at Grace Street Church. PLEDGE OF ALLEGIANCE TO THE FLAG OF Tt{E UMTED STATES OF AMERJCA, RECOGNITION(S) MACH Academy A. Congratulations! MACH Academy recipient of 2017 United States Tennis Association (USTA) National Junior Tennis League (NJTL) Chapter of the Year Award. @equested by Mayor Hardie Davis, Jr.) B20lz ttsra N-ITI chrnrar ^f rha vaor t-rf E lacmApprovalsheet.html Motions Motion Type Motion Text Made By Seconded By Recognition of MACH Academy. Special Presentation B. Special Presentation to the Augusta commission by Mr. Fred chappell. Motion Result Item Action: None Item Action: None Item Action: None E ItemApprovslshcet.html Motions Motion Motion Textr ype Special presentation is made to Ms. Lena Bonner. Made SecondedBv By Motion Result Hurricane Irma C. Special recognition of the__City of Augusta's internal and extemal partners for their work during theshelter operations during Hurricane lrma. E ltemApprovalsheet.html Motions Motion Motion Text Made Seconded MotionrYPe By By Result Recognition of the City's internal and external partners for their work during Hurricaine Irma. Five ($ minute time limit per delegation DELEGATIONS D. Yt. Aligham Brigham, Office of the Richmond County Tax Commissioner regarding the creation Itemof new full-time position. Action: Approved ETax Commissioner s Acende ltem Reanccr 2-6-l*ndf E ItemApprovelShcet.html Motions *::" Motion Text Made By Seconded --- MotionType rrrvriln rEr'r' rvraue Dy DeCOnOeO IIy Result Motion to approve deleting this ^^^__ :_: _-Derete i[#,tril:I:."g-tJ;. --: -"- F;T.*'"'er Sean S;ffi,:'Ji*.' pu,,", E. Mr. Stephen A. Lee-El, regarding amendment to the Augusta GA Code and O.C.G.A. Section 45-3- Item14. Action: None E ltemAporovalshcet.html Motions Motion Tvpe Motion Text Made By seconded By HXii Presentation is made by Mr.Lee-El. F. Mr. John Hayes regarding support of Commissioner's Fennoy's proposed renaming of the John C. Item Calhoun Expressway Action: None E Mr. John Haves renamins of John C. Calhoun Exoresswar 2.6.lg.odf Motions Motion Type Motion Text Made By Seconded By HJf Presentation is made by Mr. Hayes. CONSENT AGENDA (Items l-34) PLAI\INING 1. SA-53 - A request for concurrence with the Augusta Georgia Planning Commission to approve a Itempetition to amend the Land Subdivision Regulations for Augusta Georgia by amending Section Action:lOG Definitions & Section 405 - Flagrole Lots. lst Reading. @eferred from the January 16, Approved20lt Commission Meeting) 2, ZA-R'250 - A request for concurrence with the Augusta Georgia Planning Commission to approve Itema petition to amend the Comprehensive Zoning Ordinance for Augusia Georgia by amending Action: Section 2 (Definitions), Section 7 (A-Agriculture) and Section 14 @-Mll-Manufactured Hom6 Approved Re_sldential) by adding flagpole lots as permitted uses and to prohibit flagpole lots in all other residential zoning classifications. lst Reading @eferred from the January fO, ZOft Commission Meeting) G za-r-250 reoort.odf E ltemAoorovalshect.html Motions ilil:'" Motion rext IE sa-5J report.ndf B sa-53 amcndmcntudf E ItemApprovslShect.html Motions Motion Motion Textrype Motion to approve with the changes ^ --,-.._ , as enumerated by the PlanningADDTOVCLrlrector. Motion Passes 8-0. E Request For Additonal Fitncss Eouinment and asreement from \/endor.pdf B ltemAoorovalSheet.html Motions []j:' Motion Text Made Byrype Motion to approve with the changes a -_--.._ as enumerated by the Planning CommissionerADDTOVCDlrector. Sammie Sias Made By seconded By [:tji| Commissioner Commisioner Sammie Sias Sean Frantom Passes Made By seconded By f;iir' Commisioner; ----;----;--- PassesSean frantom Motion Passes 8-0. PUBLIC SERVICES 3. Motion to approve the purchase of additional weight room,/exercise fitness equipment from Innovative Fitness Solutions Bid Item 17-149. (Approved by Pubtic Services Committee January30,2018 dreport back from the Administratoif B Additionrl Fitness f,ouipment List.docx Item Action: Approved Motion ResultSeconded By Motion to^ (,ommisioner SeanApprove approve. Motion Passes 8-0. Frantom Commissioner Sammie passes 4. Motion to approve New Ownership Application: A.N. 18-02: A request by Earl Benny Culver for Item a retail package Beer & Wine License to be used in connection with Eminence, Inc dba Amex Action: Mart located at 2579 Tobacco Rd. District 4. Super District 9.(Approved by Public Senices Approved Committee January 30, 2018) lE f,minence,odf E ltcmApprovalsheet.html Motions Motion;: -:-- Motion Text Made Bylype Motion toApprove approve. Motion Passes 8-0. Commissioner Sammie passesCommisioner Sean Frantom Seconded By Seconded By Seconded By Motion Result Motion Result Motion Result 5. Motion to approve New Ownership Application: A.N. 18-01: request by Mann Fai Cheang for an Item on premise consumption Beer & Wine License to be used in connection with New Ming Wah Action: located at 3415 Wrightsboro Road. District 5. Super District 9. (Approved by Public Services Approved Committee January 30, 2018) B New Mins Wah.odf E Motions iJJ:"' Motion rext Made Bv Motion toApprove approve. Motion Passes 8-0. Commisioner Sean Frantom Commissioner Sammie passes Sias 6. Motion to approve the American Airlines Agreement. (Approved by Public Services Committee Item January 30,2018) Action: Approved E american2.odf E laemApprovatsheet.html Motions X::"' Motion Text Made Byr ype Motion toApprove approve. Motion Passes 8-0. Commissioner Sammie passes Sias Commisioner Sean Frantom 7. Motion to approve Mr. Dan Vander Meer as the new General Manager for McDonald Transit. Item(Approved by Public Senices Committee January 30,2018) Action: Approved lB Notice of Personnel Chanee.docx IB dan-r'ander-mecr-rcsume - RATP Deu.docx IB John ll'ilson l.pdf lE John rAilson 2.pdf Motions []j"Il Motion Text Made By seconded By Motionrype - ----- -J Result Motion to commisioner sean commissioner srApprove approve. :-rulrr$ronEr Dean Uommlssloner Dammle paSSes rtaiiion p".ses g-0. Frantom Sias 8. Motion to approve placing the Art Cart in the rear of the Public Defender's Office at 902 Greene ltem Street. (Approved by Public Services Committee January 30r 20lt) Action: Approved IB ItemApprovalsheet.html Motions Motion r,^.:^_ T^_a rr_ r_ n- Motion;---- Motion Text Made By Seconded ByIype - ----- -r Re,sult Motion to Commissioner Ben commisioner sealApproveapprove.\,{,Ilulllsut(,rErDcnLommlslonerJeanpasses M|ffi"rses g-0. Hasan Frantom 9. Motion to approve proclaiming Augusta, Georgia a Purple Heart City. (Approved by Pubtic Item Services Committee January 30,2018) Action: Approved B E Motions Motion rr -a:^- ,T,^_. rf,^ d Motion;---- Motion Text Made By Seconded Bylype - ----- -J Result Motion to Commisioner Sean commissioner SaApprove approve. ;-^-:T1tttt""er Dcan uommlssloner Dammle Passes Motion passes g-0. Frantom Sias 10. Motion to approve Avfuel Aviation Fuel Supplier Second Amendment. (Approved by Public Item Services Committee January 30,2018) Action: Approved IB ayfuel.pdf IE ItemAoorovalsheet.html Motions *::"" Motion Text Made By seconded By Motionrype -.---- -J Result Motion toapprove. Commisioner Sean Commissioner Sammie ^ Motion Passes 8- Frantom Sias rassesApprove 0. 11. Motion to approve the final renewal Davis Landscaping Amendment 2 in the amount of Item $67,992. (Approved by Public Services Committee January 30, 2018) Action: Approved lB Davis Rcnewal.pdf Motions Motion r.-1!-,m Motioniil;" Motion Text Made By Seconded By Resutt Motion to Approve illi,"#r"rses 8- F.H,T*'""er Sean commissioner Sammie passes 0. 12. Motion to approve the Host agreement for the Diamond Lakes Campgrounds. (Approved by Item Public Services Committee January 30,201E) Action: Approved E Park Host Csretakcr Asreement.docx E ltemAporovalsheet.htmt Motions []ji"' Motion Text Made By seconded By Motionl.vpe -'---- -'1 Result Motion to Approve i|Ii,"#i,"rses 8- commissioner Sammie Frffff*t"'er sean passes 0. 13. Motion to approve Executive Director's Purchase Authority in the amount of $25,000.00. Item (Approved by Public Services committee January 30,2018) Action: Approved B ttemApprovalsheet.html Motions []j:' Motion Text Made By Seconded By MotionrYPe *- -r -------- -.r Result Motion to Approve ixlixlr;,"rses 8_ F;T-*,""er Sean commissioner sammie passes 0. 14. Motion to accept Departure Media - In terminal advertising Augusta Regional Airport - 5 year Item contract. (Approved by Public Senices Committee January 30,2018) Action: Approved lB ttemAoorovalsheet.html Motions Motion rf,^.:^- ,Tr^-r r,r^r^ D-- d r Motion; -'--- Motion Text Made By Seconded ByIype - -.---- -r Result Motion to Approve ffili,::"i"rses 8- F;T,T*,",er Sean commissioner Sammie passes 0. 15. Motion t9 "pp.ole funding in the amount of $9,600.00 from the Contingency Account Itemfor upgrading the James- Broln display at Augusta Regional Airport at Bush field. 1A[proved by Action:Public Services Committee January 30,2018) Approved e ItemApprovalsheet.html Motions Motion rr^*i^- ,T^-+ r/i^r^ r>-- d r r h Motioni;;- Motion Text Made By Seconded By-J r- ------- -" Result Motion to Approve ixli,x]r"r"rses 8- F;T.*t""er Sean commissioner Sammie passes 0. 16. Motion to approve the Innovative Electronic Design, LLC- PA System. (Approved by pubtic ItemSenices Committee January 30,2018) Action: Approved E sxtt css4elzlzzl lzzoo.pdf El ltemAoprovelsheelhtml Motions Motion r{^ri^-,T^-+ f,r^r^,-- d t rn Motion;----- Motion Text Made By Seconded ByIYPe ''---- -r Result Motion to Approve i|li,""lrr"rses 8- F;TrT*t",er Sean commissioner Sammie passes 0. 17. Motion to approve referring the Litter Control Ordinance to the Administrator for review and Itemreport back in 45-days with the recommended changes. (Approved by Public Services Action:Committee January 30,2018) Approved E oRD 75t3 LIttER coNTnol llrttRtNc srnputs ann slorwelxs pnogrutlNc aovrRrlstntENts ox rt,nlIc pnoprnty(002).ndf IB Comm. Sias Litter Ordinance l.30.I8.odf B ItemApurovalShcet.html Motions []j:" Motion Text Made By seconded By MotionrYPe uvlvuues uJ Result Motion toapprove. commisioner Sean commissioner Sammie Approve Motion Passes 8- Frantom Sias passes 18. Motion to approve Runway Closure Markers (Lighted X's) Hali-Brite Contract. (Approved by Item Public Senices Committee January 30r 2018) Action: Approved lB Grant LED Run*ev Closer ltferkers - ARA ndf B ttemApprovslshcct html Motions [,o::" Motion Text Made Byrype seconded By Motion Result Motion to Approve ffif,[X**ses g- $;misioner sean commissioner Sammie passes 0. 19. Motion to approve a request from Ms. Tonya Bonitatibus/Savannah fuverkeeper for $10,000 plus Item travgl expenses to hire McClaughlin Consulting to work toward putting a Whiiewater Center af the Action: Lock & Dam Park with funding to come from the Administrator's and/or Recreation and Parks Approved budget. (Approved by Public Seruices Committee January 30,201t) E Savannah Riverkeeoer l-30-l8.odf Its 201t,01.3I LD Commission nresenbrion-nnh E ltemAoorovalSheet.html Motions Motion Motion Textrype Motion to approve moving forward with tasking the Administrator to schedule d n - .Approi'e ;j',*i*l;,:tl tr" "pp-p''i"t-.."ii,i.' S;##',J'Ji*"' S:fffi::';*' passes Motion Passes 8-0. 20. Motion to approve Towable Passenger Stair Bid Award to Aero Specialties in the amount of ltem $63,736.20. (Approved by Public services committee January 30,2b18) Action: Approved Made By seconded By fffii seconded By Motion Result E towsblcstairs.odf E ltemApprovrlsh€et.html Motions []j:' Motion Text Made Byrype Motion to Approve ffili,il"i"rses 8- Fr"#,T*,",er Sean commissioner sammie passes 0. ADMINISTRATIYE SERYICE S 21. Motion to adopt the Augusta, Georgia ADA Self Evaluation & Transition Plan - Final (ADA ltem SETP). (Approved by Administrative Services Committee January 30r 201t) Action: Approved E20lE ADA SETP Final for (ommission 0lJ020l6.pptr IE ItemApprovalsheet.html Motions []j:" Motion Text Made By seconded By Motionr.ype -.---- -r Result Motion to ^ dpprove. Commisioner Sean Commissioner Sammie passesApprove Motion Passes 8- Frantom Sias 0. 22. Motion to approve tasking the Administrator with analyzing the figures and bring back a report of Item what it would cost each commissioner after they choose which conferences they want to attend Action: relative to state and national association memberships. (Approved by Adminislrafive Services Approved Committee January 30, 20lE) lE llemApprovslsheet.html Motions []j:" Motion Text Made By Seconded By MotionIype - ----- -J Result Motion to Approve ixli,H"i"rses 8- Frffi#*'",er sean commissioner Sammie passes 0. 23. Motion to approve Housing and Community Development Department's (HCD's) procedural ltemprocess relative to agreements/contracts/task orders for the Laney Walker/Bethlehem Action: Revitalization Project (for calendar year 2018). (Approved by Administrative Senices Approved Committee January 30, 2018) E ItemAourovalsheet.html Motions Motion rr^r:^-'T,^-r rr^r^ rD-- d r Motioni;;- Motion Text Made By Seconded By Resutt Motion to Approve ix&.,H.ir.ses 8_ f;;mmisioner Sean commissioner Sammie passes 0. PUBLIC SAFETY 24. Motion to approve andauthorization to accept an Innovation Grant in the FosterCategory from ItemMaddie's Fund in the amount of $5,000. (Approved by Public Safety Committee Jaiuary 30, Action:2olE) APProved E l\taddies Fund Orisinal Slumber Pari Prooosal.pdf IB ltemAunrovalsheet.html Motions Motion r{^.:^_ T^__a r,-r^ D__ Motion;::-:-- Motion Text Made By Seconded ByIype - -.----- -J Result Motion to Approve ixf,f,:h"rses 8- F;T#*r"rer sean commissioner Sammie passes 0. 25. Motion to approve entering into a contract with University Health Care System- Occupational ltem Health to provide Baseline Annual & Pre-Employment Medical Exams and authorize the Mayor to Action: execute the contract. (Approved by Public Safety Committee January 30,2018) Approved lB Baseline Annrrrl Pref,'.mnlnlmcnr llledirol tr*oa .-^nho.i -if lB ltcmApprovalSh€et.html Motions f#:" Motion rext Made Bv Motion to Approve ixlir,""h"rses 8_ f;misioner Sean commissioner Sammie passes 0. 26. Motion to approve Sole Source Contract with ICON Software Incorporated for Contract to Item implement ICON CMS360 Case Management for Superior and Juvenile Court. (Approved by Action: Public Safety Committee January 30,201t) Approved E ltemAoorovalsheet.html Motions *::'" Motion Text Made By seconded By Motionrype -.---- -r Result Motion to Approve i|Lr,ili"rses 8- F.H#*'",er Sean commissioner Sammie passes 0. 27. Motion to authorize staffto draft amendments to the Augusta, Georgia Code at the direction of the ItemGolf Cart Task Force and for the Task Force to bring recommended ihanges to the Commission for Action:consideration. (Approved by Public Safety Committee January 30,20iE) Approved E ltemAoorovalsheet.html Motions Motion Motion Text Made By seconded By Motion Result Seconded By Motion Type Result Motion to Approve i|li,llri,"rses 8- F;T#*'"'er Sean commissioner sammie passes 0. 28. Motion to approve entering into a contract with IndustriaUOrganization Solutions (VO Solutions, Item Inc.) to provide professional services in developing and administering promotional assessments for Action: the ranks in the Augusta Fire Department and authorize the Mayor to execute all necessary Approved documents. (RFP 17-245) (Approved by Public Safety Committee January 30,2018) lBPromotional Ascssmena CoDtract.Ddf Its l?-245 RFP scnt to newsDsDer-ndf lE Cunuletive.ndf lB 17-245 D€partm€nt Recomm€ndetion of Awlrd.pdf IE Process Rcgarding RFPs.odf E Motion to Approve ixli,Xlra"rses 8- Fr"#fr*t"'er Sean commissioner Sammie passes 0. FINAI\CE 29. Motion to approve changing Extension employee Winifred Garrett's status from part-time to full- Item time. (Approved by Finance committee January 30,201E) Action: Approved E Extension Memo Gerrett.odf E M8il Lisr aod Demandsaar Planholders.pdf lB ItcmApprovalshe€t.html Motions Motion;:--:-- Motion Text Made Bylype seconded By fJJji,'l seconded By Motion Result E ltemAuprovalsheet.html Motions []j:' Motion Text Made Byrype Motion to Approve ix3i,"J"r"rses g_ Fomlnrsioner Sean Commissioner Sammie passes 0. ENGINEERING SERVICES 30. Motion to authorize condemnation to acquire title of a portion of property for permanent easement Item(Parcel 099-3-003-00-0) - 2601 Mike Padgett Highway. (Approved by Engineering Services Action:Committee January 30,2018) Approved IB llao - Easement at 2601 l\tike Padeett Hwr'.pdf lE ltemAnorovalsheet.html Motions X]j:" Motion Text Made Byrype Approve Motion toapprove. Commisioner Sean Motion Passes 8- Frantom 0. Motion to approve the Award of RFP 17-246: Solid Management Plan Update to Geosyntec Consultants. Committee January 30, 2018) Commissioner Sammie passes Waste Planning Services, Solid Waste Item (Approved by Engineering Services Action: Approved Seconded By Motion Result 31. E l?-246 RFP setrt to newspaper.pdf IB RFP I?.246 OFFICIAL.Ddf B B l7-246 Deprrtment Recommendation of Award.pdf lB Process Reeardins RFPs.pdf IB l?-246 oreproposal confcrcnce sisn in shcelodf E Ntail List and Dcmandstar Planholdcrs.pdf B 17-246 Comoliancc Informetion All Vendnrs ndf lB ltcmApprovatshect html Motions *::"' Motion Text Made Byrype Approve Approve Motion to approve. Motion Passes 8- 0. Motion to approve. Motion Passes 8- 0. Commisioner Sean Frantom Commissioner Sammie passes Sias Seconded By Seconded By Motion Result Motion Result 32. Motion to approve having a comprehensive study with discussion among the Administrator or her Item designee as chairman, the Environmental Services Department, the Marshal's Office, and Planning Action:& Development Department regarding Litter Control Ordinance in association with the Approved proposedincrease of fees charged for Vacant Lot Cutting Services for 2018. (Approved by Engineering Services Committee January 30, 2018) E ItemApprovalShcet.html Motions X:':"" Motion Text Made Byrype Commisioner Sean Frantom Commissioner Sammie passes Sias 33. Motion to authorize condemnation to acquire property in fee simple interests (Parcel 087-4-068- 00-0) - 2053 Golden Rod Street. (Approved by Engineering Services Committee January 30, Item Action: 2018) IB 205J Golden Rod Street - Condemnation Reouest pdf B Nlap -2053 Golden Rod Streer.pdf e ltcmApprovalShcet.html Motions X*:" Motion Text Made Byrype Motion to approve. Motion Passes 8- 0. @ Resular Commission Mecting Januan 16 20lE.odf B Ca[ed Commission ltleetinp Januan. 30 20l8.pdf IE ltemAnorovalshect.html Motions []j:" Motion Text Made Byrype Commissioner Sammie passes Sias Approved Approve Commisioner Sean Frantom Seconded By Seconded By Motion Result Motion Result PETITIONS AI\ID COMMUNICATIONS 34. M9lion to approve the minutes of the legular meeting of the Augusta Commission held January ltem16,2018, and Special Called meeting held January 30, 201g. Action: Approved Approve ****EI\D CONSENT AGENDA**** AUGUSTA COMMISSION 2t6t2018 Motion toapprove. Commisioner Sean Motion Passes 8- Frantom 0. Commissioner SamnSias lle passes AUGUSTA COMMISSION REGULAR AGENDA 2t6t2018 (Items 35-37) PLANNING 35. 7-lt'07 - A request to amend Ordinance #7597 by adding an additional condition below to a Itempetition by David -!arde-n requesting a change of zoning from Zane R-2 (Two-family Residential) Action:and Zone R-lE (Onefamily Residential) to Zone B-2 (General Business; to esiablish a plani Approved lyrs_er1 affecting property containing approximately 2.96 acres and located at l8l3 and part ofl815 Kissingbower Road. Tax Map 057-3-137-02-0 and part of 057-3-139-01-0 DISTnfbf Zl. The only approved use of the property shall be a plant nursery. Any change of use willrequire reevaluation bythe.Planning Commission. 2. Thi site must iubstantially lonform to theconcept plan submiued with this application dated 12-14-2017 3. Issuance of development permits shall be contingent upon submission of plans meeting engineering, environmental, and all other pertinent development regulations. 4. If development does not commence within 24 months or if the use ceases to exist for a 6 month period the B-2 zoning shall revert to the current R-2 and R-lE zoning. E ItcmApprovalshect.html Motions Motion Motion Text Made By seconded By fJ.Xi,'rype Motion to approve with the inclusion ^ of an additional condition for a Commissioner Commis 'Approve lJ#rion".y clause in the ordinance. Sammie Sias Dennis tililffir Passes Motion Passes 8-0. ADMINISTRATIVE SERYICES 36. Approve a remedy/solution regarding pay differentials between staff attorneys assigned to certain ltem city departments. (No recommendation from Administrative Services Committee January 30, Action:2018) Rescheduled e ltemApprovdsheelhtml Motions ryJ:"' Motion Text Made By seconded By f""Jil Motion to approve deleting this item from the agenda with further Derete l:::ffi,:;;;k;;il;n'Ii..utiu" ffffi,:H*". S:ffilliilfil,L, passes Motion Passes 8-0. ENGINEERING SERVICES 37. Approve renaming the John C. Calhoun Expressway- Trump-Calhoun Expressway. (No ltem recommendation by Engineering Services Committee January 30,201E) Action: Disapproved IB l&mApprovdsheer.html Motions Motion Motion Text Made By seconded By fJ.XiIrype Motion to approve sending a resolution to the legislative delegation requesting AApprove ff;:::#;T+L:*,TJ;,:1,** ;, $",?1g?:ffi:, S:rffi;;f*' Fals Sias abstains. Voting No: Commissioner Mary Davis, E B B Commisioner Sean Frantom, Commissioner Andrew Jefferson, Commissioner Grady Smith. Motion Fails 3-4 -1. LEGAL MEETING A. Pending and Potential Litigation. B. Real Estate. C. Personnel. 3E. Motionto approve execution by the Mayor of the affidavit of compliance with Georgia's ItemOpen Meeting Act. Action: None Upcoming Meetings www.ausustasa.sov CALLED MEETING COMMISSION CHAMBER February 13,2018 Augusta Richmond County Commission convened at 11:00 a.m., Tuesday, February 13, 2018, the Honorable Mary Davis, Mayor Pro Tem, presiding. PRESENT: Hons. Jefferson, Guilfoyle, Sias, Frantoffi, M.Williams; Fennoy, D. Williams, Hasan and Smith, members of Augusta Richmond County Commission. ABSENT: Hon. Hardie Davis, Jr., Mayor. Ms. Davis called the meeting to order. 1. LEGAL MEETING A. Pending and potential litigation B. Real estate C. Personnel Mr. MacKenzie: I would entertain a motion to go into an executive session to discuss pending and potential litigation, real estate and personnel. Mr. Sias: So move. Mr. Hasan: Second. Mr. Frantom, Mr. Jefferson and Mr. Fennoy out. Motion carries 7-0. IEXECUTTVE SESSTONI Ms. Davis: Madam Clerk, we're going to call this meeting back to order please. We do have Commissioner Smith that wants to vote and he's in the back, okay, Madam Clerk? The Clerk: Yes, ma'am. 2. Motion to authorize execution by the Mayor of the affidavit of compliance with Georgia's 0pen Meeting Act. Mr. MacKenzie: I would entertain to execute the closed meeting affidavit. Mr. M. Williams: So move. Mr. Fennoy: Second. Ms. Davis: we have a motion and a second. please vote. Grady says yes. Commissioner Smith does. Motion carries 10-0. Ms. Davis: Mr. MacKenzie, do you want me just to start with the motions? Okay. Commissioner Williams. Mr. M. Williams: Ms. Mayor, I've got a motion I'd like to make please. I want to make a motion to increase the salary of Ms. Lena Bonner to $1151000 effective July 1r 2018. Mr. Frantom: Second. Ms. Davis: We have a motion and a second. Please vote. Motion carries 10-0. Ms. Davis: Commissioner Fennoy. Mr. Fennoy: I would like to make a motion to amend the agreement with Janice Osei, Interim HR Director, to eliminsls the provision relating to professional Hability insurance. Mr. Frantom: Second Ms. Davis: We have a motion and a second. Please vote. Motion carries 10-0. Ms. Davis: Commissioner Frantom. Mr. Frantom: I'd like to make a motion to transfer property at 916 Greene Street to the Land Bank for development purposes and prevention of blight and for any proceeds from the sale of such property to be paid to Augusta, Georgia. Mr. D. Williams: Second. Ms. Davis: We have a motion and a second. Please vote. Motion carries 10-0. Ms. Davis: Commissioner Sias. Mr. Sias: Thank you, Madam Mayor Pro Tem. Move to approve the Board of Assessors employment agreement with Alveno Ross with the term of the new agreement to begin on JuIy 26,2018. Mr. Frantom: Second. , ,.. Davis: We have a motion and a second. Please vote. Motion carries L0-0. Ms. Davis: Commissioner Guilfoyle. Mr. Guilfoyle: Madam Clerk, motion to approve the acquisition of real estate il2649 Gordon Highway, Map and Parcel No.066005300-0 in the amount of $2901000 from the Fire Department fund balance. Mr. Sias: Second. Ms. Davis: We have a motion and a second. Please vote. Motion carries L0-0. Ms. Davis: Mr. MacKenzie. Mr. MacKenzie: That's all I have. Thank you. Ms. Davis: Okay, thank you. Commissioner Guilfoyle, you're on with Public Services. IMEETING ADJOURNED] Lena J. Bonner Clerk of Commission CERTIFICATION: I, Lena J. Bonner, Clerk of Commission, hereby certiff that the above is a true and correct copy of the minutes of the Called Meeting of the Augusta Richmond County Commission held on February 13,2018. Clerk of Commission Commission Meeting Agenda 2/20/2018 2:00 PM Motion to approve Amendment to Probation Services Order Department:Probation Department Department:Probation Department Caption:Motion to approve amendment to Probation Services Order to adjust the experience categories for the Chief Probation Officer. (No recommendation from Administrative Services Committee February 13, 2018; and provide additional information relative to the amendment) Background:Page 6 of the Probation Service Order describes the experience requirement for the Chief Probation Officer of the Richmond County Probation Office. The current language reads as follows: "A. Chief Probation Officer: Will have a minimum of five years’ experience in corrections, parole or probation services;" The Department of Community Supervision (DCS) contains regulations allowing for the Chief Probation Officer to have other appropriate experience provided such experience is approved by the DCS Misdemeanor Probation Oversight Unit. The current language of the Probation Order does not contain the "other appropriate experience" category. Analysis:To ensure consistency with the DCS regulations, the probation Advisory Board would like to amend the Probation Order so that it reads as follows: "Chief Probation Officer: (1) Will have a minimum of five years’ experience in corrections, parole, probation services, or other appropriate experience as approved by Department of Community Supervision Misdemeanor Probation Oversight Unit;" Financial Impact:None. Alternatives:Not approve amendments to the Probation Order at this time. Recommendation:Approve. Cover Memo Funds are Available in the Following Accounts: N/A. REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Cover Memo Page 1 of 21 IN THE STATE AND MAGISTRATE COURTS OF RICHMOND COUNTY STATE OF GEORGIA ORDER Pursuant to the provisions of O.C.G.A. §42-8-101, the Judges of the State and Magistrate Courts of Richmond County, with the approval of the consolidated government of Augusta, Georgia, the governing authority of said County, do hereby continue the established county system to provide probation supervision, counseling, collection services for all moneys to be paid by a defendant according to the terms of the sentence imposed on the defendant as well as any moneys which by operation of law are to be paid by the defendant in consequence of the conviction, and other probation services for persons convicted in these courts and placed on probation in Richmond County. These services of supervision, counseling and collection are to be administered through a Probation Services Office (hereinafter “P.S.O.”) which is a division of the Richmond County State Court. The P.S.O. shall have probation and supervisory jurisdiction of all misdemeanor offenses authorized by statute. The P.S.O. shall be authorized to provide any other such services as deemed appropriate and as ordered by said Courts. The P.S.O. of said Richmond County Courts is hereby authorized to collect a monthly probation supervision fee of an amount set by the P.S.O. not to exceed the maximum amount allowed by law, to be paid into the general funds of Augusta, Georgia, if such fee is authorized by the sentencing judge and is contained in the sentencing order. The P.S.O. is authorized by this Order to proceed with the supervision and enforcement of any provisions of a defendant’s sentence by order of the courts, including the supervision and Page 2 of 21 enforcement of a probated or suspended sentence, and to do any and all acts necessary and proper to carry into effect the orders of these courts. Richmond County Probation Services Advisory Board There is hereby created the Richmond County Probation Services Board (hereinafter “Board”). The Board shall be comprised of the Chief Judge of State Court, the Chief Judge of Magistrate Court, the Augusta, Georgia Administrator and the Chair of the Public Safety Committee. In the absence of said Judges, each court may, during said absence, substitute that representative with another judge; and, any judge of said Courts may participate in discussions. The Commission member’s term of service as a member of the Board will run concurrent with the position as Chair of the Public Safety Committee. The Board shall have the following duties: 1. Prescribe the knowledge, skills and abilities required for Chief Probation Officer; 2. Recommend comments on the performance appraisal of the Chief Probation Officer to the Chief Judge of State Court; 3. Approve the default supervision fee amount when such amount is not stated by the sentencing court; 4. Review and approve standard operating procedures including supervision and other procedures and make recommendations, including any changes, in that regard; 5. Review regular reports, such as those summarizing rates of compliance, fines and fee collection, community service, and attendance at court-ordered programs; and 6. Consider and review requests from the Augusta, Georgia Board of Commissioners regarding modifications to the probation services program or this Order. Page 3 of 21 Chief Probation Officer and Probation Officers There is hereby created position of Chief Probation Officer, as authorized and approved by the governing authority of said county. The Chief Probation Officer shall be appointed by a hiring panel and shall serve at the pleasure of the Chief Judge of State Court. The hiring panel for the Chief Probation Officer shall consist of the Augusta, Georgia Administrator, the Augusta, Georgia Human Resources Director, the Court Administrator of the State Court, and at least one (1) outside consultant with probation expertise as agreed by the Chief Judge of the State Court and the Augusta, Georgia Administrator. The Chief Probation Officer shall report directly to the Chief Judge of State Court and as needed through his/her designee and shall serve at the will of the Chief Judge of State Court. The Chief Probation Officer shall hire all Probation Officers, Probation Office Supervisors and all support staff and such employees shall serve at the will of the Chief Probation Officer. The Chief Probation Officer and other Probation Officers shall have such duties, responsibilities, and authority as a probation officer under existing Georgia law, except as may be inconsistent with this Order, the Official Code of Georgia Annotated, or except as may be specifically modified from time-to-time, in writing by the Board. The Chief Judge of State Court, in coordination with the Board and the Augusta, Georgia Human Resources Department, shall establish a job description for the Chief Probation Officer, and other Probation Officers and staff, which job description shall set out in such detail as deemed appropriate, the duties, responsibilities, and authority of the Chief Probation Officer and Probation Officers and staff. Chief Probation Officer, Probation Officers and Staff Officers and employees of the P.S.O. will at all times observe and comply with all laws, ordinances, and regulations of the federal, state, and local governments which may in any Page 4 of 21 manner affect the performance of this Agreement. Officers and employees of the P.S.O. shall comply with the O.C.G.A. §42-8-101, et seq., as well as all standards and qualifications as set forth by the DCS and/or P.O.S.T. and/or this Order and/or the Chief Judge of State Court, and shall comply with any rules and regulations promulgated by the DCS Board, and/or P.O.S.T. and/or the Chief Judge of State Court to include any amendments as may be made from time to time. The standards and qualifications for officers and employees of the P.S.O. shall include: 1. Richmond County Probation Employee Requirements: A. Administrative/Support Staff: (1) Will be at least 18 years of age; (2) Will receive training concerning and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file; (3) Will sign a statement cosigned by the Chief Probation Officer that the employee has received an orientation on the rules of the Department of Community Supervision, (hereinafter “DCS”), as well as operations guidelines relevant to that employee’s job duties. A copy of the statement will be maintained in the employee’s personnel file; and, (4) Consent to a criminal background check; and, (5) All hires for administrative staff shall have the educational requirements provided in DCS Board Rule 105-2-.09 (6) The following persons are not eligible for employment as an administrative or support staff person: a. A person convicted of a felony; Page 5 of 21 b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. f. All training shall comply with DSC Board Rules 105-22-.09 and 105-2.12 B. Probation Officer Standards: (1) Will be at least 21 years of age at time of appointment; (2) Will be eligible to serve as a Probation Officer as defined in O.C.G.A. §42-8- 100, will be registered with DCS, approved by DCS and be in compliance with all DCS training standards or have proof of successful completion of the P.O.S.T. basic course of training for supervision of probationers and parolees, or P.O.S.T. Certified as a peace officer. A Probation Officer terminated for failure to maintain the ability to serve as a Probation officer is not eligible for re-hire until they have obtained such designation. (3) Will have completed a standard two-year college course of study (90 quarter hours/60 semester hours) or have four years law enforcement experience at the time of appointment; (4) Documentation of education, law enforcement experience, P.O.S.T. certification, and authorization to serve as a Probation officer pursuant to O.C.G.A. §42-8-100 shall be maintained in the employee’s personnel file; Page 6 of 21 (5) Will sign a statement cosigned by the Chief Probation Officer that the employee has received an orientation on the rules of the DCS as well as operations guidelines relevant to that employee’s job duties. A copy of the statement will be maintained in the employee’s personnel file; (6) Will receive training in and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file; and, (7) Consent to a criminal background check; and, (8) The following persons are not eligible for employment as a Probation Officer: a. A person convicted of a felony; b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. (9) Supervising Probation Officers: Probation Officers in positions where they supervise other probation officers must be P.O.S.T. Certified as a Georgia peace officer. C. Chief Probation Officer: (1) Will have a minimum of five years’ experience in corrections, parole, probation services, or other appropriate experience as approved by Page 7 of 21 Department of Community Supervision Misdemeanor Probation Oversight Unit; (2) Will be P.O.S.T. Certified as a Georgia peace officer at time of application. Losing peace officer P.O.S.T certification while employed as a Chief Probation Officer will result in termination of employment as Chief Probation Officer and such person is not eligible for re-hire as Chief Probation Officer unless they have obtained P.O.S.T. certification as a peace officer; (3) Be at least 21 years of age at time of appointment; (4) Will sign a DCS provided confidentiality statement agreeing to hold the identity of offenders and records confidential; (5) Consent to a criminal background check; and, (6) The following persons are not eligible for employment as Chief Probation Officer: a. A person convicted of a felony; b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. 2. Criminal Records Checks Page 8 of 21 Each employee of the Richmond County Probation Office will submit to a criminal background check completed by the DCS in accordance with O.C.G.A. § 35- 3-34. Completed fingerprint cards will be submitted with the Probation Employee Registration Form. The Chief Probation Officer will notify the DCS and the Chief Judge of State Court in writing if that officer or other employee of the probation office has been charged, arrested, or pled guilty or nolo contendere to, or has been convicted of any misdemeanor or any felony. Notification will be made within ten (10) business days. 3. Training and Staff Development A. General All employees will receive training concerning and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file. All employees will be trained in the “Open Records Act” as found in O.C.G.A. §50- 18-70, through 50-18-77. A review of said Act will be conducted yearly and will be documented in the employee’s file. All employees will be trained in Part 2, of Title 42, of the Code of Federal Regulations governing confidentiality of alcohol and drug abuse patient records. A review of said regulation will be conducted yearly and will be documented in the employee’s file. B. Probation Officer Training: Page 9 of 21 (1) Probation Officers will be required to be registered with DCS, approved by DCS and comply with all DCS training standards as a condition of employment; and (2) Will complete 20 hours of annual in-service continuing education training consisting of a curriculum approved by the DCS and/or P.O.S.T.; and (3) All P.O.S.T. certified Probation Officers will comply with all annual P.O.S.T. training requirements; and (4) Training records will be maintained in the employee’s file. (5) Probation Officers desiring to become P.O.S.T. certified as Georgia peace officers will be provided an opportunity to do so in accordance with the guidelines established by the Probation Advisory Board. C. Chief Probation Officer Training: (1) The Chief Probation Officer is subject to all of the requirements of the Probation Officer training above except that the Chief Probation Officer will have current P.O.S.T. Certification as a Georgia peace officer upon hire. Probation and Related Services Provided P.S.O agrees to provide the following misdemeanor probation services for an on behalf of the Court: 1. Attend regularly scheduled Court sessions for the purpose of obtaining sentencing information and personal history information for each offender placed on probation and provide information in regard to current probation status if relevant. Dates of regularly scheduled court sessions will be made available to P.S.O. in advance. Page 10 of 21 2. Conduct an initial interview with each probationer at the time of his or her sentencing or as soon thereafter as is practicable for purposes of explaining the scope of the court order relative to fines, fees and/or restitution imposed. All requirements and conditions of the sentence and probation supervision will be explained to the probationer. 3. Collect from probationers, court ordered fines, restitution and other costs associated with the order of the Court. 4. Prepare referrals and lend assistance to probationers either ordered to receive or desiring counseling or employment assistance. Probationers identified by the Court as having special treatment needs will be referred to appropriate community programs and their progress followed and noted in their case record. 5. Alcohol/drug testing will be provided to probationers identified by the Court as having drug or alcohol related problems. Unless otherwise ordered probationers will assume the cost of regular and random drug and/or alcohol testing. 6. Provide electronic monitoring and intensive probation services to the Court and at the direction of the Court. 7. Coordinate community service work with agencies in Richmond County and other locations when ordered as a condition of probation by the Court appropriate and consistent with the skills of the probationers. Community service work programs shall include, but not be limited to, Richmond County Correctional Institution and other work clean-up programs. Page 11 of 21 8. Maintain information in case files for each probationer regarding compliance with the terms and conditions of probation, reporting dates, contacts as they occur and the amounts and dates of monies collected. 9. All reports, files, records, and papers shall be confidential and maintained as may be required by the DCS, and shall all be available only to the Court, and to others as specifically authorized by the Court or pursuant to O.C.G.A. §42-8-108, and O.C.G.A. §42-8-109.2, as hereinafter may be amended. 10. The following records must be maintained for a period of two years and records must be available and accessible for inspection by the Augusta, Georgia government, any Judge of State or Magistrate Court, Department of Audits and Accounts or the DCS upon request: a. Written contracts or agreements for probation services; b. All court orders for all probationers assigned to the entity for supervision; c. All accounting ledgers and related documents; d. All payment receipts issued to probationers for all funds received; e. All probation case history and management reports and documents; f. All other documents pertaining to the case management of each probationer assigned to the entity for supervision; g. The probation entity application for registration and supporting documents submitted to the DCS; and, h. The registration approval issued to the probation entity by the DCS. Page 12 of 21 11. Provide the Clerk of Court with a monthly listing of cases for which all fines and fees have been collected. In this manner, the Clerk will be notified as to when to remit amounts owed to other authorities for which amounts are collected, including restitution. Funds shall be disbursed on a monthly basis. 12. Provide to the Chief Judges of the Courts, the Board, and to the DCS a quarterly report containing the information required by the O.C.G.A. §42-8-108, or as may be required by the DCS. This information shall also be submitted annually to the governing authority of Augusta, Georgia through the Augusta, Georgia Clerk of Commission. Other reports shall be provided in such detail as Augusta, Georgia, the Chief Judge of State Court, Department of Audits and Accounts or the DCS may require. To the extent required by law, all records of the probation office will be open to inspection pursuant to the O.C.G.A. §42-8-108(b). The DCS may produce aggregate reports summarizing statewide probation activities. 13. Reconcile all records with the Clerk’s Office on a monthly basis. 14. Assist the Court and law enforcement authorities in tracking absconders through the submission of a report that details the probationer’s personal history and employment information, the circumstances of his/her violation and his/her last known whereabouts. 15. If a determination is made that the probationer is lacking the resources to be able to make weekly or monthly payments, every effort will be made to convert the remaining fines or costs to community service hours. Probationers will be credited a Page 13 of 21 dollar amount determined by the Court for each one (1) hour of community service performed and, the Court shall determine the procedure for determining eligibility. 16. All efforts will be made to deal promptly with indigent cases at the mid-point juncture, if not earlier, in order that there will be enough time remaining on the sentence for an appropriate disposition. 17. When the P.S.O receives confirmed notice or verifies information that a probationer has committed a material breach in conforming to the conditions of probation, it shall take appropriate contempt of court and/or revocation of probation action to bring the breaches to the attention of the Court. The P.S.O. shall receive from the Court an executed court operating procedure that outlines the timelines associated with the reporting of probationer non-compliance. 18. Make every effort to provide consistent supervision so that each probationer generally has only one probation officer during the term of probation. 19. No Probation Officer or employee will engage in any employment, business, or activity that interferes or conflicts with the duties and responsibilities of this agreement. 20. No Probation Officer or employee shall have personal or business dealings, including the lending of money, with any probationers. 21. Provide to the Court as requested written reports on defendants on probation that appear before the Court for arraignment, trial or other hearings. 22. In the event criminal offenses are decriminalized by the Georgia Legislature, P.S.O. will monitor and collect fines and/or fees in such cases as may be required by the Court. Page 14 of 21 23. When probationers have consecutive sentences officers shall comply with the requirements of O.C.G.A. § 42-8-103.1 24. Provide the capability to accept payments by credit card and by any other method. Any fees or costs shall be paid by probationers. 25. Maintain on its staff a Spanish speaking employee who is appropriately qualified to communicate with Spanish speaking probationers/offenders to ensure that these individuals fully understand their obligations to the Court. 26. Maintain sufficient staffing levels and standards of supervision including the type and frequency of contacts that are in compliance with the agreed upon Court operating procedures. As determined by the Court, supervision levels will be as follows: a. High Risk cases will be scheduled at a minimum of once a month for face to face meetings. Probation officers will maintain an average caseload of 250 active participants; b. Standard cases will be scheduled at a minimum of once a month for face to face meetings. Probation officers will maintain an average caseload of 325 active participants; c. Low Risk cases will be required to check-in via kiosk, telephone or mail-in on a monthly basis and will be scheduled at a minimum of once every 90 days for a face to face meeting. Probation officers will maintain an average caseload of 375 active participants; d. Financial Services participants will be scheduled for payment on a monthly basis and will not require face to face meetings unless non-compliant; and, Page 15 of 21 e. These levels of supervision may be modified by the Court as conditions may require. f. The Chief Judge of State Court and the Chief Judge of Magistrate Court may, by order, designate additional criteria to be used for assessing the appropriate probation risk level for their court. 27. The P.S.O. shall not require probationers to continue to address probation conditions beyond the term established in the original sentence, or for a time period beyond that which is provided under appropriate tolling procedures. 28. Supervise participants of a Pretrial Intervention and Diversion program as requested by the Prosecuting Attorney and approved by the Court. 29. Provide for the supervised release of pretrial defendants as ordered and directed by the court. 30. Provide for the supervision of bond condition(s) and Temporary Protective Order compliance as ordered and directed by the court. 31. Assist in the development, implementation and reporting for grants as appropriate. 32. Attend any and all sessions of various accountability court programs as directed and supervise participants as directed. 33. Provide other services to the courts or county departments as permitted by law. Service Fees 1. Each sentence shall provide for a probation or monitoring fee and technology fee payable for each month of the probation or suspension period of the sentence. Other fees and charges shall be charged and collected as provided in this Order. All the fees and charges in this Order may be changed by the Probation Services Advisory Board Page 16 of 21 or the Chief Judge of State Court at any time. Unless otherwise adjusted by the Board or the Chief Judge of State Court, starting April 1, 2018 and continuing annually on each April 1st, all of the fees and charges contained in this Order shall be increased by the annual Southeast Consumer Price Index for All Urban Consumers (CPI-U) of the previous year. In the event that the Southeast CPI-U is a negative number, the charges and fees shall remain the same for such year. The initial fees from the time this Order is executed through March 31, 2018 shall be as follows: a. One dollar ($1) per month technology fee. b. Nine dollar ($9) one-time fee for the Georgia Crime Victim Emergency Fund. c. Thirty-two dollars ($32) per month in those cases in which the P.S.O. is collecting fines, and surcharges ordered by the Court in a probated or suspended sentence. The maximum fee imposed shall be as set forth in the O.C.G.A. §42-8-103. d. Thirty-five dollars ($35) per month in those cases in which the P.S.O. is providing probation supervision or monitoring services for conditions inclusive of victim restitution. When all special conditions of the probated or suspended sentence, other than payments of fines and surcharges, are completed, the supervision fee shall then be reduced to Thirty-two dollars ($32) per month and limited as set forth in paragraph “a”. e. The P.S.O. may charge a one-time fifteen dollar ($15) enrollment fee to defendants who require supervision of conditions of the Court’s sentence. The enrollment fee may not be charged in pay only cases in which P.S.O. is only collecting fines, and surcharges. Page 17 of 21 f. All Pay Only cases including those with indigent probationers shall comply with O.C.G.A § 42-8-103. g. In cases where Restitution is ordered the collection of fees shall comply with O.C.G.A § 17-14-8(a). h. Probationers will pay for random drug and/or alcohol testing and the P.S.O. will provide such testing at a rate of fifteen ($15) for initial on-site testing and twenty- five ($25) for lab confirmations at the request of the probationer. i. Probationers will pay for electronic monitoring services and the P.S.O. will provide such services at a rate of six ($6), per day for house arrest, nine ($9) per day for GPS tracking, eight ($8) per Portable Breath Alcohol test, six ($6) per day for MEMS in-home Breath Alcohol testing, and eleven ($11), per day for SCRAM. j. Probationers will pay for enrollment fees for the electronic monitoring services described in subsection (e) herein at the following rates: i. Electronic monitoring - $25.00; ii. GPS tracking - $40.00; iii. MEMS in-home Breath Alcohol testing - $25.00; iv. BART - $40.00; and v. SCRAM - $40.00. These enrollment fees shall be due and payable for each instance that the electronic monitoring services are ordered by the Court. k. The P.S.O. shall transfer each case to an unsupervised status and all probation supervision fees shall cease when all conditions of the probated/suspended Page 18 of 21 sentence that require supervision have been successfully completed, unless the Court specifically orders otherwise. Pay only sentences shall be terminated upon full payment of the amount owed by the probationer. 2. Probation and/or the monthly probation or monitoring fees may be modified, suspended or terminated by the Court as determined necessary in the Court’s discretion. 3. Payment of fines and fees will be set according to the sentencing order of the Court. For those probationers requiring a payment plan due to financial inability to pay in full, a payment plan will be set out for each probationer by the P.S.O. The P.S.O. in establishing each payment plan will take into consideration the ability of each probationer to pay. 4. After three months of noncompliance of the terms of probation, probation fees shall cease, the P.S.O. shall advise the Court of said noncompliance by sworn affidavit of the probation officer. Probation fees shall recommence at the conclusion of any rule nisi hearing based on the Court’s ruling. 5. The P.S.O. will complete a financial assessment on those probationers reporting financial hardships and requesting assistance. The Court will be advised of any confirmed financial hardships and appropriate sentence modifications will be sought including addressing probation supervision fees. 6. The P.S.O. will not collect probation supervision fees in advance and will not collect probation fees for any months not authorized by court order. 7. Probation supervision fees will be assessed on a monthly basis. Individuals, who are being supervised by the P.S.O. via electronic monitoring, remote alcohol testing, or Page 19 of 21 GPS tracking, will not be charged a monthly probation supervision fee while on monitoring. Previously paid fees will not be reimbursed to the probationer when a conversion to community service occurs during the probated term. 8. P.S.O. fees collected from the probationer will be disbursed in accordance with O.C.G.A § 17-14-8(a). In cases not involving restitution, funds will be distributed first to Crime Victims Emergency Fund (“G.C.V.E.F.”), and the balance to the Augusta, Georgia consolidated government, to be disbursed as provided by law. 9. The P.S.O. will collect the G.C.V.E.F. fee pursuant to O.C.G.A. §17-15-13, as directed by the Court, from each probationer placed on probation as required by Georgia law unless the Court exempts the probationer. The P.S.O. will remit all collections on a monthly basis to the Georgia Crime Victims Compensation Board. Department of Community Supervision The P.S.O. must be registered and in good standing with the Department of Community Supervision. Further, the P.S.O. must adhere to all duly promulgated rules and regulations of said Department established by DCS per O.C.G.A. §42-8-106. Term, Default and Agreement Termination Procedures Richmond County Probation Office records will be open to audit by the courts and the Augusta, Georgia Finance Department (or their designees) with appropriate written notice to ensure compliance with state law, Augusta, Georgia policy, and the rules and regulations of the DCS. Probation records will be open to inspection and investigation by the DCS or its designated representatives to determine and monitor compliance with requirements. The Page 20 of 21 probation office will diligently work to correct areas of noncompliance prior or subsequent to their discovery by the DCS. Augusta, Georgia understands that the DCS has the authority to impose sanctions, deny, suspend, or revoke the registration approval of a probation entity for noncompliance with registration requirements. Augusta, Georgia further understands that the Chief Judge of State Court and the Chief Judge of Magistrate Court may, by order, implement procedures consistent with the intent of this agreement. The said Courts of Richmond County have established the Probation Services Office, with the approval and consent of the Augusta, Georgia Board of Commissioners, to directly supervise participants and probationers as set forth herein as evidenced by its execution of this agreement by its properly authorized official. The Courts and Augusta, Georgia further agree that prior to termination or reduction of the services contained herein, the party requesting such changes shall provide at least sixty (60) days’ notice of the intended action. Termination or reduction of services may be addressed by one of the following actions: a. By Commission formal action after discussions with the Courts or b. By Order of the Court, with approval from the governing authority. The Courts and Augusta, Georgia further agree that, in the event there is action taken by the Georgia legislature causing probation services to no longer be a judicial function, this agreement shall be reconsidered by both parties within sixty (60) days of the passage of such legislation. Page 21 of 21 This Order shall be effective until December 31, 2021. This Agreement may be renewed thereafter by mutual consent of the parties. This Order may be amended from time to time by mutual consent of the parties. Approvals On behalf of the Courts of Richmond County: ____________________________________________ David D. Watkins, Chief Judge State Court of Richmond County ____________________________________________ Robert W. Hunter, Judge State Court of Richmond County ____________________________________________ Patricia W. Booker, Judge State Court of Richmond County ____________________________________________ Kellie K. McIntyre, Judge State Court of Richmond County ____________________________________________ William D. Jennings, III, Chief Judge Magistrate Court of Richmond County ____________________________________________ H. Scott Allen, Presiding Judge Magistrate Court of Richmond County On behalf of the Augusta, Georgia Government: _____________________________________________ The Honorable Hardie Davis, Jr., Mayor Page 1 of 21 IN THE STATE AND MAGISTRATE COURTS OF RICHMOND COUNTY STATE OF GEORGIA ORDER Pursuant to the provisions of O.C.G.A. §42-8-101, the Judges of the State and Magistrate Courts of Richmond County, with the approval of the consolidated government of Augusta, Georgia, the governing authority of said County, do hereby continue the established county system to provide probation supervision, counseling, collection services for all moneys to be paid by a defendant according to the terms of the sentence imposed on the defendant as well as any moneys which by operation of law are to be paid by the defendant in consequence of the conviction, and other probation services for persons convicted in these courts and placed on probation in Richmond County. These services of supervision, counseling and collection are to be administered through a Probation Services Office (hereinafter “P.S.O.”) which is a division of the Richmond County State Court. The P.S.O. shall have probation and supervisory jurisdiction of all misdemeanor offenses authorized by statute. The P.S.O. shall be authorized to provide any other such services as deemed appropriate and as ordered by said Courts. The P.S.O. of said Richmond County Courts is hereby authorized to collect a monthly probation supervision fee of an amount set by the P.S.O. not to exceed the maximum amount allowed by law, to be paid into the general funds of Augusta, Georgia, if such fee is authorized by the sentencing judge and is contained in the sentencing order. The P.S.O. is authorized by this Order to proceed with the supervision and enforcement of any provisions of a defendant’s sentence by order of the courts, including the supervision and Page 2 of 21 enforcement of a probated or suspended sentence, and to do any and all acts necessary and proper to carry into effect the orders of these courts. Richmond County Probation Services Advisory Board There is hereby created the Richmond County Probation Services Board (hereinafter “Board”). The Board shall be comprised of the Chief Judge of State Court, the Chief Judge of Magistrate Court, the Augusta, Georgia Administrator and the Chair of the Public Safety Committee. In the absence of said Judges, each court may, during said absence, substitute that representative with another judge; and, any judge of said Courts may participate in discussions. The Commission member’s term of service as a member of the Board will run concurrent with the position as Chair of the Public Safety Committee. The Board shall have the following duties: 1. Prescribe the knowledge, skills and abilities required for Chief Probation Officer; 2. Recommend comments on the performance appraisal of the Chief Probation Officer to the Chief Judge of State Court; 3. Approve the default supervision fee amount when such amount is not stated by the sentencing court; 4. Review and approve standard operating procedures including supervision and other procedures and make recommendations, including any changes, in that regard; 5. Review regular reports, such as those summarizing rates of compliance, fines and fee collection, community service, and attendance at court-ordered programs; and 6. Consider and review requests from the Augusta, Georgia Board of Commissioners regarding modifications to the probation services program or this Order. Page 3 of 21 Chief Probation Officer and Probation Officers There is hereby created position of Chief Probation Officer, as authorized and approved by the governing authority of said county. The Chief Probation Officer shall be appointed by a hiring panel and shall serve at the pleasure of the Chief Judge of State Court. The hiring panel for the Chief Probation Officer shall consist of the Augusta, Georgia Administrator, the Augusta, Georgia Human Resources Director, the Court Administrator of the State Court, and at least one (1) outside consultant with probation expertise as agreed by the Chief Judge of the State Court and the Augusta, Georgia Administrator. The Chief Probation Officer shall report directly to the Chief Judge of State Court and as needed through his/her designee and shall serve at the will of the Chief Judge of State Court. The Chief Probation Officer shall hire all Probation Officers, Probation Office Supervisors and all support staff and such employees shall serve at the will of the Chief Probation Officer. The Chief Probation Officer and other Probation Officers shall have such duties, responsibilities, and authority as a probation officer under existing Georgia law, except as may be inconsistent with this Order, the Official Code of Georgia Annotated, or except as may be specifically modified from time-to-time, in writing by the Board. The Chief Judge of State Court, in coordination with the Board and the Augusta, Georgia Human Resources Department, shall establish a job description for the Chief Probation Officer, and other Probation Officers and staff, which job description shall set out in such detail as deemed appropriate, the duties, responsibilities, and authority of the Chief Probation Officer and Probation Officers and staff. Chief Probation Officer, Probation Officers and Staff Officers and employees of the P.S.O. will at all times observe and comply with all laws, ordinances, and regulations of the federal, state, and local governments which may in any Page 4 of 21 manner affect the performance of this Agreement. Officers and employees of the P.S.O. shall comply with the O.C.G.A. §42-8-101, et seq., as well as all standards and qualifications as set forth by the DCS and/or P.O.S.T. and/or this Order and/or the Chief Judge of State Court, and shall comply with any rules and regulations promulgated by the DCS Board, and/or P.O.S.T. and/or the Chief Judge of State Court to include any amendments as may be made from time to time. The standards and qualifications for officers and employees of the P.S.O. shall include: 1. Richmond County Probation Employee Requirements: A. Administrative/Support Staff: (1) Will be at least 18 years of age; (2) Will receive training concerning and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file; (3) Will sign a statement cosigned by the Chief Probation Officer that the employee has received an orientation on the rules of the Department of Community Supervision, (hereinafter “DCS”), as well as operations guidelines relevant to that employee’s job duties. A copy of the statement will be maintained in the employee’s personnel file; and, (4) Consent to a criminal background check; and, (5) All hires for administrative staff shall have the educational requirements provided in DCS Board Rule 105-2-.09 (6) The following persons are not eligible for employment as an administrative or support staff person: a. A person convicted of a felony; Page 5 of 21 b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. f. All training shall comply with DSC Board Rules 105-22-.09 and 105-2.12 B. Probation Officer Standards: (1) Will be at least 21 years of age at time of appointment; (2) Will be eligible to serve as a Probation Officer as defined in O.C.G.A. §42-8- 100, will be registered with DCS, approved by DCS and be in compliance with all DCS training standards or have proof of successful completion of the P.O.S.T. basic course of training for supervision of probationers and parolees, or P.O.S.T. Certified as a peace officer. A Probation Officer terminated for failure to maintain the ability to serve as a Probation officer is not eligible for re-hire until they have obtained such designation. (3) Will have completed a standard two-year college course of study (90 quarter hours/60 semester hours) or have four years law enforcement experience at the time of appointment; (4) Documentation of education, law enforcement experience, P.O.S.T. certification, and authorization to serve as a Probation officer pursuant to O.C.G.A. §42-8-100 shall be maintained in the employee’s personnel file; Page 6 of 21 (5) Will sign a statement cosigned by the Chief Probation Officer that the employee has received an orientation on the rules of the DCS as well as operations guidelines relevant to that employee’s job duties. A copy of the statement will be maintained in the employee’s personnel file; (6) Will receive training in and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file; and, (7) Consent to a criminal background check; and, (8) The following persons are not eligible for employment as a Probation Officer: a. A person convicted of a felony; b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. (9) Supervising Probation Officers: Probation Officers in positions where they supervise other probation officers must be P.O.S.T. Certified as a Georgia peace officer. C. Chief Probation Officer: (1) Will have a minimum of five years’ experience in corrections, parole, or probation services, or other appropriate experience as approved by Page 7 of 21 Department of Community Supervision Misdemeanor Probation Oversight Unit; (2) Will be P.O.S.T. Certified as a Georgia peace officer at time of application. Losing peace officer P.O.S.T certification while employed as a Chief Probation Officer will result in termination of employment as Chief Probation Officer and such person is not eligible for re-hire as Chief Probation Officer unless they have obtained P.O.S.T. certification as a peace officer; (3) Be at least 21 years of age at time of appointment; (4) Will sign a DCS provided confidentiality statement agreeing to hold the identity of offenders and records confidential; (5) Consent to a criminal background check; and, (6) The following persons are not eligible for employment as Chief Probation Officer: a. A person convicted of a felony; b. A person with misdemeanor convictions sufficient to establish a pattern of disregard for the law; c. A person with a conviction, guilty plea or nolo contendere to any misdemeanor involving moral turpitude; d. A person with an outstanding warrant; and, e. A person with pending charges for felony, domestic violence or misdemeanors involving moral turpitude. 2. Criminal Records Checks Page 8 of 21 Each employee of the Richmond County Probation Office will submit to a criminal background check completed by the DCS in accordance with O.C.G.A. § 35- 3-34. Completed fingerprint cards will be submitted with the Probation Employee Registration Form. The Chief Probation Officer will notify the DCS and the Chief Judge of State Court in writing if that officer or other employee of the probation office has been charged, arrested, or pled guilty or nolo contendere to, or has been convicted of any misdemeanor or any felony. Notification will be made within ten (10) business days. 3. Training and Staff Development A. General All employees will receive training concerning and sign a confidentiality statement agreeing to hold the identity of offenders and records confidential. A copy of the statement will be maintained in the employee’s personnel file. All employees will be trained in the “Open Records Act” as found in O.C.G.A. §50- 18-70, through 50-18-77. A review of said Act will be conducted yearly and will be documented in the employee’s file. All employees will be trained in Part 2, of Title 42, of the Code of Federal Regulations governing confidentiality of alcohol and drug abuse patient records. A review of said regulation will be conducted yearly and will be documented in the employee’s file. B. Probation Officer Training: Page 9 of 21 (1) Probation Officers will be required to be registered with DCS, approved by DCS and comply with all DCS training standards as a condition of employment; and (2) Will complete 20 hours of annual in-service continuing education training consisting of a curriculum approved by the DCS and/or P.O.S.T.; and (3) All P.O.S.T. certified Probation Officers will comply with all annual P.O.S.T. training requirements; and (4) Training records will be maintained in the employee’s file. (5) Probation Officers desiring to become P.O.S.T. certified as Georgia peace officers will be provided an opportunity to do so in accordance with the guidelines established by the Probation Advisory Board. C. Chief Probation Officer Training: (1) The Chief Probation Officer is subject to all of the requirements of the Probation Officer training above except that the Chief Probation Officer will have current P.O.S.T. Certification as a Georgia peace officer upon hire. Probation and Related Services Provided P.S.O agrees to provide the following misdemeanor probation services for an on behalf of the Court: 1. Attend regularly scheduled Court sessions for the purpose of obtaining sentencing information and personal history information for each offender placed on probation and provide information in regard to current probation status if relevant. Dates of regularly scheduled court sessions will be made available to P.S.O. in advance. Page 10 of 21 2. Conduct an initial interview with each probationer at the time of his or her sentencing or as soon thereafter as is practicable for purposes of explaining the scope of the court order relative to fines, fees and/or restitution imposed. All requirements and conditions of the sentence and probation supervision will be explained to the probationer. 3. Collect from probationers, court ordered fines, restitution and other costs associated with the order of the Court. 4. Prepare referrals and lend assistance to probationers either ordered to receive or desiring counseling or employment assistance. Probationers identified by the Court as having special treatment needs will be referred to appropriate community programs and their progress followed and noted in their case record. 5. Alcohol/drug testing will be provided to probationers identified by the Court as having drug or alcohol related problems. Unless otherwise ordered probationers will assume the cost of regular and random drug and/or alcohol testing. 6. Provide electronic monitoring and intensive probation services to the Court and at the direction of the Court. 7. Coordinate community service work with agencies in Richmond County and other locations when ordered as a condition of probation by the Court appropriate and consistent with the skills of the probationers. Community service work programs shall include, but not be limited to, Richmond County Correctional Institution and other work clean-up programs. Page 11 of 21 8. Maintain information in case files for each probationer regarding compliance with the terms and conditions of probation, reporting dates, contacts as they occur and the amounts and dates of monies collected. 9. All reports, files, records, and papers shall be confidential and maintained as may be required by the DCS, and shall all be available only to the Court, and to others as specifically authorized by the Court or pursuant to O.C.G.A. §42-8-108, and O.C.G.A. §42-8-109.2, as hereinafter may be amended. 10. The following records must be maintained for a period of two years and records must be available and accessible for inspection by the Augusta, Georgia government, any Judge of State or Magistrate Court, Department of Audits and Accounts or the DCS upon request: a. Written contracts or agreements for probation services; b. All court orders for all probationers assigned to the entity for supervision; c. All accounting ledgers and related documents; d. All payment receipts issued to probationers for all funds received; e. All probation case history and management reports and documents; f. All other documents pertaining to the case management of each probationer assigned to the entity for supervision; g. The probation entity application for registration and supporting documents submitted to the DCS; and, h. The registration approval issued to the probation entity by the DCS. Page 12 of 21 11. Provide the Clerk of Court with a monthly listing of cases for which all fines and fees have been collected. In this manner, the Clerk will be notified as to when to remit amounts owed to other authorities for which amounts are collected, including restitution. Funds shall be disbursed on a monthly basis. 12. Provide to the Chief Judges of the Courts, the Board, and to the DCS a quarterly report containing the information required by the O.C.G.A. §42-8-108, or as may be required by the DCS. This information shall also be submitted annually to the governing authority of Augusta, Georgia through the Augusta, Georgia Clerk of Commission. Other reports shall be provided in such detail as Augusta, Georgia, the Chief Judge of State Court, Department of Audits and Accounts or the DCS may require. To the extent required by law, all records of the probation office will be open to inspection pursuant to the O.C.G.A. §42-8-108(b). The DCS may produce aggregate reports summarizing statewide probation activities. 13. Reconcile all records with the Clerk’s Office on a monthly basis. 14. Assist the Court and law enforcement authorities in tracking absconders through the submission of a report that details the probationer’s personal history and employment information, the circumstances of his/her violation and his/her last known whereabouts. 15. If a determination is made that the probationer is lacking the resources to be able to make weekly or monthly payments, every effort will be made to convert the remaining fines or costs to community service hours. Probationers will be credited a Page 13 of 21 dollar amount determined by the Court for each one (1) hour of community service performed and, the Court shall determine the procedure for determining eligibility. 16. All efforts will be made to deal promptly with indigent cases at the mid-point juncture, if not earlier, in order that there will be enough time remaining on the sentence for an appropriate disposition. 17. When the P.S.O receives confirmed notice or verifies information that a probationer has committed a material breach in conforming to the conditions of probation, it shall take appropriate contempt of court and/or revocation of probation action to bring the breaches to the attention of the Court. The P.S.O. shall receive from the Court an executed court operating procedure that outlines the timelines associated with the reporting of probationer non-compliance. 18. Make every effort to provide consistent supervision so that each probationer generally has only one probation officer during the term of probation. 19. No Probation Officer or employee will engage in any employment, business, or activity that interferes or conflicts with the duties and responsibilities of this agreement. 20. No Probation Officer or employee shall have personal or business dealings, including the lending of money, with any probationers. 21. Provide to the Court as requested written reports on defendants on probation that appear before the Court for arraignment, trial or other hearings. 22. In the event criminal offenses are decriminalized by the Georgia Legislature, P.S.O. will monitor and collect fines and/or fees in such cases as may be required by the Court. Page 14 of 21 23. When probationers have consecutive sentences officers shall comply with the requirements of O.C.G.A. § 42-8-103.1 24. Provide the capability to accept payments by credit card and by any other method. Any fees or costs shall be paid by probationers. 25. Maintain on its staff a Spanish speaking employee who is appropriately qualified to communicate with Spanish speaking probationers/offenders to ensure that these individuals fully understand their obligations to the Court. 26. Maintain sufficient staffing levels and standards of supervision including the type and frequency of contacts that are in compliance with the agreed upon Court operating procedures. As determined by the Court, supervision levels will be as follows: a. High Risk cases will be scheduled at a minimum of once a month for face to face meetings. Probation officers will maintain an average caseload of 250 active participants; b. Standard cases will be scheduled at a minimum of once a month for face to face meetings. Probation officers will maintain an average caseload of 325 active participants; c. Low Risk cases will be required to check-in via kiosk, telephone or mail-in on a monthly basis and will be scheduled at a minimum of once every 90 days for a face to face meeting. Probation officers will maintain an average caseload of 375 active participants; d. Financial Services participants will be scheduled for payment on a monthly basis and will not require face to face meetings unless non-compliant; and, Page 15 of 21 e. These levels of supervision may be modified by the Court as conditions may require. f. The Chief Judge of State Court and the Chief Judge of Magistrate Court may, by order, designate additional criteria to be used for assessing the appropriate probation risk level for their court. 27. The P.S.O. shall not require probationers to continue to address probation conditions beyond the term established in the original sentence, or for a time period beyond that which is provided under appropriate tolling procedures. 28. Supervise participants of a Pretrial Intervention and Diversion program as requested by the Prosecuting Attorney and approved by the Court. 29. Provide for the supervised release of pretrial defendants as ordered and directed by the court. 30. Provide for the supervision of bond condition(s) and Temporary Protective Order compliance as ordered and directed by the court. 31. Assist in the development, implementation and reporting for grants as appropriate. 32. Attend any and all sessions of various accountability court programs as directed and supervise participants as directed. 33. Provide other services to the courts or county departments as permitted by law. Service Fees 1. Each sentence shall provide for a probation or monitoring fee and technology fee payable for each month of the probation or suspension period of the sentence. Other fees and charges shall be charged and collected as provided in this Order. All the fees and charges in this Order may be changed by the Probation Services Advisory Board Page 16 of 21 or the Chief Judge of State Court at any time. Unless otherwise adjusted by the Board or the Chief Judge of State Court, starting April 1, 2018 and continuing annually on each April 1st, all of the fees and charges contained in this Order shall be increased by the annual Southeast Consumer Price Index for All Urban Consumers (CPI-U) of the previous year. In the event that the Southeast CPI-U is a negative number, the charges and fees shall remain the same for such year. The initial fees from the time this Order is executed through March 31, 2018 shall be as follows: a. One dollar ($1) per month technology fee. b. Nine dollar ($9) one-time fee for the Georgia Crime Victim Emergency Fund. c. Thirty-two dollars ($32) per month in those cases in which the P.S.O. is collecting fines, and surcharges ordered by the Court in a probated or suspended sentence. The maximum fee imposed shall be as set forth in the O.C.G.A. §42-8-103. d. Thirty-five dollars ($35) per month in those cases in which the P.S.O. is providing probation supervision or monitoring services for conditions inclusive of victim restitution. When all special conditions of the probated or suspended sentence, other than payments of fines and surcharges, are completed, the supervision fee shall then be reduced to Thirty-two dollars ($32) per month and limited as set forth in paragraph “a”. e. The P.S.O. may charge a one-time fifteen dollar ($15) enrollment fee to defendants who require supervision of conditions of the Court’s sentence. The enrollment fee may not be charged in pay only cases in which P.S.O. is only collecting fines, and surcharges. Page 17 of 21 f. All Pay Only cases including those with indigent probationers shall comply with O.C.G.A § 42-8-103. g. In cases where Restitution is ordered the collection of fees shall comply with O.C.G.A § 17-14-8(a). h. Probationers will pay for random drug and/or alcohol testing and the P.S.O. will provide such testing at a rate of fifteen ($15) for initial on-site testing and twenty- five ($25) for lab confirmations at the request of the probationer. i. Probationers will pay for electronic monitoring services and the P.S.O. will provide such services at a rate of six ($6), per day for house arrest, nine ($9) per day for GPS tracking, eight ($8) per Portable Breath Alcohol test, six ($6) per day for MEMS in-home Breath Alcohol testing, and eleven ($11), per day for SCRAM. j. Probationers will pay for enrollment fees for the electronic monitoring services described in subsection (e) herein at the following rates: i. Electronic monitoring - $25.00; ii. GPS tracking - $40.00; iii. MEMS in-home Breath Alcohol testing - $25.00; iv. BART - $40.00; and v. SCRAM - $40.00. These enrollment fees shall be due and payable for each instance that the electronic monitoring services are ordered by the Court. k. The P.S.O. shall transfer each case to an unsupervised status and all probation supervision fees shall cease when all conditions of the probated/suspended Page 18 of 21 sentence that require supervision have been successfully completed, unless the Court specifically orders otherwise. Pay only sentences shall be terminated upon full payment of the amount owed by the probationer. 2. Probation and/or the monthly probation or monitoring fees may be modified, suspended or terminated by the Court as determined necessary in the Court’s discretion. 3. Payment of fines and fees will be set according to the sentencing order of the Court. For those probationers requiring a payment plan due to financial inability to pay in full, a payment plan will be set out for each probationer by the P.S.O. The P.S.O. in establishing each payment plan will take into consideration the ability of each probationer to pay. 4. After three months of noncompliance of the terms of probation, probation fees shall cease, the P.S.O. shall advise the Court of said noncompliance by sworn affidavit of the probation officer. Probation fees shall recommence at the conclusion of any rule nisi hearing based on the Court’s ruling. 5. The P.S.O. will complete a financial assessment on those probationers reporting financial hardships and requesting assistance. The Court will be advised of any confirmed financial hardships and appropriate sentence modifications will be sought including addressing probation supervision fees. 6. The P.S.O. will not collect probation supervision fees in advance and will not collect probation fees for any months not authorized by court order. 7. Probation supervision fees will be assessed on a monthly basis. Individuals, who are being supervised by the P.S.O. via electronic monitoring, remote alcohol testing, or Page 19 of 21 GPS tracking, will not be charged a monthly probation supervision fee while on monitoring. Previously paid fees will not be reimbursed to the probationer when a conversion to community service occurs during the probated term. 8. P.S.O. fees collected from the probationer will be disbursed in accordance with O.C.G.A § 17-14-8(a). In cases not involving restitution, funds will be distributed first to Crime Victims Emergency Fund (“G.C.V.E.F.”), and the balance to the Augusta, Georgia consolidated government, to be disbursed as provided by law. 9. The P.S.O. will collect the G.C.V.E.F. fee pursuant to O.C.G.A. §17-15-13, as directed by the Court, from each probationer placed on probation as required by Georgia law unless the Court exempts the probationer. The P.S.O. will remit all collections on a monthly basis to the Georgia Crime Victims Compensation Board. Department of Community Supervision The P.S.O. must be registered and in good standing with the Department of Community Supervision. Further, the P.S.O. must adhere to all duly promulgated rules and regulations of said Department established by DCS per O.C.G.A. §42-8-106. Term, Default and Agreement Termination Procedures Richmond County Probation Office records will be open to audit by the courts and the Augusta, Georgia Finance Department (or their designees) with appropriate written notice to ensure compliance with state law, Augusta, Georgia policy, and the rules and regulations of the DCS. Probation records will be open to inspection and investigation by the DCS or its designated representatives to determine and monitor compliance with requirements. The Page 20 of 21 probation office will diligently work to correct areas of noncompliance prior or subsequent to their discovery by the DCS. Augusta, Georgia understands that the DCS has the authority to impose sanctions, deny, suspend, or revoke the registration approval of a probation entity for noncompliance with registration requirements. Augusta, Georgia further understands that the Chief Judge of State Court and the Chief Judge of Magistrate Court may, by order, implement procedures consistent with the intent of this agreement. The said Courts of Richmond County have established the Probation Services Office, with the approval and consent of the Augusta, Georgia Board of Commissioners, to directly supervise participants and probationers as set forth herein as evidenced by its execution of this agreement by its properly authorized official. The Courts and Augusta, Georgia further agree that prior to termination or reduction of the services contained herein, the party requesting such changes shall provide at least sixty (60) days’ notice of the intended action. Termination or reduction of services may be addressed by one of the following actions: a. By Commission formal action after discussions with the Courts or b. By Order of the Court, with approval from the governing authority. The Courts and Augusta, Georgia further agree that, in the event there is action taken by the Georgia legislature causing probation services to no longer be a judicial function, this agreement shall be reconsidered by both parties within sixty (60) days of the passage of such legislation. Page 21 of 21 This Order shall be effective until December 31, 2021. This Agreement may be renewed thereafter by mutual consent of the parties. This Order may be amended from time to time by mutual consent of the parties. Approvals On behalf of the Courts of Richmond County: ____________________________________________ David D. Watkins, Chief Judge State Court of Richmond County ____________________________________________ Robert W. Hunter, Judge State Court of Richmond County ____________________________________________ Patricia W. Booker, Judge State Court of Richmond County ____________________________________________ Kellie K. McIntyre, Judge State Court of Richmond County ____________________________________________ William D. Jennings, III, Chief Judge Magistrate Court of Richmond County ____________________________________________ H. Scott Allen, Presiding Judge Magistrate Court of Richmond County On behalf of the Augusta, Georgia Government: _____________________________________________ The Honorable Hardie Davis, Jr., Mayor Commission Meeting Agenda 2/20/2018 2:00 PM Strategic Asset Management Planning RFP Department:Utilities Department Department:Utilities Department Caption:Motion to award contract to CH2M Hill for RFP Item #17-207 Strategic Asset Management Planning. (No recommendation from Engineering Services Committee February 13, 2018) Background:AUD plans to further develop our asset management practices to form a comprehensive strategic asset management plan for water and wastewater systems operations, maintenance and capital improvements. The Strategic Asset Management Plan (SAMP) will outline strategies for optimal business performance to include maximizing the investment in assets, minimizing life cycle cost, effectively managing risk, and ensuring continuity of levels of service as business drivers change. The strategic plan will outline the path forward for the asset management program and ensure consistent practices throughout the department. CH2M’s proposed services include interactive workshops and analysis with AUD to create the SAMP. This initial SAMP is expected to identify key issues. These issues will likely necessitate a second phase of services from CH2M to work with AUD to further develop and implement the SAMP. Analysis:Augusta Utilities Department evaluated CH2M’s pricing proposal for services, and found it to be fair and reasonable. Financial Impact:The requested budget to contract these services is $193,760.00. Funds are available in account: 507043490-5212999/ 88880170- 5212999 Alternatives:No alternatives are recommended. Recommendation:Augusta Utilities recommends awarding the contract to CH2M in the amount of $193,760.00. Cover Memo Funds are Available in the Following Accounts: Funds are available in account: 507043490-5212999/ 88880170- 5212999 REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Cover Memo Request for Proposal Request for Proposals will be received at this office until Tuesday, August 15, 2017 @ 11:00 a.m. for furnishing: RFP Item # 17-207 Strategic Asset Management Planning for Augusta, GA – Utilities Department RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. A Pre Proposal Conference will be held on Friday, July 21, 2017, @ 10:00 a.m. in the Procurement Department, 535 Telfair Street, Room 605. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Tuesday, July 25, 2017, @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director OFFICIAL VENDORS Attachment "B"E-Verify SAVE Form Original 7 Copies Fee Proposal CH2M Hill Engineers, Inc. Embassy Road 6600, NE Bldg. 400 STE 600 6600 Peachtree Dunwoody Road Sandy Springs, GA 30328 YES 123606 YES YES YES YES W.K. Dickson & Co., Inc. 1450 Greene Street, Suite 225 Augusta, GA 30901 YES 110665 YES YES YES YES Dewberry Engineers, Inc. 2835 Brandywine Road, Suite 100 Atlanta, GA 30341 RFP Opening Item #17-207 Strategic Asset Management Planning for Augusta, GA- Utilities Department RFP Due: Tuesday, August 15, 2017 @ 11:00 a.m. Total Number Specifications Mailed Out: 3 Total Number Specifications Download (Demandstar): NA Total Electronic Notifications (Demandstar): NA Pre Proposal Conference Attendees: 7 Total packages submitted: 2 Total Noncompliant: 0 NO BID Page 1 of 1 CH2M Engineers, Inc. 6600 Peachtree Dunwoody Road Embassy Row 400, Bldg. 400 STE 600 Atlanta, GA 30328 WK Dickson & Co., Inc. 1450 Greene Street, Suite 225 Augusta, GA 30901 A. Package submitted by the deadline Pass/Fail PASS PASS B. Package is complete (includes requested information as required per this solicitation)Pass/Fail PASS PASS C. Overall Quality of RFP (concise and to-the-point) 50 50 50 1. Technical Approach 100 100 97.5 2. Financial Responsibility 100 100 100 3. Project Management 95 92.5 85 4. Key Personnel & Staff 90 90 77.5 5. Organizational Qualifications 75 75 65 6. Optional Interview (Potential Bonus Points)10 D. TOTAL 470 457.5 425 1 . Approach, Understanding, and Capabilities 120 115 102.5 2. Quality Control, Quality Assurance, and Scheduling 80 80 72.5 Total 200 195 175 Within Richmond County 10 10 Within CSRA 8 Within Georgia 6 6 Within SE United States (includes AL, TN, NC, SC, FL) 4  All Others 2 TOTAL 10 6 10 Lowest Fees 10 10 Second 8 8 Third 6 Forth 4 Fifth 2 TOTAL 10 10 8 H. References 10 0 0 Total 750 718.5 668 Note: Respondent/Offeror(s) receiving 600 or more points will be invited to do presentations to provide Submittal and Quality of RFP D. Narrative E. Scope of Services G. Proximity to Area Quality of RFP Procurement DepartmentRepresentative:___________Nancv Williams______________________ Evaluator: Cumulative Date: 9/13/17 Procurement Department Completion Date: 9/13/17 Internal Use Only Evaluation Sheet Item RFP #17-207 Strategic Asset Management Planning - Augusta, GA - Utilites Department Evaluation Meeting: Wednesday, September 13, 2017 @ 9:00 a.m. Vendors Total (Total Possible Score 750) Second Round Elimination (Total Points 50) (MUST ACHIEVE 35 POINTS FOR CONTINUED CONSIDERATION) (MUST PASS FOR CONTINUED CONSIDERATION) RANKING - First Round Elimination Proximity to Area (Total Points 10) F. Proximity to Area Scope of Services (Total Points 200) Proposer’s Overall Ability to Provide the Services (Total Points 470) Cost/Fee Consideration Reference(s) (Total Points 10 Dewberry Engineers, Inc. 2835 Brandywine Road, Suite 100 Atlanta, GA 30341 CH2M Hill Engineers, Inc. 1000 Abernathy Road, Suite 1600 Atlanta, GA 30328 RETURNED MAIL W.K. Dickson & Co., Inc. 1450 Greene Street, Suite 225 Augusta, GA 30901 KELLI IRVING COMPLIANCE DEPT STEVEN BEHREND UTILITIES TOM WIEDMEIER UTILITIES RFP ITEM# 17-207 Strategic Asset Management Planning For Augusta, GA Utilities Department RFP Due: Tues 8/1/2017 @ 11:00 a.m. RFP ITEM# 17-207 Strategic Asset Management Planning For Augusta, GA Utilities Department RFP Mailed: Friday 7/7/2017 Commission Meeting Agenda 2/20/2018 2:00 PM Affidavit Department: Department: Caption:Motion to approve execution by the Mayor of the affidavit of compliance with Georgia's Open Meeting Act. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Cover Memo