Loading...
HomeMy WebLinkAboutDBE PROGRAM FOR DOT ASSISTED CONTRACTS YR 2012Disadvantaged Business Enterprise Program For DOT Assisted Contracts Augusta, Georgia Fiscal Year 2012 Department of Transportation DBE Program — 49 CFR Part 26 Page 1 of 36 Version 3 -26 -2012 () "' AUGUSTA, GEORGIA DEPARTMENT OF TRANSPORTATION DBE PROGRAM — 49 CFR PART 26 POLICY STATEMENT A Section 26.1, 26.23 Objectives /Policy Statement Augusta, Georgia has established a Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of the U.S. Department of Transportation, (DOT), 49 CFR Part 26. Augusta, Georgia has received 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. Augusta, Georgia is committed to ensuring that all DBE requirements of Federal and state funded contracts will be implemented by Augusta, Georgia. The Director of EEO /minority and small business .opportunities shall serve as the DBE Liaison Officer and is responsible for accomplishing the objectives of this program. It is the policy of Augusta, Georgia to ensure that Disadvantaged Business Enterprises (DBEs), as defined in 49 CFR Part 26, have an equal opportunity to receive and participate in DOT - assisted contracts. It is also Augusta, Georgia's policy to: (a) To ensure nondiscrimination in the award and administration of DOT and other contracts covered by this program; (b) To create a level playing field on which DBEs can compete fairly for DOT and other contracts covered by this program; (c) To ensure that the this DBE program is narrowly tailored in accordance with applicable law; (d) To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs; Page 2 of 36 Version 3 -26 -2012 3(4/1 (e) To help remove barriers to the participation of DBEs in DOT and other contracts covered by this program; (f) To assist in the development of firms that can compete successfully in the marketplace outside the DBE program; and (g) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs. The DBE Liaison Officer 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 Department of Transportation. Augusta, Georgia has disseminated this policy statement to the Board of Commissioners and all of the components of its organization. We have distributed this statement to DBE and non -DBE business communities that perform work for Augusta, Georgia on DOT - assisted contracts, and has implemented the DBE Program with the same priority with which it complies with other legal obligations imposed by DOT. Augusta, Georgia has communicated with DBE and non -DBE businesses via its website to let them know that a copy of this document is available for viewing. Additionally, this document is available to anyone at the DBE Program office located at 530 Greene Street, Suite 305, Augusta, Georgia 30901 during normal business hours of 8:30am - 5:00pm. DEICE COPEN AVER, MAYOR Page 3 of 36 Version 3 -26 -2012 DATE SUBPART A — GENERAL REQUIREMENTS SECTION 26.1 OBJECTIVES The objectives are found in the Policy Statement on the first page of this program. SECTION 26.3 APPLICABILITY Augusta, Georgia is the recipient of federal transit funds authorized by Titles I, III, V, and VI of ISTEA, Pub. L. 102 -240 or by Federal transit laws in Title 49, U.S. Code, or Titles I, II, and V of the Teas -21, Pub. L. 105 -178. SECTION 26.5 DEFINITIONS Augusta, Georgia adopts the definitions contained in 49 CFR Part 26 for this program. LIMITATIONS. This DBE program is only for DOT assisted contracts and other federal or state funded contracts having mandatory DBE requirements. All DOT funded projects are subject to the requirements of 49 CFR Part 26. These requirements are mandatory and non - negotiable. Augusta enforces DBE requirements and/or DBE goals set by Federal and/or State Agencies in accordance with State and Federal laws. The U.S. District Court for the Southern District of Georgia has entered an Order enjoining the Race -Based portion of Augusta, Georgia's DBE Program. (A copy of this Order may be obtained at: HTTP: //WWW.AUGUSTAGA.GOV /INDEX.ASPX ?NID = 1448). Thus, Augusta, Georgia does not have or operate a Disadvantaged Business Enterprise (DBE), Minority Business Enterprise (MBE) or Women owned Business Enterprise (WBE) program for projects (or portions of projects) having Augusta, Georgia as the source of funding. SECTION 26.7 NON - DISCRIMINATION REQUIREMENTS Augusta, Georgia will not exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin. Page 4 of 36 Version 3 -26 -2012 In administering this 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. SECTION 26.11 RECORD KEEPING REQUIREMENTS (a) Reporting to DOT: 26.11(b) Augusta, Georgia will semi - annually submit to DOT the Uniform Report of DBE Awards or Commitments and Payment Form, as modified. This report is due to December 1 and June 1 each year. (b) Bidders List: 26.11(c) Augusta, Georgia will create and maintain a bidder's list, consisting of information about all DBE and non -DBE firms that bid or quote on federally assisted contracts. The purpose of this requirement is to allow use of the bidder's list approach to calculating overall goals. The bidder's list will include the name, address, DBE /non -DBE status, age, and annual gross receipts of firms. Augusta, Georgia will collect this information in the following ways: (1) Including a contract clause in all DOT assisted contracts covered by this program, requiring prime bidders to report the name, address, DBE /non -DBE status and gross receipts of all firms who quote to them on subcontracts. (2) Submitting a recipient- directed survey of a statistically sound sample of firms in the Augusta, Georgia regional area. (3) Including a notice in solicitations and on the Augusta, Georgia website requesting that firms quoting on subcontracts submit their name, address, DBE /non -DBE status and gross receipts directly to the DBE Liaison Officer. SECTION 26.13 FEDERAL FINANCIAL ASSISTANCE AGREEMENT Page 5 of 36 Version 3 -26 -2012 Augusta, Georgia has signed the following assurances, applicable to all DOT - assisted contracts and their administration: (a) Assurance: 49 CFR Part 26.13(a) 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 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 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.). This language must appear in financial assistance agreements with sub - recipients. (b) Contract Assurance: 49 CFR Part 26.13(b) Augusta, Georgia will ensure that the following clause is placed in every DOT - assisted contract and subcontract: The contractor, sub - recipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract or in the administration of its DBE program or the requirements of 49 CFR part 26. 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 SECTION 26.21 DBE PROGRAM UPDATES Page 6 of 36 Version 3 -26 -2012 Augusta, Georgia is an FTA recipient receiving planning capital, and or operating assistance and anticipates awarding prime contracts (excluding vehicle purchases) exceeding $250,000 or more 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. SECTION 26.23 POLICY STATEMENT The signed and dated policy statement is located on page one, herein above. SECTION 26.25 DBE LIAISON OFFICER (DBELO) The Chief Executive Officer concerning DBE Program matters for Augusta, Georgia shall be the Mayor of Augusta, Georgia. Augusta shall have a DBE Liaison Officer (DBELO) who shall have direct, independent access to the Mayor concerning DBE Program matters. In that capacity, the DBE Liaison Officer is responsible for implementing all aspects of the DBE program and ensuring that Augusta, Georgia complies with all provisions of 49 CFR Part 26. The DBE Program office is located at 530 Greene Street, Suite 305, Augusta, Georgia 30901; inquiries regarding this program should be directed to Yvonne Gentry at (706) 821 -2406, or via email at ygentry @augustaga.gov. An organization chart displaying the DBE Liaison Officer's position in the organization is found in Attachment 1, attached hereto and incorporated herein by reference. The DBE Liaison Officer is responsible for developing, implementing and monitoring the program, in coordination with other appropriate officials. The duties and responsibilities include the following: (a) Outreach and Education (1) Providing outreach to DBEs and community organizations to advise them of opportunities; (2) Providing DBEs with information and assistance; (3) Planning and participating in DBE training seminars; and (4) Providing assistance to DBEs in overcoming barriers in the procurement process such as inability to obtain financing or technical assistance. Page 7 of 36 Version 3 -26 -2012 (b) Contract and Procurement Activities (1) Providing information to DBE firms about Augusta, Georgia Transit, its function, and the full range of its contractual needs; (2) Providing DBE firms with information on future procurement and contracting schedules; (3) Ensuring that transit contract manager provides sufficient lead time for advertisement of all invitations for bids on contracts covered by this program so that all firms have reasonable time to develop a complete bid package or proposal and secure necessary assistance; (4) Ensuring that transit contract manager place bid notices in newspapers, especially publications which are circulated through the DBE community; (5) Providing instructions about contract performance requirements; (6) Notifying certified DBEs of informal bid solicitations for contracts within their areas of qualification to ensure a full and fair opportunity to participate in such contracts; and (7) Providing DBEs and DBE organizations with lists of contractors who are expected to be interested in bidding on a contract. (c) Goal Setting (1) Ensure that overall annual goals are set in accordance with this program; and (2) Analyzing contracts and procurements so that DBE goals are included in appropriate solicitations in accordance with the requirements of this program. (d) Monitoring and Compliance (1) Reviewing third party contracts and purchase requisitions for compliance with this DBE program; Page 8 of 36 Version 3 -26 -2012 (2) Compiling and reporting statistical data and other information as required by DOT; and (3) Collecting prime, subcontractor and supplier data as required by DOT; (4) Advising the Commission on DBE matters and achievement; and (5) Maintaining the DBE bidder's list for DOT and other contracts covered by this program. SECTION 26.27 DBE FINANCIAL INSTITUTIONS 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. Augusta, Georgia will provide prime contractors and sub- contractors with contact information for all DOT — assisted contracts. We will encourage prime contractors on DOT — assisted contract to make use of these institutions. Information of such institution is provided as requested. We have made the following efforts to identify and use such institutions: To date we have identified the following such institutions: Capital City 1268 Broad Street Augusta, GA 30901 (706) 432 -0024 This financial institution is a community full service bank. The institution has partner with the CSRA Business League to provide additional service to the small business community. Information on the availability of such institutions can be obtained from the DBE Program officer at (706) 821 -2406 by (706) 821 -4228 fax. SECTION 26.29 PROMPT PAYMENT MECHANISMS (a) Augusta, Georgia will include the following clause in each FTA— assisted prime contract: Page 9 of 36 Version 3 -26 -2012 The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contract receives from Augusta. The prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractors work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of Augusta, Georgia. This clause applies to both DBE and non -DBE subcontracts. (b) Augusta, Georgia will ensure prompt and full payment of retainage from the prime contractor to the subcontractor within thirty (30) days after the subcontractor's work is satisfactorily completed by using one or more of the following methods: (1) Declining to hold retainage from prime contractors and prohibiting prime contractors from holding retainage from subcontractors. (2) Declining to hold retainage from prime contractors and requiring a contract clause obligating prime contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within thirty (30) days after the subcontractor's work is satisfactorily completed. (3) (4) Requiring 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. (5) Holding retainage from prime contractors and providing 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 thirty (30) days after Augusta, Georgia's payment to the prime contractor. Requiring a contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors unless and Page 10 of 36 Version 3 -26 -2012 until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed. (c) Augusta, Georgia shall have the power and authority to enforce all of the provisions of this subsection and may implement suspension and debarment for non - compliance as provided in Chapter 10 of the AUGUSTA, GEORGIA CODE. SECTION 26.31 DIRECTORY Augusta, Georgia is a member of the State of Georgia's Unified Certification Program (UCP) and adopts UCP's directory identifying all firms eligible to participate as DBEs. The Georgia Department of Transportation administers the program. 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. NAICS codes for this directory are being provided by Georgia DOT. Augusta will list each type of work for which a firm is eligible to be certified by using the most specific NAICS codes available to describe each type of work. The Directory is updated at least monthly by Georgia DOT. The Directory can be obtained from the following website: http: / /tomcat2. dot. state. ga. us /ContractsAdministration /uploads /01201 LetDBE_Dir ectory_CA_New.pdf. SECTION 26.33 OVERCONCENTRATION At this time, Augusta, Georgia has not identified that overconcentration exists in certain types of work that DBEs perform in Augusta, Georgia. (a) The DBE Liaison Officer shall annually review the availability of DBE and non -DBE firms in the different types of work which Augusta, Georgia utilizes and make a preliminary determination as to whether DBE firms may be so overconcentrated in a certain type of work as to unduly burden the opportunity of non —DBE firms to participate in one or more types of work. Any preliminary determination by the DBE Liaison Officer shall be submitted to the concerned DOT operating administration for a final determination of overconcentration. (b) Subject to approval required in subsection (c) below, when an overconcentration of DBE firms in a certain type of work is determined to exist, the DBE Liaison Officer may provide: technical assistance, business Page 11 of 36 Version 3 -26 -2012 development programs, mentor - protege programs, and other appropriate measures designed to assist DBEs in performing work outside of the specific field in which there is an overconcentration of DBE firms. (c) Before implementing any of the measures provided in subsection (b) above, the DBE Liaison Officer shall obtain the approval of the concerned DOT operating administration. SECTION 26.35 BUSINESS DEVELOPMENT PROGRAMS Augusta, Georgia has not established a business development program at this time. SECTION 26.37 MONITORING AND ENFORCEMENT MECHANISMS Augusta, Georgia will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26. (a) Augusta, Georgia will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 49 CFR Part 26. (b) Augusta, Georgia will consider similar action to the extent permitted by applicable law, including making responsibility determination in future contracts and solicitations. The DBE Liaison Officer and appropriate staff will make prompt compliance determinations regarding contractors. Documentation of non - compliance will include the specific areas in which the contractor failed to comply. In these instances, appropriate action, consistent with the DBE Program and contract provision will be taken. (c) 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 direct observation. Along with written certification in conjunction with monitoring of contract performance (i.e. DBE pay application and certification). (d) The DBE Liaison Officer shall, for every project subject to the DBE Program, keep and maintain a running tally of actual DBE attainments (i.e. Page 12 of 36 Version 3 -26 -2012 payments actually made to subcontractors), including a means of comparing these attainments to commitments. SECTION 26.39 FOSTERING SMALL BUSINESS PARTICIPATION (a) Augusta, Georgia hereby implements a small business element into its current DBE policy in accordance with 49 CFR Part 26.39. Augusta, Georgia is including this element to facilitate competition by and expand opportunities for small businesses. (b) Augusta, Georgia is committed to taking all reasonable steps to eliminate obstacles to small businesses that may preclude their participation in procurements as prime contractors or subcontractors. Augusta, Georgia will meet its objectives using a combination of its Local Small Business Opportunity Program as well as the following methods and strategies: (1) Unbundling: Augusta, Georgia, where feasible, may "unbundle" projects or separate large contracts into smaller contracts which may be more suitable for small business participation. (2) Augusta, Georgia will conduct contract reviews on each DOT - assisted contract to determine whether portions of the project could be "unbundled" or bid separately. This determination will be made by the DBE Liaison Officer in consultation with the Transit Contract Manager and the Director of Procurement based on the estimated availability of small business able to provide specific scopes of work. The DBE Liaison Officer will consider any economic or administrative burdens which may be associated with unbundling. (3) Outreach and technical assistance: Augusta, Georgia sponsors and participates in outreach and training opportunities for small businesses through various partnerships. Augusta, Georgia participates in business outreach sessions conducted by local municipalities and non- profit agencies which are designed to introduce small businesses to the procurement processes and practices. Additionally, Augusta, Georgia advertises contracting opportunities through various outlets including local newspapers, local publications and trade magazines as well as on its website. Page 13 of 36 Version 3 -26 -2012 (4) Requiring project specific small business goals on projects $100,000 and above. (5) ( (b) Definitions: (1) Requiring prime contractors to have an affirmative obligation to meet or exceed the small business goal for projects having such goals and to provide evidence of good faith efforts to meet such goals. (6) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses can reasonably perform. Identifying alternative accusation 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. Small Business: Small businesses must meet the definitions specified in Section 3 of the Small Business Act and the Small Business Administration (SBA) regulations implementing it (13 CFR Part 121). A small business is a business that is independently owned and operated, is organized for profit, and is not dominant in its field. Depending on the industry, size standard eligibility is based on the average number of employees for the preceding twelve months or on sales volume averaged over a three- year period. (2) Disadvantaged Business Enterprise: For profit small business (as defined by the Small Business Administration). -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; - Whose socially and economically disadvantaged owners do not exceed the personal net worth (PNW) as described in 49 CFR Part 26. The current PNW cap is $1.32 million. - Whose average annual gross receipts, as defined by SBA regulations over the firm's previous three fiscal years is less than $22.41 million; Page 14 of 36 Version 3 -26 -2012 - Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it; and - Has been certified as a DBE by the Georgia Department of Transportation (GDOT) in accordance with 49 CFR Part 26. For the purposes of the small business element of Augusta Georgia's DBE Program, small businesses which are also owned and controlled by socially disadvantaged individuals will be encouraged to seek DBE certification. Only DBE certified firms will be counted towards DBE participation on FTA —assisted contracts. (c) Certification and Verification Procedures. Augusta, Georgia will accept the following certifications for participation in the small business element of Augusta, Georgia's DBE Program with applicable stipulations: (1) Georgia Department of Transportation DBE Certification — DBE Certification by the Department of Transit which stipulates that a firm has been determined to meet all the requirements in accordance with 49 CFR Part 26. All certification determinations are evidenced by a letter of DBE certification issued by GDOT. (2) Small Business Enterprise (SBE) Certification — Requires submittal of three years of business tax returns. (3) Georgia Department of Administration HUB Certification — Requires submittal of three years of business tax returns. (4) SBA 8(a) Business Development Certification (as described in 13 CFR Parts 121 and 124) — will require submittal of three years of business tax returns. (d) Implementation Schedule. Augusta, Georgia will implement the Small Business Participation element of this DBE Program within three months of DOT's approval of this element. (e) Assurances. Augusta, Georgia makes the following assurances: Page 15 of 36 Version 3 -26 -2012 (1) The DBE Program, including its small business element is not prohibited by state law; (2) Certified DBEs that meet the size criteria established under the DBE Program are presumptively eligible to participate in the small business element of the DBE Program; (3) There are no geographic or local preferences or limitations imposed on FTA — assisted contracts and DBE Program is open to small businesses regardless of their location; (4) There are no limits on the number of contracts awarded to firms participating in the DBE Program; (5) Reasonable effort will be made to avoid creating barriers to the use of new, emerging, or untried businesses; and (6) Aggressive steps will be taken to encourage those minority and women owned firms participating in the small business element of the DBE Program that are eligible for DBE certification to become certified. SUBPART C — GOALS, GOOD FAITH EFFORTS, AND COUNTING SECTION 26.43 SET - ASIDES OR QUOTAS Augusta, Georgia does not use quotas in any way in the administration of this DBE Program. Unless otherwise authorized by law, Augusta, Georgia will not use race or gender- conscious set -aside contracts for DBEs on DOT - assisted contracts and other contracts covered by this program. SECTION 26.45 OVERALL GOALS (a) A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachment 2 to this program. (b) In accordance with 49 CFR 26.45(f) Augusta, Georgia will, at three year intervals, submit its overall goal to DOT on August 1. Known minority, Page 16 of 36 Version 3 -26 -2012 women's, and general contractors groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non - disadvantaged businesses will be consulted with during the development of the DBE and non -DBE business community goals to obtain information concerning the availability of disadvantaged and non - disadvantaged businesses, the effects of discrimination of DBEs and Augusta, Georgia's efforts to establish a level playing field for the participation of DBE's. 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 the DBE Liaison office for thirty days following the date of the notice, and informing the public that Augusta, Georgia and DOT will accept comments on the goals for forty -five days from the date of the notice. The notice will include an address to which comments may be sent and where the proposal may be reviewed. This notice will be published in the Augusta Chronicle, HOLA Augusta, the Metro Courier and any other appropriate publication. Augusta, Georgia's overall goal submission to DOT will include a summary of information and comments received during this public participation process and our responses. Augusta, Georgia will begin using it's overall goal on October 1 of each year, unless otherwise instructed by DOT. If Augusta, Georgia establishes a goal for a DOT assisted contract on an individual project basis, it will apply that goal to the project by the time of the first solicitation for the project. SECTION 26.47 ANALYSIS OF GOAL ATTAINMENT; TAKING CORRECTIVE ACTION. At the end of each fiscal year, Augusta, Georgia will assess whether the overall goals for that year have been met and if awards and commitments shown on the 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, Augusta, Georgia will: (1) Analyze in detail the reasons for the difference between the overall goal and the awards and commitments in that fiscal year; (2) Establish specific steps and milestones to correct the problems identified in the analysis, which allow Augusta, Georgia to fully meet goal for the new fiscal year; Page 17 of 36 Version 3 -26 -2012 (3) Augusta, Georgia will retain analysis and corrective actions in our records for three years and make it available to FTA on request for their review. SECTION 26.49 TRANSIT VEHICLE MANUFACTURERS GOALS Augusta, Georgia will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA - assisted transit vehicle procurements, to certify that it has complied with the requirements of this section. Alternatively, 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 transit vehicle manufacturer (TVM) complying with this element of the program. SECTION 26.51(A - C) MEETING PROGRAM GOALS (a) The breakout of estimated race - neutral and race - conscious participation can be found in Attachment 3 to this program. This section of the program will be updated annually when the goal calculation is updated. Augusta, Georgia will meet the maximum feasible portion of its overall annual goal by using race - neutral means for facilitating DBE participation. Augusta, Georgia uses race - neutral means to increase DBE participation. Some examples are: (1) Arrange solicitations, pre -bid meeting times, bid opening times, etc. in ways that accommodate DBE and other small business owners' schedules. (2) Advertise in local and regional plan rooms for large dollar and construction projects. (3) Ensure adequate distribution of DBE directory. (4) Provide procurement assistance to all potential bidders as needed. (5) Provide DBE directory or directory web site to all potential bidders (e.g., contractors). (6) Attend all pre -bid, pre - solicitation meeting to assist potential bidders with DBE guidance. Page 18 of 36 Version 3 -26 -2012 (b) Augusta, Georgia will adjust the estimated breakout of race - neutral and race - conscious participation as needed to reflect actual DBE participation (see CFR § 26.51(f)), and Augusta, Georgia will track and report race - neutral and race - conscious participation separately. For reporting purposes, race - neutral DBE participation includes, but is not necessarily limited to, the following: • DBE participation through a prime contract a DBE obtains through customary competitive procurement procedures; • DBE participation through a subcontract on a prime contract that does not carry a DBE goal; • DBE participation on a prime contract exceeding a contract goal; and • DBE participation through a subcontract from a prime contractor that did not consider a firm's DBE status in making the award. SECTION 26.51(D - G) CONTRACT GOALS (a) Augusta, Georgia will use contract goals to meet any portion of the overall annual goal that it does not project being able to meet using race - neutral means. (b) Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the overall goal that is not projected to be met through the use of race - neutral means. Augusta, Georgia will establish contract goals only on DOT assisted contracts that have subcontracting possibilities. (c) Augusta, Georgia need not establish a contract goal on every such contract, and the size of any 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, etc.). (d) Augusta, Georgia will express our contract goals as a percentage of the total amount of a DOT— assisted contract. SECTION 26.53 (A & C) GOOD FAITH EFFORTS PROCEDURES (a) Demonstration of good faith efforts (CFR Part 26.53(a) & (c)). Page 19 of 36 Version 3 -26 -2012 (1) When a DBE contract goal is established, the obligation of the bidder /offeror is to make good faith efforts to meet that goal. The bidder /offeror can demonstrate that it has done so either by meeting the contract goal or documenting its good faith efforts. (2) A committee will be responsible for making the initial determination of whether a bidder /offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as the lowest and best bid. The committee is comprised of the DBE Liaison Officer, the Procurement Department Director and the Transit Contract Manager (Transit Department). (3) All bidders will be required to agree, by the submission of a bid for work on a project for which a contract is to be awarded by the Commission, to ensure that they will not discriminate against DBEs in assembling bid responses, and that where there are contract goals, that they will either present a bid that meets the goal, or provide documentation of the good faith efforts made to meet the goal. Failure to make good faith efforts and to adequately document such efforts to Augusta, Georgia will be grounds for disqualifying a bid as non - responsive, pending the outcome of the administrative reconsideration process. (4) Bidders shall not discriminate on the basis of race, color, national origin or gender in the award and performance of contracts. Augusta, Georgia will ensure that all information is complete, accurate and adequately documents the bidder's good faith efforts before it commits to the award of the contract. SECTION 26.53(B) INFORMATION TO BE SUBMITTED WHEN A CONTRACT GOAL HAS BEEN ESTABLISHED (a) Augusta, Georgia treats bidder /offers' compliance with good faith efforts requirements as one of the factors to be considered when selecting the lowest and best bid. Each solicitation for which a contract goal has been established will require the bidders /offerors to submit the following information: Page 20 of 36 Version 3 -26 -2012 (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 a 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 contractor's commitment; and (6) If the contract goal is not met, evidence of good faith efforts. (b) The following criteria will be considered and will be addressed point by point in assessing the bidder's good faith efforts submission: (1) Whether the bidder attended any pre - solicitation or pre -bid meetings that were scheduled by Augusta, Georgia to inform DBEs of contracting and subcontracting opportunities and informed DBEs of contracting and subcontracting opportunities; (2) Whether the bidder advertised in general circulation, trade association, and minority- focused media concerning subcontracting opportunities; (3) Whether the bidder provided timely written notice to a reasonable number of specific DBEs that their interest in the contract was being solicited; such notice shall include sufficient information about the project and work to be subcontracted to allow the DBE to make an informed response; (4) Whether the bidder followed up initial solicitations of interest by personal or telephone contact to DBEs to determine with certainty whether or not the DBEs were interested; Page 21 of 36 Version 3 -26 -2012 (5) (6) Whether the bidder provided interested DBEs with adequate information about the plans, specifications and requirements of the contract; ( (9) Whether the bidder selected portions of the work to be performed by DBEs in order to increase the likelihood of DBE participation (including, where, appropriate, breaking down contracts into economically feasible units to facilitate DBE participation); Whether the bidder negotiated in good faith with interested DBEs, not rejecting DBEs as unqualified without sound reasons based on a thorough investigation of their capabilities; (8) Whether the bidder made efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance required by Augusta, Georgia or the bidder; Whether the bidder effectively used the services of available minority community organizations; minority bidders' groups; local, state, and federal minority business assistance offices; and other organizations that provide assistance in the recruitment and replacement of DBEs; and (10) The bidder's record for subcontracting with DBEs on prior contracts, as well as, its utilization in its bid of subcontractors and suppliers who would qualify as DBEs. SECTION 26.53(D) ADMINISTRATIVE RECONSIDERATION (a) Within five days of being informed by Augusta, Georgia that it is not responsive because it has not documented sufficient good faith efforts, a bidder /offeror may request administrative reconsideration. Bidder /offerors should make this request in writing to the following Reconsideration Official: Page 22 of 36 Version 3 -26 -2012 Fred Russell, Administrator of Augusta, Georgia 530 Greene Street, Room 801 Augusta, Georgia 30901 (706) 821 -2400 (b) The Reconsideration Official will not have played any role in the original determination that the bidder /offeror did not document sufficient good faith efforts. (c) 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 so. The Reconsideration Official will send the bidder /offeror a written decision on the reconsideration, explaining the basis for the decision. The result of the reconsideration process is not administratively appealable to the Department of Transportation. SECTION 26.53(F) GOOD FAITH EFFORTS WHEN A DBE IS REPLACED (a) Augusta, Georgia will require a contractor to make good faith efforts to replace a DBE that is terminated or has otherwise failed to complete its work on a contract with another certified DBE, to the extent needed to meet the contract goal. 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. (b) 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 Page 23 of 36 Version 3 -26 -2012 established for this contract. The bidder /offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (Attachment 1), to meet the contract goal for DBE participation in the performance of this contract. The bidder /offeror will be required to submit the following information: (1) the names and addresses of DBE firms that will participate in the contract; (2) a description of the work that each DBE firm will perform; (3) the dollar amount of the participation of each DBE firm participating; (4) Written documentation of the bidder /offeror's commitment to use a DBE subcontractor whose participation it submits to meet the contract goal; (5) Written confirmation from the DBE that it is participating in the contract as provided in the commitment made under (4); and (5) if the contract goal is not met, evidence of good faith efforts. In this situation, the prime contractor must obtain Augusta, Georgia's 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 may stop all or part of payment /work until satisfactory action has been taken. If the contractor still fails to comply, Augusta, Georgia may terminate for default. SECTION 26.55 COUNTING DBE PARTICIPATION Augusta, Georgia will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. SUBPART D — CERTIFICATION STANDARDS SECTION 26.61 -26.73 CERTIFICATION PROCESS For information about certification process or to apply for certification, firm should contact: Georgia Department of Transportation, No. 2 Capitol Square, N.W., Atlanta, GA 30334 -1002, phone (404) 656 -5323, or by fax (404) 656 -5509. SUBPART E — CERTIFICATION PROCEDURES SECTION 26.81 UNIFIED CERTIFICATION PROGRAMS. Page 24 of 36 Version 3 -26 -2012 Augusta, Georgia is a member of a Unified Certification Program (UCP) administered by the Georgia Department of Transportation (GDOT). GDOT in collaboration with Metropolitan Atlanta Rapid Transit Commission (MARTA) are the only agencies within the state which certifies DBE firms. GDOT may certify any firm doing business in the State of Georgia with the exception of any firm whose primary line of work falls under the concessionaire category. Firms whose primary place of business is outside the State of Georgia can be certified provided that the firm has previously obtained DBE certification from its home state UCP. The UCP will meet all of the requirements of this section. SECTION 26.83 - 26.89 PROCEDURES FOR CERTIFICATION DECISION Augusta, Georgia is a member of a Unified Certification Program (UCP) administered by the Georgia Department of Transportation (GDOT). The UCP will meet all of the requirements of this section. SUBPART F — COMPLIANCE AND ENFORCEMENT SECTION 26.109 INFORMATION, CONFIDENTIALITY, COOPERATION. Page 25 of 36 Version 3 -26 -2012 (a) Augusta, Georgia will safeguard from disclosure to third parties, information that meets the requirements of confidential business information, as established by applicable Federal, state, and local law. (b) Notwithstanding any contrary provision of state or local law, financial information which is submitted by an applicant for DBE certification will be kept confidential by Augusta, Georgia and will not be released to any third party except upon written consent by the party whom the information pertains; or to transmit information to DOT in the event of an appeal. In accordance with applicable provisions of Federal, 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. (c) 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 will also extend to any certified DBE subcontractor. (d) 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 states in the schedule of DBE participation. SEVERABILITY Should any section, paragraph, subdivision, clause, phrase, or provision of this program be adjudged invalid or held unconstitutional by a court of competent jurisdiction, such declaration shall not affect the validity of this program as a whole or any part or provisions thereof, other than the part so decided to be invalid or unconstitutional. ATTACHMENTS Attachment 1 Attachment 2 Attachment 3 Organizational Chart Overall Goal Calculations Breakout of Estimated Race - Neutral & Race Conscious Participation Page 26 of 36 Version 3 -26 -2012 Administrative Assistant Organizational Chart Augusta, Georgia EEO Director & Director of Minority & Small Business [DBE Liaison Officer] EEO Coordinator 1 Attachment 1 Admin Assistant J Mayor Commissioners DBE Coordinator Page 27 of 36 Version 3 -26 -2012 Administrator N Deputy Director Transit Contract Manager Transit General Manager SECTION 26.45: OVERALL GOAL CALCULATION (a) Amount of Goal Attachment 2 This report details the methodology used for establishing the three year (FY 2012- 2014) Overall Disadvantaged Business Enterprise (DBE) Goal for Augusta, Georgia federally assisted contracts. Augusta, Georgia has completed its DBE goal setting process for all construction and professional services projects anticipated for the next three fiscal years (FY 2012- 2014). Pursuant to 49 CFR Part 26, the three year (FY 2012 -2014) goal is based on the Augusta, Georgia's assessment of the availability of ready, willing and able DBEs in the local market area relative to all businesses (DBE and Non - DBE) in the local market area. Augusta, Georgia is required to review its DBE goal achievement annually even though the US Department of Transportation recently changed its required reporting frequency from annually to once every three years. Augusta, Georgia's annual review determines whether or not the stated DBE goal is currently being met. If not, an adjustment may be necessary due to unanticipated conditions impacting the DBE goal's attainment. (b) Methodology used to Calculate Overall Goal 49 CFR 26.45 requires that the recipient of Department of Transportation (DOT) funds utilize a two -step process in the development of its overall DBE goal: Step 1: Calculation of a base figure that represents the availability of DBEs ready, willing, and able to work on Augusta, Georgia contracts. Step 2: Adjustment of the base figure so that the final overall goal represents the amount of participation Augusta, Georgia might expect in the absence of discrimination or its effects. Page 28 of 36 Version 3 -26 -2012 Based on this methodology, Augusta Georgia's Overall Goal for the next three fiscal years (FY 2012 -2014) is for 4.83% of its Federal financial assistance to be expended in FTA - assisted contracts. Augusta, Georgia anticipates awarding these contracts between October 1, 2011 and September 30, 2014. Step 1: Calculation of Base Figure Determining a base figure for the Augusta, Georgia's three year goal, per 49 CFR 26.45(c) depends upon the relative availability of DBEs within the market area to perform work on Augusta, Georgia's Capital Improvement Program (CIP) Projects. A listing of Augusta, Georgia's CIP Projects for the next three fiscal years is shown in Table 1. Augusta, Georgia's relevant market area includes Augusta Richmond County and surrounding counties. The base figure for the relative availability of DBEs in Augusta, Georgia's relevant market area was calculated as follows: Ready, willing, and able DBEs (construction and professional services); Divided By All firms ready, willing and able (construction and professional services). The demonstrable evidence used to determine the numerator, as detailed in Table 2 is the Georgia Unified Certification Program (GUCP) DBE Directory. The demonstrable evidence used to determine the denominator, as detailed in Table 2 is the Richmond County general vendor list, U.S. Census Bureau. A list outlining the required types of services for the above stated projects and the related NAICS Codes is also included in Table 2. TABLE 1 Augusta, Georgia's 3 -Year (FY 2012 -2014) Proposed Capital Improvement Program (CIP) Projects Project Descriptions Page 29 of 36 Version 3 -26 -2012 1. Bus Shelters/Benches 2. South Augusta Transfer Facility 3. Administration and Maintenance Building 4. Downtown Transfer Facility Source: Augusta, Georgia's Transportation Improvement Program Page 30 of 36 Version 3 -26 -2012 NUMBER TOTAL. FIR11S NAICS IN THE CODE MARKET (denominator) 236220 OF DEFINITION AREA Commercial Construction NUMBER DBE FIRMS THE MARKET AREA (numerator) 31 OF IN 1212 237310 Highway, Street, & Bridge Construction 44 131 237990 Civil En:ineerin: Construction 9 95 238210 Electrical Contractors 26 122 238110 Concrete Foundation & Structure Contractors 16 316 238910 Site Pre • aration and Demolition 18 475 541320 Construction Plannin: 10 244 484110 Truckin: Services 132 279 541330 En:ineerin: Services 73 269 541990 Ins. ection Services 20 231 541360 Surve in: and Ma. s in: Services 5 161 541380 Testin: Laboratories 9 62 541490 Pavement Desi :n 5 142 562998 Excavation 5 568 541620 Environmental Consultin: 31 89 541611 Administrative & General Construction M:mt. 34 945 541614 Construction Schedulin: 8 231 541690 Scientific & Technical Consulting 18 62 Services TOTALS 273 3004 TABLE 2 Ready, Willing and Able DBEs and All Firms in Market Area for FY 2012 -2014 CIP Projects Page 31 of 36 Version 3 -26 -2012 Augusta, Georgia determined the base figure as follows: The total number of DBE firms in the market area that are "ready, willing, and able" to perform the required work in the applicable NAICS Codes for Augusta, Georgia's CIP Projects for FY 2012 -2014 is 509. The total number of all DBE and non -DBE firms in the market area that are "ready, willing, and able" to perform the required work, is 3,004 firms. Thus: DBE firms _ (DBE + non -DBE firms) = Base Figure 223 _ 3004 = 7.42% (rounded) Therefore, the base figure for the Augusta, Georgia's anticipated DBE participation is 7.42 %. Step 2: Adjustment of Base Figure TABLE 3 49 CFR 26.45(d) requires that additional evidence, if available in Augusta, Georgia's jurisdiction, be considered to determine if any base figure adjustment is necessary to arrive at the overall goal. However, the regulations do not indicate a specific base figure adjustment methodology, but they suggest consideration of the following factors: current capacity of DBEs measured by the volume of past work; evidence from a disparity study not included in the calculation of the base figure; data on employment, self - employment, education, training, and union apprenticeship; ability of DBEs to get bonding and financing; and, any other relevant data. Augusta, Georgia evaluated the current capacity of DBEs to perform the required work in relation to the volume of work DBEs performed in recent years. Augusta, Georgia examined its overall DBE participation during the past four (4) fiscal years (FY 2006 - 2009). Table 3 below reflects the data used to determine the base figure adjustment. Au usta, Geor. ' ia's DBE Partici ' ation for FY 2006 -2009 REPORT PERIOD DBE GOAL % TOTAL DBE% PARTICIPATION ON CLOSED PROJECTS (rounded) FY 2006 4.20 Page 32 of 36 Version 3 -26 -2012 4.11 FY 2007 1.46 FY 2008 1.90 FY 2009 1.90 Average per period 2.36 Public Participation Page 33 of 36 Version 3 -26 -2012 4.20 2.83 As detailed in Table 3, the average DBE participation rate for the periods during which there was reported DOT - funded activity is 20 %. To adjust the base figure, the 20% average percentage of historical DBE participation was averaged with the 15% base figure: (Base figure % + average DBE % participation) _ 2 = Overall DBE Goal (7.42 + 2.25) _ 2 = 4.83 (rounded) Augusta, Georgia believes that DBE capacity currently exists to perform work in our FTA - assisted contracting program at the adjusted percentage level. Therefore, Augusta, Georgia's overall DBE goal for Fiscal Years 2012 -2014 is 4.83%. Augusta, Georgia published Augusta's goal information in the following publications: Augusta Chronicle and Metro Courier We received comments from individuals or organizations: None Summaries of these comments are as follows: None Augusta's responses to these comments are: None Attachment 3 SECTION 26.51: BREAKOUT OF ESTIMATED RACE- NEUTRAL & RACE CONSCIOUS PARTICIPATION This year, Augusta, Georgia estimates that in meeting the overall proposed goal for DBE participation will be race - neutral participation. Currently, the projected projects status has not evolved to report race - neutral or race conscious percentage. In order to ensure that our DBE program will be narrowly tailored to overcome the effects of discrimination, as the year progresses, we will adjust the estimated breakout of race - neutral and race - conscious participation as needed to reflect actual DBE participation and we will track and report race - neutral and race conscious participation separately. August, Georgia uses the following, but not limited to, race - neutral means to increase DBE participation: • Arrange solicitations, pre -bid meeting times, bid opening times, etc. in ways that accommodate DBE and other small business owners' schedules. • Advertise in local and regional plan rooms for large dollar and construction projects. • Ensure adequate distribution of DBE directory. • Provide procurement assistance to all potential bidders as needed. • Provide DBE directory or directory web site to all potential bidders (e.g., contractors). • Attend all pre -bid, pre- solicitation meeting to assist potential bidders with DBE guidance. For reporting purposes, race - neutral DBE participation includes, but is not necessarily limited to the following: DBE participation through a prime contract a DBE obtains through customer competitive procurement procedures; DBE participation through a subcontract on a prime contract that does not carry a DBE goal; DBE participation on a prime contract exceeding a contract goal; and DBE participation through a subcontract from prime contractor that did not consider a firm's DBE status in making the award. For reporting purposes, race - neutral DBE participation includes, but is not necessarily limited to, the following: • DBE participation through a prime contract a DBE obtains through customary competitive procurement procedures; Page 34 of 36 Version 3 -26 -2012 • DBE participation through a subcontract on a prime contract that does not carry a DBE goal; • DBE participation on a prime contract exceeding a contract goal; and • DBE participation through a subcontract from a prime contractor that did not consider a firm's DBE status in making the award. Page 35 of 36 Version 3 -26 -2012 A t APPENDIX Resources used for this Report including the following: 1. Georgia Unified Certification Program (GUCP) DBE Directory 2. FY 2006 — FY 2009 Uniform Report of DBE Awards of Commitments and Payments (AIP DBE Accomplishments Reports) 3. FY 2010 Augusta, Georgia's 5 -Year Capital Improvement Program (CIP) Page 36 of 36 Version 3 -26 -2012