BUTLER TRANSIT AUTHORITY FY 2015 DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM

Transcription

1 BUTLER TRANSIT AUTHORITY FY 2015 DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM Draft July 1, 2014

2 POLICY STATEMENT Section 26.1, Objectives/Policy Statement Butler Transit Authority (BTA) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (USDOT), 49 CFR Part 26. BTA has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, BTA has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of BTA to ensure that DBE s as defined in Part 26, have an equal opportunity to receive and participate in USDOT-assisted contracts. It is also BTA s policy: 1. To ensure nondiscrimination in the award and administration of USDOT-assisted contracts; 2. To create a level playing field on which DBE s can compete fairly for USDOT-assisted contracts; 3. To ensure that the DBE Program is narrowly tailored in accordance was been with applicable law; 4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBE s; 5. To help remove barriers to the participation of DBE s in USDOT-assisted contracts; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. The Executive Director has been delegated as the DBE Liaison Officer. In that capacity, the Executive Director 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 Butler Transit Authority its financial assistance agreements with the U.S. Department of Transportation. Butler Transit Authority has disseminated this policy statement to the Butler Transit Authority Board of Directors and all of the components of its organization. BTA has distributed this statement to DBE and non-dbe business communities that perform work for BTA on USDOT-assisted contracts. This information is provided when advertising or contracting for services. John H. Paul, Executive Director Date 1

3 SUBPART A GENERAL REQUIREMENTS Objectives ( 26.1, 26.23) The objectives are found in the policy statement on page 1 of this program. Applicability ( 26.3) Butler Transit Authority (BTA) is the recipient of federal transit funds authorized by Titles I, III, V, and VI of Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA), Pub. L , or by Federal transit laws in Title 49, U.S. Code, or Titles I, II, and V of the Transportation Equity Act for the 21 st Century (TEA-21), Pub. L Definitions ( 26.5) Butler Transit Authority will adopt the definitions contained in Section 26.5 of Part 26 for this Program. Nondiscrimination ( 26.7) Butler Transit Authority (BTA) 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, BTA 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: 26.11(a) BTA will report DBE participation to the Federal Transit Administration using the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to the DBE regulation. Bidders List: 26.11(c) BTA will create a bidders list, consisting of information about all DBE and non-dbe firms that bid or quote on USDOT-assisted contracts. The purpose of this requirement is to allow use of the bidder list approach to calculating overall goals. The bidders list will include the name, address, DBE/non- DBE status, age, and gross receipts of firms. 2

4 BTA 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. A notice in solicitations, or otherwise widely disseminated, request to firms quoting on subcontracts to report information directly to the recipient. Assurances ( 26.13) BTA has signed the following assurances, applicable to all DOT-assisted contracts and their administration: Federal Financial Assistance Agreement Assurance: 26.13(a) BTA shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any USDOT 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 USDOT assisted contracts. The recipient s DBE Program, as required by 49 CFR Part 26 and as approved by USDOT, 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 BTA of its failure to carry out its approved program, the Department may impose sanctions as provided for under part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C et seq.). Contract Assurance: 26.13(b) BTA will assure that the following clause is placed verbatim in every USDOT-assisted contract and sub-contract: The contractor, sub-recipient, or sub-contractor 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 USDOT-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 Updates ( 26.21) Since BTA has received a grant of $250,000 or more in FTA planning, capital, and/or operating assistance in a federal fiscal year, BTA will continue to carry out this program until all funds from 3

5 USDOT financial assistance have been expended. BTA will provide to U.S. DOT updates representing significant changes in the program. DBE Liaison Officer (DBELO) ( 26.25) BTA has designated the following individual as its DBE Liaison Officer: John H. Paul, Executive Director Butler Transit Authority 130 Hollywood Dr. Suite 101 Butler, PA Extension 216 jpaul@butlertransit.com In this capacity, the Executive Director is responsible for implementing all aspects of the DBE program and ensuring that BTA complies with all provisions of 49 CFR Part 26. The Executive Director is empowered by the board of directors to implement the BTA s DBE program. 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. Duties and responsibilities include the following 1. Gathers and reports statistical data and other information as required by USDOT. 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) and monitors results. 6. Analyzes BTA s progress toward goal attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the Board of Directors on DBE matters and achievement. 9. Participates with the legal counsel to determine contractor compliance with good faith efforts. 10. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 11. Participates in DBE training seminars. 12. Acts as liaison to the Uniform Certification Process in Pennsylvania 13. Provides outreach to DBEs and community organizations to advise them of opportunities. DBE Financial Institutions ( 26.27) It is the policy of BTA 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 USDOTassisted contracts to make use of these institutions. There are no known DBE financial institutions in the community. 4

6 Prompt Payment Mechanisms ( 26.29) Prompt Payment: 26.29(a) BTA will include the following clause in each USDOT-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 BTA. Retainage: 26.29(b) The prime contractor agrees to return retainage payments to each subcontractor within thirty (30) days after the subcontractor s 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 BTA. This clause applies to both DBE and non-dbe subcontractors. Monitoring and Enforcement: 26.29(d) BTA will require prime contractors to maintain records and documents of payments to subcontractors, including DBEs for three years following the performance of the contract. These records will be required to be made available for inspection upon request by any authorized representative of BTA or USDOT. This reporting requirement also extends to any certified DBE subcontractor. BTA will perform interim audits of contract payments to subcontractors, including 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. For all capital projects BTA uses construction management services from an independent company that verifies all contract compliance and timely payment verifications. Directory ( 26.31) BTA utilizes the Pennsylvania Department of Transportation Disadvantaged Business Enterprise Directory. The directory lists the firm s name, address, phone number, date of most recent certification, and the type of work the firm has been certified to perform as a DBE. The directory is revised annually and updated throughout the year when new DBE firms are added. Contact information for the Pennsylvania Department of Transportation Unified Certification Program is as follows: PA Department of Transportation P.O. Box 3251 Harrisburg, PA (Fax) penndotucpinfo@state.pa.us 5

7 Over-concentration ( 26.33) BTA has not identified an over-concentration of DBE s in any type of work within the region. Business Development Programs ( 26.35) BTA has not established a business development program. Monitoring and Enforcement Mechanisms ( 26.37) BTA will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part BTA will bring to the attention of the United States Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that USDOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the USDOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in BTA will consider similar action under its own legal authorities, including responsibility determinations in future contracts. 3. BTA will also provide a monitoring and enforcement mechanism to verify that work committed to DBE s at contract award is actually performed by the DBE s. For all capital projects BTA uses Construction Management services from an independent company that verifies all contract compliance and timely payment verifications. 4. BTA 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) BTA has incorporated the following non-discriminatory element to its DBE program, in order to facilitate competition on USDOT-assisted public works projects by small business concerns (both DBE and non-dbe small businesses). A. Objective Recognizing that the DBE Program goals should be met through a mixture of race conscious and race neutral methods and, that by definition, DBE firms are small businesses, BTA will implement a small business element into its DBE policy in accordance with applicable law. This element is being included to facilitate competition by and expand opportunities for small businesses. BTA 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. BTA will meet its objectives using a combination of the following methods and strategies: 6

8 B. Small Business Strategies 1. Where feasible, BTA will establish a percentage of the total value of all prime contract and subcontract awards to be set aside for participation by small businesses on USDOT-assisted contracts. This requires that BTA and its prime contractors/consultants set aside a portion of the value of each contract for participation by small businesses. A small business set-aside is open to all small businesses regardless of the owner s gender, race or geographic location. BTA will review USDOT-assisted purchases and contracts to assess the small business opportunities, giving consideration to the size and scope of each purchase or contract to establish the set aside percentage. This determination will be made based on the estimated availability of small businesses able to provide the requisite scopes of work regardless of DBE status. This set aside is in addition to the DBE contract goals which may be required pursuant to applicable law or policy. In the event that a set-aside is not established on a USDOT-assisted contract BTA will document why a small business set-aside is inappropriate and the factors which were considered in making that determination, including project scope and estimated availability of firms. 2. BTA, where feasible, will unbundle projects or separate large contracts into smaller contracts which may be more suitable for small business participation. BTA will conduct contract reviews on each USDOT-assisted contract to determine whether portions of the project could be unbundled or bid separately. This determination will be made based on the estimated availability of small businesses able to provide specific scopes of work and will consider any economic or administrative burdens which may be associated with unbundling. Similarly, BTA will encourage its prime contractors or prime consultants to unbundle contracts to facilitate participation by small businesses. BTA will assist prime contractors or prime consultants in identifying portions of work which may be unbundled and performed by small businesses. BTA will document the factors used to determine whether or not a USDOT-assisted contract will be unbundled or bid separately. 3. On prime contracts not having DBE contract goals, BTA will 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. 4. BTA will identify alternative acquisition strategies and structure 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 BTA s overall goal projected to be met through race-neutral measures, BTA will ensure that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. C. Requirements The following requirements must be met to be eligible to participate in BTA s small business program: 1. The company must meet the size standards for small businesses as revised by the Small Business Administration (SBA) for the industry in which it works. 7

9 2. The company must be certified as a small business by a third party. Self-certification is not permitted. For the purposes of the small business element of BTA 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 race-neutral participation on US DOT-assisted contracts. D. Certification and Verification Procedures BTA does not certify vendors as small businesses. BTA will accept small business certification from the following entities: 1. U.S. Small Business Administration 2. U.S. Department of Veterans Affairs 3. Women-Owned Small Business Federal Contract Program 4. U.S. Department of Commerce Minority Business Development Agency 5. Women s Business Development Center 6. Small Business Certifications by a public agency or governmental unit located in Pennsylvania E. Assurances BTA makes the following assurances: 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 USDOT-assisted contracts and the 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. 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 Quotas ( 26.43) BTA does not use quotas in any way in the administration of this DBE program. 8

10 Overall Goals ( 26.45) In accordance with Section 26.45, BTA will submit its triennial overall DBE goal to the Federal Transit Administration (FTA) by August 1 of the year specified by FTA. BTA will also request use of project-specific DBE goals as appropriate, and/or will establish projectspecific goals as directed by FTA. The process generally used by BTA to establish overall DBE goals is based on the Department s Step 1, Step 2 process established in Section 26: 45( c ) -( d ) which establishes a base figure of the relative availability of DBE s to perform work on BTA s USDOT-assisted contracts, then adjusted as necessary based on additional market information in the area. BTA will review updates to the Pennsylvania Unified Certification DBE Directory and at least annually, consider resetting its annual goal based on the potential that may arise as a result of changes to the DBE directory. In the case of construction contracts, BTA will post its procurements with appropriate entities listed in the Pennsylvania Unified Certification DBE Directory organized to represent or advance the interests of disadvantaged business enterprises. Example listings of such entities are the Minority Business Opportunity Committee; Small Business Administration Minority Enterprise Development; Minority Business Development Agency; Pittsburgh Regional Minority Purchasing Council; National Association of Women in Construction, etc. BTA will consider other agencies that may be helpful in identifying the availability of DBE firms. BTA will publish a notice of the proposed overall goal, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at the offices of BTA for 30 days following the date of the notice, and informing the public that BTA and USDOT will accept comments on the goals for 45 days from the date of the notice. Such publication shall at a minimum be made with newspapers and shall include available minority-focus media, trade publications and websites known to BTA. Normally, BTA will issue this notice by June 1 of the year the goal is to be established. The notice shall include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. BTA s overall goal submission to USDOT will include a summary of information and comments received during this public participation process and our responses. BTA will begin using its overall goal on October 1 of the year in which the goal is adopted, unless it receives other instructions from USDOT. If a goal is established on a project basis, BTA will begin using that goal by the time of the first solicitation for a USDOT-assisted contract for the project. BTA s goal will remain effective for the duration of the three-year period established and approved by FTA. 9

11 Method (Step 1) The goal is derived by dividing the total number of DBE firms certified in Butler County as identified in the Pennsylvania Unified Certification Directory Database by the total number of certified DBE firms in the Pennsylvania Unified Certification Directory Database. Data from the 2010 U.S. Census Bureau was also utilized. 1) Identify number of DBE firms within Butler County based on the Pennsylvania Unified Certification Directory Database. 2) Identify number of DBE firms statewide based on the Pennsylvania Unified Certification Directory Database. Using this formula the percent of DBE firms certified in Butler County is derived and compared to total DBE firms certified in the Commonwealth of Pennsylvania. This calculation is referred to as the Relative Availability Percentage of DBE firms in Butler County. The total number of certified DBE firms by category in Butler County includes the following: Construction 11 Consultant 4 Engineering 2 Supplier 2 Other Services 5 Total 24 In addition, according to the 2010 U. S. Census the percentage of non-majority residents in Butler County is 3.4%. Method (Step 2) An adjustment is made to Step 1 that includes adding the Relative Availability Percentage to the estimated percentage of non-majority residents in Butler County. The calculation is the Relative Availability Percentage (24/1,798), which is equal to 1.3% plus the percentage of non-majority residents in Butler County, which is 3.4%. Based on this calculation the BTA goal is calculated to be 4.7%. Amount of Goal BTA s overall goal for FY 2015 is 4.7% of the Federal financial assistance that will be expended in USDOT-assisted contracts exclusive of FTA funds to be used for the purchase of transit vehicles. The 4.7% goal is established with a race-neutral goal of 1.3% and a race-conscious goal of 3.4%. 10

12 Goal Setting and Accountability ( 26.47) If the awards and commitments shown on BTA s 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, BTA 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. Maintain information and records regarding the analysis and efforts made. Transit Vehicle Manufacturers (TVM) ( 26.49) BTA 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, BTA 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. BTA has previously used piggybacking as an instrument to procure vehicles due to the size of the Authority and the limited resources and number of vehicles purchased. This process enables BTA to purchase vehicles at competitive prices, which would be unrealizable without this tool. BTA will verify compliance of these entities DBE program prior to contracting for vehicles. Meeting Overall Goals/Contract Goals ( 26.51) BTA will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE participation. In order to do this, BTA uses the following race-neutral means to increase DBE participation: Bid awards are made to the lowest responsible, responsive bidder without regard to gender or race identification factors; determination of actual DBE s is made by determining if the award is made to a certified DBE by consulting the Pennsylvania Unified Certification Directory and/or requesting copies of certificates showing valid DBE status; and encourage Disadvantaged Business Enterprise participation through publicly advertised notices. BTA will use contract goals to meet any portion of the overall goal BTA does not project being able to meet using race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of our overall goal that is not projected to be met through the use of race-neutral means. BTA will establish contract goals only on those USDOT-assisted contracts that have subcontracting possibilities. BTA need not establish a contract goal on every such contract, and the size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the particular type of work). BTA will express contract goals as a percentage of the total amount of a USDOT-assisted contract. Good Faith Efforts ( 26.53) Award of Contracts with a DBE Contract Goal: 26.53(a) 11

13 In those instances where a contract-specific DBE goal is included in a procurement/solicitation, BTA 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) BTA realizes that because there are a limited known number of available DBE s that bidders/offerors must make good faith efforts in identifying the availability and use of DBE s. A good faith effort can be demonstrated in either meeting the contract goals or having adequately attempted to identify available DBEs toward which procurements can be directed. The Executive Director 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 or responsible. BTA will ensure that all information is complete and accurate and adequately documents the bidder/offeror s good faith efforts before committing to the performance of the contract by the bidder/offeror. Information to be Submitted: (b) BTA treats bidder/offerors compliance with good faith efforts requirements as a matter of responsiveness or responsibility. Due to the varying thresholds at the federal and state levels for verbal quotes, written quotes, IFBs or RFPs, BTA will select either the responsiveness or responsibility method it will use dependent on the procurement documentation requirement. BTA will require the following information from the bidders/offerors for each solicitation for which a contract goal has been established: 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 participation; 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 contractor s commitment; and 6. If the contract goal is not met, evidence of good faith efforts. Administrative Reconsideration: 26:53(d) Within five days of being informed by BTA that it is not responsive or responsible 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: 12

14 John Paul, Executive Director Butler Transit Authority 130 Hollywood Dr Suite 101 Butler, PA Extension 216 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. In addition, the bidder/offeror will have the opportunity to meet in person with BTA s reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. BTA 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 effort. The result of the reconsideration process is not administratively appealable to the Department of Transportation. Good Faith Efforts when a DBE is Replaced on a Contract: (26.53(f) BTA requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE contract goal without BTA 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 BTA 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 BTA prior to consideration of the request to terminate. The DBE will then have five (5) days to respond and advise BTA why it objects to the proposed termination. The five (5) day period may be reduced if the matter is one of public necessity such as safety. In those instances where good cause exists to terminate a DBE s contract, BTA 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. BTA 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, BTA will require the prime contractor to obtain BTA 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, BTA s 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. 13

15 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 BTA to practice non-discrimination 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 e conditional 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 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 will perform; (3) the dollar amount of the participation of each DBE firm participation; (4) written and signed documentation of the bidder/offeror s 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 commitment made under (4); and (6) if the contract goal is not met, evidence of good faith efforts. Counting DBE Participation ( 26.55) BTA will count DBE participation toward overall and contract goals as provided in 49 CFR Certification Process ( ) SUBPARTS D & E - CERTIFICATION BTA is not a certifying agency, but refers inquiries for certification to the Pennsylvania Unified Certification Disadvantaged Business Enterprise Program administered by the Pennsylvania Department of Transportation (PennDOT). See Section for contact information. Unified Certification Programs ( 26.81) BTA is a member of the Unified Certification Program (UCP) administered by the Pennsylvania Department of Transportation (PennDOT). The UCP will meet all the requirements of this section. BTA will use and count for DBE credit only those DBE firms certified by the Pennsylvania Unified Certification Program. Contact information for the Pennsylvania Department of Transportation certification program is as follows: PA Department of Transportation P.O. Box 3251 Harrisburg, PA (Fax) penndotucpinfo@state.pa.us 14

16 A DBE Certificate must be presented for BTA to count the award toward meeting project goals. BTA does not exclude DBE s using certificates issued from other entities that adhere to the requirements of 49 CFR Part 26. Procedures for Certification Decisions ( ) BTA is not a certifying agency and therefore does not make certification decisions, but refers inquiries for certification to the Pennsylvania Unified Certification Disadvantaged Business Enterprise Program administered by the Pennsylvania Department of Transportation (PennDOT). See Section for contact information. Any firm or complainant may appeal PennDOT s certification decision in a certification matter to the USDOT. Such appeals may be sent to: U.S. Department of Transportation Office of Civil Rights Certification Appeals Branch 1200 New Jersey Ave. SE West Building, 7 th Floor Washington, DC SUBPART F COMPLIANCE AND ENFORCEMENT Information, Confidentiality, Cooperation ( ) Confidentiality BTA will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, State, and local law. Not withstanding any contrary provisions of state or local law, BTA 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 BTA 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 required to be made available for inspection upon request by any authorized representative of BTA or USDOT. This reporting requirement also extends to any certified DBE subcontractor. BTA will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. 15

17 BTA 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

18 Attachment 1 Butler Transit Authority Organizational Chart City of Butler Three (3) Appointments Butler Township Three (3) Appointments Butler Transit Authority Board Six (6) Members John H. Paul* Executive Director Tiffany Burke Administrative Assistant/Finance Manager Kelly Stewart Public Relations/IT Manager Nina Fair Pat Flanigan Vicki Sammons Judith Spryn Clerk Clerk Clerk Clerk Karl Knechtel Facilities Manager Lori Graham Maintenance Cathy Williams Grants Administrator Butler Motor Transit Subcontractor *Disadvantaged Business Enterprise Liaison Officer 17

19 Attachment 2 DBE Directory Pennsylvania Unified Certification Program (PA UCP) A & A Concrete Products, Inc. Service Category: Other NAICS Codes: , Description: Manufacturer of precast concrete products such as manholes and catch basins. Metal merchant wholesaler providing piping and steel grates. Owner: Alma Long Phone: ; Fax: ; sales@aaconcreteproducts.com Website: Address: 1559 Mars Evans City Road, Evans City, PA Alan Smallwood Excavating, LLC Class Type: MBE Service Category: Construction, Trucking NAICS Codes: , , , Description: Clearing and grubbing, drainage, water main, storm sewer, curbs, sidewalks, inlets, manholes, etc., nonroadway, drainage, structure related excavation and grading, incidental excavation and trucking, site preparation, gas and sewer line installation. Owner: Alan Smallwood Phone: ; Fax: ; alsmallw@aol.com Website: Address: 142 Hollow Lane, Butler, PA Amelie Construction & Supply, LLC Service Category: Construction, Supplier NAICS Codes: , , , , , , , , , , Description: Geotechnical construction services, using caissons for foundations, retaining walls, sound walls, bridge piers and abutments, lighting post foundations, pre-drilled holes for driven piles, large signage supports and communication towers; poured concrete foundation and structure contractors; structural steel and precast concrete foundations; other foundation, structure, and building exterior contractors; highway, street and bridge construction; brick, stone and related construction material merchant wholesalers; other construction material merchant wholesalers; metal service centers and other metal merchant wholesalers; other miscellaneous durable goods merchant wholesalers; durable and nondurable goods. Owner: Danielle A. Proctor Phone: ; Fax: ; dproctor@amelieconstruction.com Website: Address: 725 Saxonburg Boulevard, Suite #2, Saxonburg, PA Anderson Cleaning Service Category: Other NAICS Codes: , , Description: Commercial and industrial janitorial services. Owner: Kathleen Anderson Phone: ; Fax: ; kathleen.anderson01@gmail.com Website: Address: 144 Garing Road, Chicora, PA Butler Floor & Carpet Company, Inc. 18

20 Service Category: Construction, Supplier NAICS Codes: , , , , Description: Floor and carpet sales. Acoustic ceiling and drywall installation and supply. Owner: Julie A. Czifra Phone: ; Fax: ; Website: Address: 1763 N. Main Street Extension, Butler, PA Butler Floor Company, Inc. Service Category: Construction NAICS Codes: Description: Floor installation. Owner: Julie Czifra Phone: ; Fax: ; Website: Address: 1763 N. Main Street, Butler, PA Castcon Stone, Inc. Service Category: Construction, Supplier NAICS Codes: , Description: Manufacturer of structural and architectural precast concrete for construction, restoration, balconies, stair systems and coping panels. Owner: Sandy Ussia Phone: ; Fax: ; Website: Address: 2900 South Noah Drive, Saxonburg, PA Cipher, LLC Service Category: Consultant NAICS Codes: , Description: Contract cost estimating company. Owner: Vicki Esswein Phone: ; Fax: ; Website: Address: 935 White Water Drive, Mars, PA Core Compliance Group, Inc. Class Type: MBE/WBE Service Category: Consultant NAICS Codes: , Description: Environmental, health and safety consulting services and products for commercial industry and government. Owner: Mary Rose Thomas-Glaser Phone: ; Fax: ; Website: Address: 131 Glenbrook Drive, Cranberry Township, PA DPMA, Inc. dba Alpha Insulation Services Service Category: Construction NAICS Codes: Description: Insulation of HVAC and plumbing for systems commercial and industrial piping, ductwork and equipment. Owner: Valerie Fincher Phone: ; Fax: ; Website: Address: 741 Freeport Road, Saxonburg, PA Freehling Lumber Co., Inc. Service Category: Supplier 19

21 NAICS Codes: , , Description: Retail lumber yard and hardware store. Owner: Rebecca F. Boyd Phone: ; Fax: ; Website: Address: 245 Marwood Road, Cabot, PA J & J Fire Protection Co., Inc. Service Category: Other NAICS Codes: , Description: Design, installation and inspection of fire protection systems. Owner: Vicki L. Gass Phone: ; Fax: ; jjfire@zoominternet.net Website: Address: 101 Powell Road, Butler, PA J.C. Lee Construction & Supply Co., Inc. Class Type: MBE Service Category: Construction NAICS Codes: , , , , , , , , Description: Highway & heavy construction, and trucking specialized freight, local. Also provides management consulting services. Owner: John C Lee Phone: ; Fax: ; john@jclee.net Website: Address: 1016 Annisville Road, Petrolia, PA Kress Contracting Company, LLC Service Category: Construction NAICS Codes: , , , Description: Masonry, pointing and painting, power washing, and lead paint abatement. Owner: Judith L. Kress Phone: ; Fax: ; kresscont@centurylink.net Website: Address: 445 Yellow Creek Road, Harmony, PA Moore Design Associates Service Category: Other NAICS Codes: Description: Landscape architectural services. Owner: Sara Moore Phone: ; Fax: ; sara.moore@mooredesignassociates.com Website: Address: 130 Heaven Lane, Mars, PA Osterrieder Consulting Service Category: Consultant NAICS Codes: , Description: Accounting and bookkeeping services. Owner: Jessica Osterrieder Phone: ; Fax: ; jessica@osterriederconsulting.com Website: Address: 9301 Marshall Road, Cranberry Township, PA Pedersen & Pedersen, Inc. Service Category: Engineering NAICS Codes: , , Description: Engineering and surveying. 20

22 Owner: Rebecca A. Pedersen Phone: ; Fax: ; Website: Address: 441 Mars-Valencia Road, Suite 200, Valencia, PA Power Conversion Technologies Inc. Service Category: Consultant NAICS Codes: , , , Description: Owner: Catherine Chis Phone: ; Fax: ; Website: Address: 152 Nickle Road, Harmony, PA Simmonds Construction Services, LLC Class Type: MBE Service Category: Construction NAICS Codes: , , , , , , , , Description: Construction services Owner: Winston M. Simmonds Phone: ; Fax: ; Website: Address: 2900 South Noah Drive, Saxonburg, PA Summit Insulation, LLC Service Category: Construction NAICS Codes: Description: Commercial and industrial plumbing and HVAC insulation. Owner: Mary A. Geibel Phone: ; Fax: ; Website: Address: 6120 Orchard Lane, Butler, PA TerraVite, Inc. Service Category: Engineering, Consultant NAICS Codes: , Description: Environmental consulting services and engineering services. Owner: Erica LS DeLattre Phone: ; Fax: ; Website: Address: 119A Adams Lane, Porterville, PA Wada Water, Inc. Class Type: MBE/WBE Service Category: Supplier NAICS Codes: Description: Water sales and water dispenser sales and rental. Owner: Arlinda Moriarty Phone: ; Fax: ; Website: Address: 9155 Marshall Road, Cranberry Township, PA Williams & Willman Line Painting, Inc. Service Category: Construction NAICS Codes: Description: Road line painting services and parking lot stripeing. Owner: Suzetta M. Willman Phone: ; Fax: ; 21

23 Website: Address: 1605 Route 422, Fenelton, PA Wright Business Systems, Inc. Service Category: Other NAICS Codes: , Description: Printing services and sale of novelty items. Owner: Ronne Wright Phone: ; Fax: ; Website: Address: 1778 Freedom Way, Valencia, PA

24 Attachment 3 Section 26.45: Overall Goal Calculation Amount of Goal BTA s overall goal for FY 2015 is the following: % of the Federal Financial assistance BTA will expend in U.S.DOT-assisted contracts exclusive of FTA funds to be used for the purchase of transit vehicles. Methodology used to Calculate Overall Goal Step 1: Section 26.45c Determine the base figure for the relative availability of DBE s. Method (Step 1) The goal was derived by dividing the total number of DBE firms certified in Butler County as identified in the Pennsylvania Unified Certification Directory Database by the total number of certified DBE firms in the Pennsylvania Unified Certification Directory Database. Data from the 2000 U.S. Census Bureau was also utilized. 3) Identified number of DBE firms within Butler County based on the Pennsylvania Unified Certification Directory Database (24). 4) Identified number of DBE firms statewide based on the Pennsylvania Unified Certification Directory Database (1,798). Using this formula the percent of DBE firms certified in Butler County compared to total DBE firms certified in the Commonwealth of Pennsylvania is 1.3% rounded to 1% (24 divided by 1,798). This calculation is referred to as the Relative Availability Percentage of DBE firms in Butler County. The total number of certified DBE firms by category in Butler County includes the following: Construction 11 Consultant 4 Engineering 2 Supplier 2 Other Services 5 Total 24 In addition, according to the 2010 U. S. Census the percentage of non-majority residents in Butler County is 3.4%. 23

25 Method (Step 2) An adjustment is made to Step 1 that includes adding the Relative Availability Percentage to the estimated percentage of non-majority residents in Butler County. The calculation is the Relative Availability Percentage (24/1,798), which is equal to 1.3% plus the percentage of non-majority residents in Butler County, which is 3.4%. Based on this calculation the BTA goal is calculated to be 4.7%. Amount of Goal BTA s overall goal for FY 2014 is 4.7 percent of the Federal financial assistance that will be expended in DOT-assisted contracts exclusive of FTA funds to be used for the purchase of transit vehicles. BTA will meet the maximum feasible portion of its overall goal by using race-neutral as well as race-conscious means of facilitating DBE participation, with a Race Neutral goal of 1.3% and a Race Conscious goal of 3.4%. Section 26.51: Breakout of Estimated Race-Neutral & Race Conscious Participation BTA will meet the maximum feasible portion of its overall goal by using race neutral means of facilitating DBE Participation. BTA will use the following race-neutral means to increase DBE participation: 1. Arrange solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate DBE and other small businesses participation. 2. Provide technical assistance and other services. BTA estimates that, in meeting its overall goal of 4.7%, it will obtain 3.4% from race-neutral participation and 1.3% through race-conscious measures. The following is a summary of the basis of our estimated breakout of race-neutral and raceconscious DBE participation: In order to ensure that BTA s DBE program will be narrowly tailored to overcome the effects of discrimination, if contract goals are used, BTA will adjust the estimated breakout of race-neutral and race-conscious participation as needed to reflect actual DBE participation (see 26.51(f)) and 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 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. BTA will maintain data separately on DBE achievements in those contracts with and without contract goals, respectively. 24