Document Moscow_doc_d0ca9af2b4

City of Moscow - DBE Program CITY OF MOSCOW, IDAHO DISADVANTAGED BUSINESS ENTERPRISE PROGRAM POLICY STATEMENT Section 26.1 , 26.23 Objectives/Policy Statement 6/1/12 The City of Moscow has established a Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The City of Moscow has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the City of Moscow has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the City of Moscow to ensure that DBEs as defined in Part 26, have an equal opportunity to receive and participate in DOT -assisted contracts. It is also our policy: 1. To ensure nondiscrimination in the award and administration of DOT- assisted contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT -assisted contracts; 3. To ensure that the DBE Program is tailored in accordance with applicable law; 4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs; . 5. To help remove barriers to the participation of DBEs in DOT -assisted contracts; 6. To assist in the development of firms that can compete successfully in the market place outside the DBE Program. The Grants Manager from the City of Moscow's Administrative Department has been delegated as the DBE Liaison Officer. In that capacity the Grants Manager, 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 the City of Moscow in its financial assistance agreements with the Department of Transportation. The City of Moscow has disseminated this Policy Statement to the Moscow City Council and all of the components of our organization. The City of Moscow's DBE Policy Statement and Program are posted on the City web site at www.ci.moscow.id.us and are also included in bid specifications for DOT- assisted projects released for public bidding. In addition, the City of Moscow notifies the Idaho DBE Office located in Boise, Idaho, at the Idaho Transportation Department of new projects available to bid. Date Page 1 of 23 2Dl'2.·1DI ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 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 The City of Moscow is the recipient of federal transit funds authorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users - SAFETEA-LU; Titles I, Ill, 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. 1 05-178. Section 26.5 Definitions The City of Moscow will adopt the definitions contained in Section 26.5 of Part 26 for this program. Section 26.7 Non-Discrimination Requirements The City of Moscow 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 City of Moscow 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 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: 26:1 1 The City of Moscow will report DBE participation to FT A using the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to the DBE regulation. Bidders List: 26.1 1 The City of Moscow 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 in calculating DBE goals. The bidder list will include the name, address, DBE and non-DBE status, age, and annual gross receipts of firms. We will collect this information in the following ways: 1 . Bidders will be required to provide the City of Moscow with their bid or within forty-eight (48) hours thereafter at a minimum the name and address of all subcontractors that have submitted bids whether accepted by the prime contractor or not. 2. Additional information to be submitted by the prime contractor or to be obtained by the City of Moscow directly will be subcontractor's status as DBE or non-DBE, age of firm, contact name, number, email address, and line of business. Section 26.13 Federal Financial Assistance Agreement The City of Moscow has signed the following assurances, applicable to all DOT -assisted contracts and their administration: Page 2 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 Federal Financial Assistance Agreement Assurance: 26.13(a) The City of Moscow 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 City of Moscow 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 City of Moscow; 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 City of Moscow 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 City of Moscow has received grants of $250,000 or more in FT A 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 26.23 Policy Statement The Policy Statement is elaborated on the first page of this program. Section 26.25 DBE Liaison Officer (DBELO) The City of Moscow has designated the following individual as our DBE Liaison Officer: Alisa J. Stone, Grants Manager, 206 East Third Street, PO Box 9302, Moscow, ID 83843, [PHONE REDACTED], [EMAIL REDACTED] In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the City of Moscow complies with all provisions of 49 CFR Part 26. The DBELO has direct, independent access to the City Supervisor concerning DBE program matters. An organization chart displaying the DBELO's position in the organization is found in Attachment 1 to this program. Page 3 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of four members 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 FT A and DOT. 2. Reviews third party contracts and purchase requisitions for compliance with this program. 3. Works with all departments to set overall triennial 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, contract specific, and triennial goal attainment) and identifies ways to improve progress. 6. Analyzes the City of Moscow's progress toward attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the Mayor and City Council on DBE matters and achievement. 9. Chairs the DBE Advisory Committee. 10. Participates in pre-bid meetings. 11. Participates in DBE training seminars. 12. Provides outreach to DBEs and community organizations to advise them of opportunities. 13. Provides assistance to DBEs in the understanding of specifications and completing bid forms. 14. Obtain and maintain on file an up-to-date DBE directory from the Idaho Transportation Department Equal Employment Opportunity Office (ITD/EEOO). 15. Ensure that the City of Moscow's management team is aware of the policy and commitment to DBE participation, matters and achievement. Section 26.27 DBE Financial Institutions It is the policy of the City of Moscow 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 contracts to make use of these institutions. However, City of Moscow Staff has found that no qualifying institutions exist in Moscow. Should such a financial institution be established in the community, the City of Moscow will make every effort to comply with appropriate administrative requirements, and will encourage prime contractors to also do so. Section 26.29 Prompt Payment Mechanisms Prompt Payment: 26.29(a) The City of Moscow will include the following clause in each DOT -assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than thirty (30) days from the receipt of each payment the prime contract receives from the City of Moscow. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City of Moscow. This clause applies to both DBE and non-DBE subcontracts. Retainage: 26.29(b) The prime contractor agrees further 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 City of Moscow. This clause applies to both DBE and non-DBE subcontracts. Page 4 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 Monitoring and Enforcement: 26.29(d) The City of Moscow has established the following mechanism to monitor and enforce that prompt payment and return of retainage is occurring in a timely manner: The Grants Manager designated as the DBE Liaison Officer will email the subcontractor(s) notifying them the date the prime contractor has been issued a payment. The email will include the date by which the prime contractor is to have paid the subcontractor. If the subcontractor does not receive their payment by that date they are to contact the DBE Liaison Officer who will investigate the matter to determine status and if noncompliance procedures discussed below are to be initiated: Delay or postponement of payment from the above-referenced timeframe shall result in a five percent penalty for such payment assessed against the prime contractor where payment has been delayed fifteen (15) days or more from the date payment was originally due, unless parties mutually agree that the delay was caused by an Act of God, inadvertence or accidental cause or the parties resolve the matter through alternative dispute resolution. Any and all claims disputes or controversies between the prime contractor and a sub-contractor arising out of these provisions shall be mediated in good faith. Nothing in this section shall be construed to limit the disputing parties' choice of a mutually acceptable dispute mediation method or to limit the parties' remedy at law or in equity and/or the right to receive attorney's fees and costs in enforcing the terms of this section. Section 26.31 Directory The City of Moscow uses the DBE Directory provided by the Idaho Transportation Department {lTD) in 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. The Directory of Disadvantaged Business Enterprises (DBEs) certified in the State of Idaho is updated on the first Monday of every month. However, since changes and additions to the Directory do occur in between updates, users are encouraged to contact DBE Supportive Services for the most current information. Elizabeth Healas - (208) 334-8567 DBE Supportive Services, Idaho Transportation Department, PO Box 7129, Boise, ID 83707-1129, http://www.itd.idaho.gov/civil/. Also see Attachment 2. Section 26.33 Overconcentration The City of Moscow has not identified that overconcentration exists in the types of work that DBEs perform. Section 26.35 Business Development Programs The City of Moscow has not established a business development program. We will re-evaluate the need for such a program every eighteen (18) months. Section 26.37 Monitoring and Enforcement Mechanisms The City of Moscow will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26. Page 5 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 1. We will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that ITD/EEOO and DOT can take the steps referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. 2. We will consider similar action under our own legal authorities, including responsibility determinations in future contracts. Attachment 3 lists the regulation, provisions, and contract remedies available to us in the events of non-compliance with the DBE regulation by a participant in our procurement activities. 3. We 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 on-site inspections or interviews and confidential mail questionnaires or surveys which will occur for each contracUproject on which DBEs are participating. 4. We will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. Section 26.39 Small Business Participation The City of Moscow has incorporated the following non-discriminatory element(s) into its DBE program, in order to facilitate competition on DOT -assisted public works projects by small business concerns (both DBEs and non-DBE small businesses): In order to ensure a "level playing field" and foster equal opportunity in the DOT federally-assisted contracts and to reduce burdens on small businesses the City of Moscow will: a. Require Bidders to clearly identify who the "Point of Contact" is and preferably that individual is the contract Estimator or Project Manager for DBEs and small businesses to contact to start developing a business relationship. This list can be obtained by contacting the DBE Liaison Officer (DBELO) as listed in Section 26.25. b. Inform small businesses about opportunities and workshops sponsored by the Idaho Transportation Department, EEO Office - DBE Support Services, Small Business Administration, and the Idaho Division of Purchasing that offer assistance in learning how to "Do Business with the Government". Attendees will learn about how to find government projects, how to compete for them, various certifications, and where to go for assistance. Training fliers are posted at www.itd.idaho.gov/civil/external.htm. c. Refer small businesses to the Clearwater Economic Development Association's Small Business Assistance and Financing Programs (http://www.clearwater-eda.org/) to include business plan development and start-up, expansion, and retention technical assistance. d. Host public speaking events in conjunction with local-nonprofits to present information regarding assistance programs and services available in the Palouse Region for small businesses. SUBPART C- GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 26.43 Set-asides or Quotas The City of Moscow does not use quotas in any way in the administration of this DBE program. Section 26.45 Triennial Goals In accordance with Section 26.45, the City of Moscow will submit its triennial DBE goal to DOT-FTA on August 1 of the year specified by FT A; and/or The City of Moscow will request use of triennial DBE goals as appropriate, and/or will establish project­ specific DBE goals as directed by FT A. The process used by the City of Moscow before establishing a DBE goal is as follows: Page 6 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 The City of Moscow will consult with the DBE Supportive Services at the Idaho Transportation Department Equal Employment Opportunity Office (ITD/EEOO) to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the City of Moscow's efforts to establish a level playing field for the participation of DBEs. Following this consultation, the City of Moscow will publish a notice of the proposed triennial goal in the Moscow/Pullman Daily News, informing the public that the proposed goal and its rational are available for inspection during normal business hours at the Moscow City Hall located at 206 East Third Street, Moscow, ID 83843 and the City website www.ci.moscow.id.us for 30 days following the date of the notice, and informing the public that the City of Moscow will accept written comments on the goal for 45 days from the date of the notice. Comments can be delivered or mailed to DBE Liaison Officer: Alisa J. Stone, Grants Manager, 206 East Third Street, PO Box 9302, Moscow, ID 83843, or emailed to [EMAIL REDACTED]. Normally, we will issue this notice by June 1 of each year. Our triennial goal submission to DOT will include: the goal (including the breakout of estimated race­ neutral and race conscious participation, as appropriate); a copy of the methodology, worksheets, etc., used to the develop the goal; a list of NAICS codes to be used in performing the project activities; a summary of information and comments received during this public participation process and our responses; and proof of publication of the goal in media outlets listed above. We will begin using our triennial goal on October 1 of a year or prior to implementation of a new project award, unless we have received other instructions from DOT. If it is necessary to establish a goal on a project basis, we will begin using our goal by the time of the first solicitation for a DOT -assisted contract for the project. Our goal will remain effective for the duration of the three-year period established and approved by FTA or until a project is approved for completion if a project basis goal has established. Section 26.47 Goal Setting and Accountability If the awards and commitment shown on the City of Moscow's Uniform Report of Awards and Commitments and Payments at the end of any fiscal year are less than the overall applicable to that fiscal year, we will: 1. Analyze in detail the reason for the difference between the triennial goal and the actual awards/commitments; 2. Establish steps and milestones to reduce the items identified in the analysis; and 3. If requested by FTA, we will submit plan within ninety (90) days of the end of the affected fiscal year. Section 26.49 Transit Vehicle Manufacturers (TVM) Goals The City of Moscow 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, the City of Moscow may, at its discretion and with FT A approval, establish triennial goals for DBE participation in the procurement of transit vehicles in lieu of the TVM complying with this element of the program. Section 26.51 The City of Moscow may choose to use contract goals to meet any portion of the triennial goal if we do not anticipate being able to meet a goal using race-neutral means. Contract goals are established so that, over the period to which the goal applies, they will cumulatively result in meeting any portion of our triennial goal that is not projected to be met through the use of race-neutral means. We will establish contract goals only on those DOT -assisted contracts that have subcontracting possibilities. We need not establish a contract goal on every such contract, and the size of contract goals Page 7 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 will be adapted to the circumstances of each such contract type and location of work, availability of DBEs to perform the particular type of work.) We will express our contract and/or triennial goals as a percentage of the Federal share of a DOT­ assisted contract. Section 26.53 Good Faith Efforts Procedures Award of Contracts with a Triennial DBE Goal: 26.53(a) In those instances where a triennial DBE goal is included in a procurement/solicitation, the City of Moscow will not award the contract to a bidder who is not either willing to implement good faith efforts in meeting the goal with verified, countable DBE participation; or willing to document it has made adequate good faith efforts to meet the DBE goal, even though it has made sufficient good faith efforts prior to submission of its bid (Attachment Evaluation of Good Faith Efforts: 26.53(a) & The DBELO is responsible for determining whether a bidder/offeror who has not met a goal has documented sufficient good faith efforts to be regarded as responsive. The DBELO will consider documentation provided that shows the quality, quantity, and intensity of the different kinds of efforts that the bidder/offeror has made in contacting and obtaining bids from DBEs. We will ensure that all information is complete and accurate and adequately documents the bidder/offer's good faith efforts before we commit to the performance of the contract by the bidder/offeror (Attachment Information to be Submitted 26.53(b) The City of Moscow treats bidder/offers' compliance with good faith efforts' requirements as a matter of responsiveness. Each solicitation for which a contract or triennial goal has been established will require the bidders/offerors to submit the following information (Attachment 1. The names and addresses of DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform; 3. The dollar amount of the participation of each DBE firm participating; 4. Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract or triennial goal; 5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractors commitment; and 6. If the contract or triennial goal is not met, evidence of good faith efforts. Administrative Reconsideration 26.53(d) Within five business days of being informed by the City of Moscow 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: Gary Riedner, City Supervisor, Moscow City Hall, 206 East Third Street, PO Box 9203, Moscow, 10 83843, [PHONE REDACTED], [EMAIL REDACTED]. The reconsideration official will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts. As part of this reconsideration, the bidder/offeror will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. We will send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the Page 8 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/1 2 bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to the Department of Transportation. Good Faith Efforts when a DBE Terminated/Replaced on a Contract with DBE Goals 26.53(f) The City of Moscow requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE goal without the City's prior written consent. Prior written consent will only be provided where there is a "good cause" for termination of the DBE firm, as established by Section 26.53(f)(3) of the DBE regulation. Before transmitting to the City of Moscow 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 the City prior to consideration of the request to terminate. The DBE will then have five days to respond and advise the City of why it objects to the proposed termination. This five day notice period may be reduced at the City's discretion if the matter is one of public necessity or safety. In those instances where "good cause" exists to terminate a DBE's contract, the City of Moscow 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 DBE goal. The City will require the prime contractor to notify the DBELO immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. In this situation, we will require the prime contractor to obtain our 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, our 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 City Attorney may issue a termination for default proceeding. 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 the City of Moscow 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 triennial goal of .53% percent has been established (see Attachment The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (Attachment 7) to meet the triennial goal for DBE participation in the performance of activities performed. The bidder/offeror will be required to submit the following information: the names and addresses of DBE firms that will participate in the contract; a description of the work that each DBE firm will perform; the dollar amount of the participation of each DBE firm participating; written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet a goal; written confirmation from the DBE that it is participating in the contract as provided in the commitment made under and if the goal is not met, evidence of good faith efforts. Section 26.55 Counting DBE Participation We will count DBE participation toward triennial goals as provided in 49 CFR 26.55. Page 9 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 SUBPART D & E- CERTIFICATION Section 26.61 - 26.73 Certification Process For information about the DBE certification process or to apply for certification, firms should contact: Elizabeth Healas - (208) 334-8567 DBE Supportive Services, Idaho Transportation Department, PO Box 7129, Boise, ID 83707-1129, http://www.itd.idaho.gov/civil/ Section 26.81 Unified Certification Programs The City of Moscow is a member of a Unified Certification Program (UCP) administered by Idaho Transportation Department Equal Employment Opportunity Office (ITD/EEOO). The UPC will meet all of the requirements of this section (Attachment The ITD/EEOO oversees the process for designation of a Certification Committee as stated in the approved lTD DBE Program under Section Ill DBE Certification Process A. Certification Committee. The Certification Committee will perform DBE certification, recertification, and decertification for Idaho recipients. This UPC meets all of the requirements of this section and the City of Moscow recognizes this program as the authorizing process for certification, recertification and decertification of firms in the DBE Program for the State of Idaho as required by 49 CFR Part 26.81. See Attachment 8 for "Statement of Agreement" executed by the City of Moscow to recognize this program as the Idaho UCP authority for the State of Idaho http://www.itd.idaho.gov/civil/pdf/UCP.pdf. Section 26.83 - 26.91 Procedures for Certification Decisions In the state of Idaho, all DBE certifications are reviewed through the DBE Support Services in the Idaho Transportation Department Equal Employment Opportunity Office (ITD/EEOO). Eligibility is reviewed and certified by ITD/EEOO to ensure the federal requirements are met as defined in 49 CFR Part 26, as amended for US Department of Transportation projects. The City of Moscow has access to the directory of certified directory which is updated and available at http://www.itd.idaho.gov/civil/dbeforms.htm#Directorv A third party may challenge a firm's presumed eligibility or a firm's certification as a DBE. The City of Moscow shall review the information received. If the challenge appears to have merit, the City of Moscow will notify the ITD/EEOO, who has the authority to investigate and resolve the challenge in accordance with the certification requirements of 49 CFR Part 26, as amended. The City of Moscow will provide all available information for investigation and identify the third party challenger to the ITD/EEOO. The challenged party may submit rebutting information to the ITD/EEOO for their consideration. The City of Moscow shall actively cooperate with ITD/EEOO. The City of Moscow shall actively cooperate with the ITD/EEOO, if needed, until the investigation is concluded and a final determination is issued by ITD/EEOO. In addition to the performance of the certification function for all public agencies in the State of Idaho, the ITD/EEOO is responsible for decertification if a DBE no longer qualifies for the program under 49 CFR Part 26 SBA small business criteria. The City of Moscow will cooperate with the ITD/EEOO as needed to assist in the decertification process. Once decertified, a DBE contractor will no longer be counted towards the agency's overall triennial aspirational goals. Any firm or complainant may appeal the ITD/EEOO decision in a certification matter to DOT. Such appeals may be sent to: Department of Transportation Office of Civil Rights Certification Appeals Branch 1200 New Jerse Avenue SE West Building, 7 Floor Washington, D.C. 20590 Page 10 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 The City of Moscow will implement any DOT certification appeal decisions affecting the eligibility of DBEs for our DOT -assisted contracting. SUBPART F- COMPLIANCE AND ENFORCEMENT Section 26.109 Information, Confidentiality, Cooperation The City of Moscow will safeguard from disclose to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. As a municipal corporation of the State of Idaho, City of Moscow is subject to the Idaho Public Records Law (Idaho Code 9-337 - 9-350). Every person has a right to examine and request a copy of any public record of the State of Idaho. There is a presumption that all public records in Idaho are open at all reasonable times for inspection and copying, except as otherwise expressly provided by statute under Idaho Code § 9-338(1 Public records requests are reviewed by the Moscow City Clerk who is the custodian of the records for the City of Moscow and also by the City Attorney where there may be a question regarding whether certain records should be disclosed. Records that are exempt from disclosure are those which fit within certain exemption categories created by the State of Idaho; see I.C. 9-340A - 9-340H. Notwithstanding any contrary provisions of state or local law, the City of Moscow 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 City of Moscow 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 from the City of Moscow or DOT. This reporting requirement also extends to any certified DBE subcontractor. The City of Moscow 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. Attachment 1 Attachment 2 Attachment 3 Attachment 4 Attachment 5 Attachment 6 Attachment 7 Attachment 8 ATTACHMENTS Organizational Chart DBE Directory Monitoring and Enforcement Mechanisms/Legal Remedies Goal Setting Methodology Good Faith Efforts Forms Certification Forms DBE Regulations: 49 CRR Part 26 DBE Publication, Comments and Responses Page 11 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/1 2 Attachment 1 City of Moscow- Administrative Department Organizational Chart City Supervisor Administrative Assistant II
lJ Eco34miC!peveiO5ment Specialist . I - - - Page 1 2 of 23 ---PAGE BREAK--- City of Moscow - DBE Program Attachment 2 DBE Directory http://www.itd.idaho.gov/civil/dbeforms.htm#Directory 6/1 /1 2 http://www.itd.idaho.gov/civil/pdf/Goa1Methodology12.pdf Page 1 3 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 Attachment 3 Monitoring and Enforcement Mechanisms/Legal Remedies The City of Moscow 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 Idaho Code Sections 5-216 and/or 5-217. See also, Idaho Code Section 50-301. 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 27; 2. Enforcement action pursuant to 49 CFR Part 31; 3. Prosecution pursuant to 18 USC 1001. Page 14 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 Attachment 4 Section 26.45: Triennial Goal Calculation The City of Moscow's triennial goal for the time period of 2013-2016 is the following: .53% of the Federal financial assistance we will expend in DOT-assisted contracts exclusive of FTA funds to be used for the purchase of transit vehicles. $1 ,936.06 is the dollar amount of DOT-assisted contracts that the City of Moscow expects to award during the FFY2013-2016 time period. This means the City of Moscow has set a goal of expending $10,244 during this time period on an lntermodal Transit Center project. Methodology Used to Calculate Triennial Goal Step 1 - Determine the weight of each type of work by NAICS Code: *Enter all the FTA-assisted projects below. Project amounts should be assigned relevent NAICS Code(s). Amount of DOT %of total DOT NAICS Code Project funds on project: funds (weight) lntermodal Transit 1) 236220 Center $1,936,106.00 1 2) 0 Total FTA-Assisted Contract Funds $1,936,106.00 1 The data source or demonstrable ev1dence used to denve the numerator was: ITD/DBE Bidders list for Idaho District 1 and 2. The data source or demonstrable evidence used to derive the denominator was the Idaho Public Works Licensed Contractors list. Step 2 - Determine the relative availability of DBE's by NAICS Code: * Use DBE Directory, census data and/or a bidders list to enter the number of available DBE firms and the number of available firms Number of DBEs Number of all available to firms available Relative NAICS Code Project perform this work (including DBEs) Availability lntermodal Transit 1) 236220 Center 3 567 0.0053 2) 0 0 Combined Totals 3 567 0.0053 Overall availability of DBEs After calculating a base figure of the relative availability of DBEs; no evidence was found to determine an adjustment was needed to the base figure in order to arrive at the Triennial Goal. Step 3- (Weight) x (Availability) =Weighted Base Figure NAICS Code Project Weight X Availability Weighted Base Figure lntermodal Transit 1) 236220 Center 1 X 0.00529 0.0053 2) 0 0 0 X 0 Total 0.0053 Public Participation Expressed The City of Moscow will publish the DBE Goal information as a% in the local newspaper, the Moscow-Pullman Daily News. (*100) 0.53% Comments from individiuals and/or organizations regarding the DBE Goal will be documented and responses Rounded, will placed as Attachment 8 to this document along with Weighted an Affidavit of Publication. Base Figure: 1% Page 15 of 23 ---PAGE BREAK--- City of Moscow - DBE Program 6/1/12 Attachment 5 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 and submits documentation demonstrating good faith efforts. Name of bidder/offeror's firm: State of Idaho Registration No. Signed by: (Signature) Title _ FORM 2: LETTER OF INTENT Name of bidder/offeror's firms: Address: City: Zip: _ Telephone Number: Email Address: Name of DBE firm: Address: City: Zip: _ Telephone Number: Email Address: 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. Signed 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. Page 16 of 23 ---PAGE BREAK--- City of Moscow - DBE Program Attachment 6 Section 26.81 Unified Certification Programs STATEMENT OF AGREEMENT Idaho Unified Certification Program The Unified Certification Program process developed and implemented by the Idaho Transportation Department for the State of Idaho has been reviewed by this agency. We recognize this program as the authorizing process for certification, recertification and decertification of firms In the Disadvantaged Business Enterprise Program for the State of Idaho as required by 49 CFR Part 26.81. BY: Nancv Chaney, Mayor DATE: November 21 2011 AGENCY: Cltv of Moscow, Idaho ADDRESS: 206 East Third Street, PO Box 9203, Moscow, ID 83843 PHONE: [PHONE REDACTED] S IGNATURE: 1,z94:t 1 RETURN STATEMENT OF AGREEMENT TO: Julie Caldwell External EEO Office Idaho Transportation Department P.O. Box 7129 Boise, Idaho 83703-1129 6/1/1 2 Page 17 of 23 ---PAGE BREAK--- City of Moscow - DBE Program AGREEMENT ESTABLISHING THE IDAHO UNIFIED CERTIFICATION PROGRAM FOR THE DISADVANTAGED BUSINESS ENTERPRISE PROGRAM THIS AGREEMENT is made and entered into by and between the attached listed Recipients and the Idaho Transportation Department (ITO), each a recipient as that term is defined by 49 CFR Part 26.81 and in accordance with the lTD approved Disadvantaged Business Enterprise (DBE) Program. WHEREAS, 49 CFR Part 26.81 requires federal transportation fund recipients of a state to create a Unified Certification Program (UCP) as part of each recipient's DBE program; and WHEREAS, the parties require certification, recertification, and decertification af firms as a DBE; and WHEREAS, all recipients of federal transportation funds in this state are covered by the requirements of 49 CFR Part 26.81 , and are also required to participate in a Unified Certification Program; and WHEREAS, the parties desire to join together for cooperative action pursuant to canying out the requirements of 49 CFR Part 26 and to establish an Idaho Unified Certification Program (IUCP); and WHEREAS, the governing board of each party has by resolution authorized the entering into of the Agreement and the establishment of the IUCP; and WHEREAS, by that agreement each current recipient and/or future recipients identified by the lTD are bound by the requirements of the IUCP and agree to abide by the requirements of the I UCP which is a continuation of the lTD current and previous process. NOW, THEREFORE, in consideration of the mutual promises and benefits that each party shall derive therefrom, the parties agree as follows: ARTICLE I PURPOSES The parties have entered into this Agreement for the purposes of creating an Idaho Unified Certification Program (IUCP) to be administered by the Idaho Transportation Department Equal Employment Opportunity Office (ITD/EEOO). The ITD/EEOO will oversee the process for designation of a Certification Committee as stated in the approved lTD DBE Program under section Ill DBE Certification Process, A. Certification Committee. This Certification Committee will perform DBE certification, recertification, and decertification for Idaho recipients. ARTICLE II SERVICES Section 2.1. Idaho Unified Certification Program The IUCP is hereby created and implemented in accordance with 49 CFR Part 26.81, as amended. · DBE UCP Agreement B-04 Page 1 of4 6/1/1 2 Page 18 of 23 ---PAGE BREAK--- City of Moscow - DBE Program a. The IUCP will follow all certification, recertification, and decertification procedures in accordance with the certification standards of CFR 49, Subpart D of Part 26 and the certification procedures of Subpart E of Part 26 as applied by the lTD in its DBE Program. This is addressed in the DBE Program Plan in Section Ill. DBE Certification Process C. Application Procedure for Certification as follows: i. Applications are available from the lTD DBE Coordinator in the lTD Equal Employment Opportunity Office, the EEO Safety Training Coordinators (EST) in the lTD District Offices, or on the lTD Equal Employment Opportunity Website. ii. Applications with backup documentation are submitted to the lTD DBE Coordinator in the lTD Equal Employment Opportunity Office at 3311 W. State Street, Boise, Idaho 83703-1129. iii. The DBE Coordinator reviews the application and documentation to verify that the information is complete and then requests that the appropriate EST perform an on-site review. lv. The Certification Committee will meet every thirty (30) days or sooner if necessary. The Certification Committee will make eligibility decisions within 90 days of receipt of all required infonmation. v. Out of state firms applying for certification must be certified within their home state to qualify for the Idaho program. On-site-reviews from the out-of-state applicant will be accepted from the home state certification entity. All other functions of the certification process for an out-of-state firm are the same as identified above. vi. A firm that believes that they have been wrongly denied certification may appeal in writing to the United States Department of Transportation, Office of Civil Rights, 400 7th Street, S.W., Room 2401 , Washington, D.C. 20590. Appeals must be submitted within ninety (90) days after certification has been denied. vii. A firm that receives a Notice of Intent to Decertify may request an Informal hearing by the selected Hearing Officer. Requests for an oral hearing need be submitted within 10 days of the notification and will be conducted within 30 days of receipt of the request. A hearing request for written arguments must be submitted within 30 days and then the selected Hearing Officer will make a decision within 30 days from receipt of the request. Any request for a hearing must be directed to the Equal Employment Opportunity Manager (EEOM) at the Idaho Transportation Department, 3311 West State Street, Boise, Idaho 83703-1129. viii. The Idaho electronic DBE Directory located on the lTD website will be updated with additions, deletions, and other changes as they occur. In addition to this update interested members of the IUCP will be notified of changes as they occur. DBE UCP Agreement B-04 Page 2 of 4 6/1/1 2 Page 1 9 of 23 ---PAGE BREAK--- City of Moscow - DBE Program b. The IUCP will cooperate fully with oversight, review and monitoring activities of the United States Department of Transportation (USDOT) and its operating administrations. c. The IUCP will implement USDOT directives and guidance concerning certification, recertification, and decertification procedures in accordance with the certification standards of CFR 49, Subpart D of Part 26 and the certification procedures of Subpart E of Part 26 as applied by the approved lTD DBE Program Plan. d. Each recipient party to this Agreement shall ensure that the IUCP has sufficient resources and expertise to carry out the requirements of 49 CFR Part 26. The ITD/CRO currently is receiving appropriate resources to provide the needed actions to meet the requirements of 49 CFR Part 26 in the establishment and implementation of the IUCP. e. The IUCP will be fully implemented within 120 days of the Secretary's approval of the IUCP on the following schedule: i. Within 90 days of the Secretary's approval of the I UCP, each party to this agreement will begin to utilize the unified procedures set forth in the IUCP Agreement. ii. Within 1 20 days after the Secretary's approval of the IUCP, the Committee will begin to meet on a regular basis as required to certify DBE applicants. iii. Within 60 days after the Secretary's approval the IUCP will post the unified DBE Directory on it's website. Section 2.2. Idaho Unified Certification Committee The ITD/EEOM is identified as the administrator of the IUCP and responsible for the process for designation of the Certification Committee (Committee) which is established to administer the IUCP certifications as required by the approved lTD DBE Program Plan and CFR 49 Part 26, Subpart D and Subpart E. Section 2.3. DBE Directorv The DBE Directory will be maintained in electronic fonmat by the Idaho Transportation Department, DBE Supportive Services Office. The Directory will be available to the public through the lTD website. Each recipient will provide a link on its website to the lTD website. Upon a written request the lTD will distribute a printed copy to any recipient to be made available to the public upon request. In addition to this update interested members of the IUCP will be notified of changes as they occur. Section 2.4. Classification of Business and Financial information Each recipient under this Agreement shall safeguard from disclosure to unauthorized person information that may reasonably be considered confidential business information consistent with Federal, State and local law. DBE UCP Agreement 8-04 Page 3 of 4 6/1 /1 2 Page 20 of 23 ---PAGE BREAK--- City of Moscow - DBE Program ARTICLE Ill TERM AND SCOPE OF AGREEMENT Section 3.1. Term This agreement shall be effective Immediately upon its execution by all the parties hereto and the approval of the IUCP by the Secretary of the USDOT. This Agreement and the IUCP shall continue In force as long as required by federal laws and regulations, unless terminated pursuant to Section 3.2. of the Agreement. Section 3.2. Early Termination Any party to this Agreement may terminate its relationship to the IUCP upon a showing of non-recipient status, provided approval is given by USDOT for such termination. Section 3.3. Limited Agreement This Agreement Is limited In scope and nothing contained in this Agreement shall imply any relationship between any of the signing parties beyond the creation and Implementation of the IUCP. IN WITNESS WHEREOF, the parties have executed this Agreement on the dates indicated below and attached: IDAHO TRANSPORTATION DEPARTMENT BY: DAVID S. EKERN, P.E., Director APPROVED AS TO FORM: BY: Legal Counsel DBE UCP Agreement 8-04 Page 4 of 4 6/1 /1 2 Page 21 of 23 ---PAGE BREAK--- City of Moscow - DBE Program Attachment 7 Regulations: 49 CFR Part 26 http://www. fhwa.dot.gov/hep/49cfr26.htm 6/1 /1 2 Page 22 of 23 ---PAGE BREAK--- City of Moscow - DBE Program Attachment 8 DBE Goal Publication, Comments and Responses PUBLIC NOTICE CITY OF MOSCOW, IDAHO DISADVANTAGED BUSINESS ENTERPRISE GOAL 6/1 /12 NOTICE IS HERBY GIVEN, that the City of Moscow has established a Triennial Disadvantaged Business Enterprise (DBE) Goal, applicable to thtt Department of Transportation (DOT) and Federal Transit Administration (FTA) contracting opportunities. The City of Moscow's proposed Triennial Goal and the goal methodology were developed in response to U.S. Department of Transportation Disadvantaged Business Enterprise Final Rule (49 CFR Part 26) and are available for inspection thirty (30) days following the date of this Notice and on the City of Moscow website at www.ci.moscow.id.us, or from 9:00 a.m. to 4:00 p.m., Monday through Friday at the address listed below: Alisa Stone, Grant Manager City of Moscow, Moscow City Hall 206 East Third Street, Room 303 PO Box 9203 Moscow, ID 83 843 Telephone: [PHONE REDACTED] Fax: 208-883-701 8 Email: [EMAIL REDACTED] Written comments will be accepted on the proposed annual goal for forty-five (45) days from the date of this Notice by the City of Moscow, Grants Manager at the contact information listed above; or to Federal Transit Administration at the contact information listed below: Christopher C. MacNeith Regional Civil Rights Officer FTA, Office of Civil Rights 20 1 Mission, Suite 1 650 San Francisco, CA 94501 Tel: 4 1 5-744-2614 Fax: 4 1 5-744-2726 Email: christopher.macnei th@dot. gov Dated at Moscow, Idaho, this l Oth day of March, 201 2. No comments were received by the City of Moscow or the FTA Office of Civil Rights in response to the above publication during the 45 day waiting period. Page 23 of 23