Okaloosa County BOCC — January 5, 2016 — DBE PROGRAM Jan 2016 Revisions — reading text

Subpart A – General Requirements Section 26.1, 26.23 Objectives The objectives are found in the policy statement on the first page of this program. Section 26.3 Applicability The BOCC is the recipient of federal transit funds authorized by Titles I, III, V, and VI of ISTEA (now SAFTEA-LU), 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 The BOCC will adopt the definitions contained in Section 26.5 of Part 26 for this program. Section 26.7 Non-discrimination Requirements The BOCC will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin. In administering its DBE program, the BOCC 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 Uniform Report of DBE Awards or Commitments and Payments: 26.11(a) The BOCC will report DBE participation to the relevant operating administration using the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to the DBE regulation. The deadline for submitting these reports is June 1 for the period October 1 through March 31, and December 1 for the period April 1 through September 30. Prior to these deadlines, the reports must be submitted within the TEAM-Web system and marked “Ready for Regional Review.” The Transit Coordinator and Grants Manager is responsible for accurate completion and timely submission of these reports. The Transit Coordinator and Grants Manager may receive information to assist in completing the reports from the Purchasing Director or his/her designee who works closely with the DBE community in identifying potential DBEs and alerting them of potential contracting opportunities. In the absence of the Transit Coordinator and Grants Manager, the responsibility of accurate completion and timely submission of the semi-annual DBE reports goes to the Grants Specialist. Once the reports are timely downloaded into TEAM-Web, Okaloosa County will notify the FTA Region IV Civil Rights staff via e-mail that the reports are in TEAM-Web and are ready for regional review. Bidders List: 26.11(c) The BOCC 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 bidders list approach to calculating overall goals. The bidder list will include the name, address, DBE non-DBE status, age, and annual gross receipts of firms. The BOCC will develop the bidders list based upon information obtained from the Florida Department of Transportation’s (FDOT) approved bidders list through its Unified Certification Program (UCP). Per 49 CFR Part 26.11, Federal Transit Administration grantees are to submit semi-annual “Uniform Report of DBE Commitments/Awards and Payments.” Section 26.13 Assurances The BOCC has signed the following assurances, applicable to all DOT-assisted contracts and their administration: Federal Financial Assistance Agreement Assurance: 26.13(a) The BOCC shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT assisted contract or in the administration of its DBE Program or the requirements of 49 CFR Part 26. The recipient shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT assisted contracts. The recipient’s DBE Program, as required by 49 CFR Part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the BOCC of its failure to carry out its approved program, the Department may impose sanction as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). This language will appear in financial assistance agreements with sub-recipients. Contract Assurance: 26.13b The BOCC 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. 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 Since the BOCC has received a grant of $250,000 or more in FTA planning capital, and or operating assistance in a federal fiscal year, we will continue to carry out this program until all funds from DOT financial assistance have been expended. We will provide to DOT updates representing significant changes in the program. Section 26.25 DBE Liaison Officer (DBELO) We have designated the following individual as our DBE Liaison Officer: Janet Willis Okaloosa County Board of County Commissioners 600 Transit Way Fort Walton Beach, FL 32547 850-609-7004 amcgill@co.okaloosa.fl.us In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the BOCC complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the BOCC Executive Director concerning DBE program matters. An organization chart displaying the DBELO’s position in the organization is found in Attachment A to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff member to assist in the administration of the program. The duties and responsibilities include the following: 1. Gathers and reports statistical data and other information as required by DOT. 2. Reviews third party contracts and purchase requisitions for compliance with this program. 3. Works with all departments to set overall annual goals. 4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race- neutral methods and contract specific goals attainment and identifies ways to improve progress. 6. Analyzes the BOCC’s progress toward attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the CEO/governing body on DBE matters and achievement. 9. Chairs the DBE Advisory Committee. 10. Participates in pre-bid meetings. 11. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 12. Plans and participates in DBE training seminars. 13. Certifies DBEs according to the criteria set by DOT and acts as liaison to the Uniform Certification Process in Florida. 14. Provides outreach to DBEs and community organizations to advise them of opportunities. Section 26.27 DBE Financial Institutions It is the policy of the BOCC 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. The BOCC has reviewed the United States Department of the Treasury’s list of financial institutions participating in the Minority Bank Deposit Program in Florida to determine if any of these institutions serve in the Okaloosa County BOCC area. The BOCC will also re-evaluate the availability of DBE financial institutions every three years. Section 26.29 Prompt Payment Mechanisms Prompt Payment: 26.29(a) The BOCC 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 contractor receives from the BOCC. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the BOCC. 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 the BOCC. This clause applies to both DBE and non-DBE subcontracts. Monitoring and Enforcement: 26.29(d) In compliance with 49 CFR 26.29(d) the BOCC has contractual procedures in place with general contractors to make certain timely payments to subcontractors. The BOCC shall require that all FTA funded contracts contain language that allows its DBELO/Transit Coordinator and Grants Manger to request verification of timely payments to subcontractors. The BOCC will use one of the following methods to comply with this requirement: • Decline withholding of retainage from prime contractors and prohibit prime contractors from holding retainage from subcontractors. • Decline withholding of 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. • Withhold 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 retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after your payment to the prime contractor. In the event the BCC decides to withhold payments on a contract, it will ensure that the amount of money withheld bears a reasonable relationship to the unsatisfactory work (e.g. the amount withheld will represent a reasonable estimate of the contractor’s potential liability). The amount withheld will not be so great however, such that it impairs the contractor’s ability to perform. This will ensure that the BOCC is able to monitor and enforce prompt payment and return of retainage to subcontractors. Section 26.31 Directory The BOCC uses the FDOT directory identifying all 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. We revise the Directory annually. We make the Directory available as follows: A copy will be furnished upon written or telephonic request to the DBELO, additionally the Directory can be found at the following link https://www3.dot.state.fl.us/EqualOpportunityOffice/biznet/mainmenu.asp. Section 26.33 Overconcentration The BOCC has not identified