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

routine requests. Response time The act does not specify a response time for public records requests. Notwithstanding any contrary provisions of state or local law, we 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 The BOCC 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 the BOCC or DOT. This reporting requirement also extends to any certified DBE subcontractor. The BOCC 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. Attachments Attachment 1: Organizational Chart Attachment 2: Monitoring and Enforcement Mechanisms/Legal Remedies Attachment 3: Good Faith Efforts Forms Attachment 4: Certification Forms Attachment 5: DBE Regulation, 49 CFR Part 26 Attachment 6: DBE Directory Attachment 1 – Organizational Chart Attachment 2 – Monitoring and Enforcement Mechanisms/Legal Remedies The BOCC has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following: 1. Breach of contract action, pursuant to the terms of the contract; 2. Breach of contract action, pursuant to Florida Statutes. In addition, the federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, including, but not limited to, the following: 1. Suspension or debarment proceedings pursuant to 49 CFR Part 26 2. Enforcement action pursuant to 49 CFR Part 31 3. Prosecution pursuant to 18 USC 1001. Attachment 3 – Forms 1 & 2 for Demonstration of Good Faith Efforts Form 1: Disadvantaged Business Enterprise (DBE) Utilization The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following manner (please check the appropriate space): _____ The bidder/offeror is committed to a minimum of ____ % DBE utilization on this contract. _____ The bidder/offeror (if unable to meet the DBE goal of ____%) is committed to a minimum of ____% DBE utilization on this contract a submits documentation demonstrating good faith efforts. Name of bidder/offeror’s firm: ______________________________________ State Registration No. ____________________ By ___________________________________ ______________________ (Signature) Title Form 2: Letter of Intent Name of bidder/offeror’s firm: _______________________________ Address: ________________________________________________ City: _____________________________ State: _______ Zip: ______ Name of DBE firm: ________________________________________ Address: _________________________________________________ City: ________________________________State: _______ Zip: _____ Telephone: ___________________ Description of work to be performed by DBE firm: ----------------------------------------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ----------------------------------------------------------- The bidder/offeror is committed to utilizing the above-named DBE firm for the work described above. The estimated dollar value of this work is $ ___________. Affirmation The above-named DBE firm affirms that it will perform the portion of the contract for the estimated dollar value as stated above. By __________________________________________________________ (Signature) (Title) If the bidder/offeror does not receive award of the prime contract, any and all representations in this Letter of Intent and Affirmation shall be null and void. (Submit this page for each DBE subcontractor.) Attachment 4 – Certification Forms The State of Florida’s Unified Certification Plan (UCP) agreement can be found at the following link: http://www.dot.state.fl.us/equalopportunityoffice/DBEProgram/DBE%20Program%20Plan%20Attachment s%2016-20.pdf Attachment 5 – 49 CFR Part 26 49 CFR Transportation Subtitle A Office of the Secretary of Transportation 1 PART 26 -- PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS Subpart A -- General Sec. 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 requirements pertain to the 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? 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 1 This file was obtained from the national archives and records administration electronic cfr and is current as of the federal register dated October 16, 2001. 26.81 What are the requirements for Unified Certification Programs? 26.83 What procedures do recipients follow in making certification decisions? 26.85 What rules govern recipients' denials of initial requests for certification? 26.87 What procedures does a recipient use to remove a DBE's eligibility? 26.89 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 -- Forms [Reserved] 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 Authority: 23 U.S.C. 324; 42 U.S.C. 2000d, et seq.; 49 U.S.C 1615, 47107, 47113, 47123; Sec. 1101(b), Pub. L. 105-178, 112 Stat. 107, 113. Source: 64 FR 5126, Feb. 2, 1999, unless otherwise noted. Subpart A -- General §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 assist 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. §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. 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. 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