R-11-09-08-10E4 - 9/8/2011RESOLUTION NO. R -11-09-08-10E4
WHEREAS, the City of Round Rock ("City") has received funding from the Federal Transit
Administration, and
WHEREAS, in accordance with regulations of the U.S. Department of Transportation, 49 CFR
Part 26, the City is required to establish a Disadvantaged Business Enterprise (DBE) Program, and
WHEREAS, the "Fiscal Years 2012-2014 Disadvantaged Business Enterprise (DBE)
Program" has been presented for consideration and adoption by the City Council, Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS,
That the "Fiscal Years 2012-2014 Disadvantaged Business Enterprise (DBE) Program", which
is attached hereto as Exhibit "A", is hereby approved and adopted.
The City Council hereby finds and declares that written notice of the date, hour, place and
subject of the meeting at which this Resolution was adopted was posted and that such meeting was
open to the public as required by law at all times during which this Resolution and the subject matter
hereof were discussed, considered and formally acted upon, all as required by the Open Meetings Act,
Chapter 551, Texas Government Code, as amended.
RESOLVED this 8th day of September, 2011.
r
City of Round Rock, Texas
ATTEST:
SARA L. WHITE, City Secretary
O:Awdox\SCClmsA0112V1104\MUNICIPALV00231660.DOC/rmc
POLICY STATEMENT
Objectives/Policy Statement (49 CFR Section 26.1 and 26.23)
The City of Round Rock 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 Round Rock has received Federal financial assistance from the
Department of Transportation, and as a condition of receiving this assistance, the City of
Round Rock has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the City of Round Rock to ensure that DBEs, as defined in 49 CFR Part 26,
have an equal opportunity to receive and participate in DOT—assisted contracts. It is also
our policy:
1. To ensure non-discrimination 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 narrowly 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; and
5. To help remove barriers to the participation of DBEs in DOT assisted contracts,
as allowed by federal, state and local regulations.
6. To assist the development of firms that can compete successfully in the market
place outside the DBE Program.
The City of Round Rock has designated the following individual as our DBE Liaison Officer:
David E. Bartels, 2008 Enterprise Dr., Round Rock, Texas 78664; (512) 671-2760;
dbartelsc round-rock.tx.us. In that capacity, Mr. Bartels 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 Round Rock in
its financial assistance agreements with the Department of Transportation.
The City of Round Rock has disseminated this policy statement to the City Council and all of
the components of our organization. We have distributed this statement to DBE and non -
DBE business communities that perform work for us on DOT -assisted contracts. The
information in this statement is included in all solicitation packages and has been
communicated to local business groups, chambers and community organizations.
Steve Norwood Date
City Manager
3 1 Page
EXHIBIT
A»
EXECUTED
DOCUMENTS
FOLLOW
POLICY STATEMENT
Objectives/Policy Statement (49 CFR Section 26.1 and 26.23)
The City of Round Rock 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 Round Rock has received Federal financial assistance from the
Department of Transportation, and as a condition of receiving this assistance, the City of
Round Rock has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the City of Round Rock to ensure that DBEs, as defined in 49 CFR Part 26,
have an equal opportunity to receive and participate in DOT—assisted contracts. It is also
our policy:
1. To ensure non-discrimination 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 narrowly 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; and
5. To help remove barriers to the participation of DBEs in DOT assisted contracts,
as allowed by federal, state and local regulations.
6. To assist the development of firms that can compete successfully in the market
place outside the DBE Program.
The City of Round Rock has designated the following individual as our DBE Liaison Officer:
David E. Bartels, 2008 Enterprise Dr., Round Rock, Texas 78664; (512) 671-2760;
dbartelsna.round-rock.tx.us. In that capacity, Mr. Bartels 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 Round Rock in
its financial assistance agreements with the Department of Transportation.
The City of Round Rock has disseminated this policy statement to the City Council and all of
the components of our organization. We have distributed this statement to DBE and non -
DBE business communities that perform work for us on DOT -assisted contracts. The
information in this statement is included in all solicitation packages and has been
communicated to local business groups, chambers and community organizations.
-fl
Steve Norwood \ Date
City Manager
3 1 Page
2—tkrb %-L
ROUND ROCK, TEXAS
PURPOSE. PASSION. PROSPERITY.
FINAL
Fiscal Years 2012 - 2014
Disadvantaged Business Enterprise
Program
August 2011
EXHIBIT
nAu
TABLE OF CONTENTS
Pape Number
Policy Statement 3
General Requirements 5
Administrative Requirements 7
Goals, Good Faith Efforts, and Counting 11
Certification 15
Compliance and Enforcement 17
Attachments
Attachment 1 — Organizational Chart 19
Attachment 2 — DBE Directory 21
Attachment 3 — Monitoring and Enforcement Mechanisms 23
Attachment 4 — Overall Goal Calculations 25
Attachment 5 — Breakout of Estimated Race -Neutral & Race -Conscious 31
Participation
Attachment 6 — Forms for Demonstration of Good Faith Efforts 33
Attachment 7 — Regulation: 49 Code of Federal Regulations (CFR) Part 26 37
Attachment 8 — Texas Unified Certification DBE Program Instructions and 39
Application
Fissures
Figure 1 — Organizational Chart
Tables
Table 1 — Calculation of DBE Goal
Forms
Form 1 — Respondent/Contractor Certification
Form 2 - DBE Subcontractor Certification
20
26
34
35
Form 3 — Texas Unified Certification Program Disadvantaged Business 39
Enterprise Instructions and Application
POLICY STATEMENT
Objectives/Policy Statement (49 CFR Section 26.1 and 26.23)
The City of Round Rock 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 Round Rock has received Federal financial assistance from the
Department of Transportation, and as a condition of receiving this assistance, the City of
Round Rock has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the City of Round Rock to ensure that DBEs, as defined in 49 CFR Part 26,
have an equal opportunity to receive and participate in DOT—assisted contracts. It is also
our policy:
1. To ensure non-discrimination 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 narrowly 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; and
5. To help remove barriers to the participation of DBEs in DOT assisted contracts,
as allowed by federal, state and local regulations.
6. To assist the development of firms that can compete successfully in the market
place outside the DBE Program.
The City of Round Rock has designated the following individual as our DBE Liaison Officer:
David E. Bartels, 2008 Enterprise Dr., Round Rock, Texas 78664; (512) 671-2760;
dbartelst round-rock.tx.us. In that capacity, Mr. Bartels 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 Round Rock in
its financial assistance agreements with the Department of Transportation.
The City of Round Rock has disseminated this policy statement to the City Council and all of
the components of our organization. We have distributed this statement to DBE and non -
DBE business communities that perform work for us on DOT -assisted contracts. The
information in this statement is included in all solicitation packages and has been
communicated to local business groups, chambers and community organizations.
Steve Norwood
City Manager
3 1 Page
Date
THIS PAGE
INTENTIONALLY
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GENERAL REQUIREMENTS
Objectives (49 CFR Section 26.1)
The objectives are found in the policy statement on the first page of this program.
Applicability (49 CFR Section 26.3)
The City of Round Rock is the recipient of federal transit funds authorized by Titles I
(Highways), III (Public Transportation) and V (Research), of Safe, Accountable, Flexible and
Efficient Transportation Equity Act — Legacy for Users of 2003 (SAFTEA-LU), Pub. L. 109-59
and all extensions.
Definitions (49 CFR Section 26.5)
The terms used in this program have the meanings defined in 49 CFR Section 26.5.
Non-discrimination Requirements (49 CFR Section 26.7)
The City of Round Rock 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 Round Rock 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 (49 CFR Section 26.11)
Reporting to U.S. Department of Transportation: 49 CFR 26.11(b)
The City of Round Rock will report DBE participation on a semi-annual basis, using the
Uniform Report of DBE Awards or Commitments and Payments Form. These reports will
reflect the federal portion of payments actually made to DBEs on DOT -assisted contracts.
Bidders List: 49 CFR 26.11(c)
The City of Round Rock will create a bidders list, consisting of information about all DBE and
non -DBE firms that bid or quote on DOT -assisted contracts. The purpose of this
requirement is to allow use of the bidders list approach to calculating overall goals. The
bidders list will include the name, address, DBE or non -DBE status, age, and annual gross
receipts of firms.
The City will collect this information in the following ways:
The City will use the information obtained from the bid proposals.
5 1 Page
The City will require prime bidders to report the names, addresses, DBE or non -DBE
status, age, and annual gross receipts of firms of all firms who quote to them on
subcontracts.
The City will monitor payments to DBEs.
The City will require prime contractors to maintain records and documents of
payments to DBEs for three (3) years following the performance of the contract.
These records will be made available for inspection upon request by any authorized
representative of the City or DOT. This reporting requirement also extends to any
certified DBE subcontractor.
The City may perform interim audits of contract payments to DBEs. The audit will
review payments to DBE subcontractors to ensure the actual amount paid to DBE
subcontractors equals or exceeds the dollar amount stated in the schedule of DBE
participation.
Federal Financial Assistance Agreement (49 CFR Section 26.13)
The City of Round Rock has signed the following assurances, applicable to all DOT -assisted
contracts and their administration:
Assurance: 49 CFR 26.13(al
The City of Round Rock shall not discriminate on the basis of race, color,
national origin, or sex in the award and performance of any DOT assisted
contract or in the administration of its DBE Program or the requirements of 49
CFR Part 26. The recipient shall take all necessary and reasonable steps
under 49 CFR Part 26 to ensure nondiscrimination in the award and
administration of DOT assisted contracts. The recipient's DBE Program, as
required by 49 CFR Part 26 and as approved by DOT, is incorporated by
reference in this agreement. Implementation of this program is a legal
obligation and failure to carry out its terms shall be treated as a violation of
this agreement. Upon notification to the City of its failure to carry out its
approved program, the Department may impose sanction as provided for
under part 26 and may, in appropriate cases, refer the matter for enforcement
under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986
(31 U.S.C. 3801 et seq.).
Contract Assurance: 49 CFR 26.13b
The City of Round Rock 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.
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ADMINISTRATIVE REQUIREMENTS
DBE Program Updates (49 CFR Section 26.21)
Since the City of Round Rock has received funds, in the form of grants and pre -award
authority, from DOT, the City will continue to carry out this program until all funds from DOT
financial assistance have been expended. The City will provide DOT with updates
representing significant changes in the program.
Policy Statement (49 CFR Section 26.23)
The Policy Statement is elaborated on the first page of this program.
DBE Liaison Officer (49 CFR Section 26.25)
The City of Round Rock has designated the following individual as the DBE Liaison Officer
(DBELO):
David Bartels
City of Round Rock
2008 Enterprise Drive
Round Rock, Texas 78664
Phone: (512) 671-2760
Fax: (512) 218-5563
E-mail: dbartelsOround-rock.tx.us
In that capacity, the DBELO is responsible for implementing all aspects of the DBE program
and ensuring that the City of Round Rock complies with all provisions of 49 CFR Part 26.
The DBELO has direct, independent access to the City Manager concerning DBE program
matters. An organization chart displaying the DBELO's position in the organization is found
in Attachment 1, Organizational Chart, to this program.
The DBELO is responsible for developing, implementing and monitoring the DBE program,
in coordination with other appropriate officials. The DBELO has a staff of one (1) to assist
in the administration of the program. The duties and responsibilities of the DBELO and
staff include the following:
1. Gathers and reports statistical data and other information as required by DOT.
2. Reviews third party contracts and purchase requisitions for compliance with this
program.
3. Works with all departments to set overall annual goals.
4. Ensures that bid notices and requests for proposals are available to DBEs in a
timely manner.
5. Identifies contracts and procurements so that DBE goals are included in
solicitations (both race -neutral methods and contract specific goals attainment)
and identifies ways to improve progress.
6. Analyzes the City of Round Rock's progress toward attainment and identifies
ways to improve progress.
7. Participates in pre-bid and pre -construction meetings.
7 I Page
8. Advises the City Manager/City Council on DBE matters and achievement.
9. Responsible for determining whether a bidder/offeror who has not met the
contract goal has documented sufficient good faith efforts.
10. Provides DBEs with information and assistance in preparing bids, obtaining
bonding and insurance.
11. Plans and participates in DBE training seminars.
12. Acts as liaison to the Uniform Certification Process in the State of Texas.
13. Provides outreach to DBEs and community organizations to advise them of
opportunities.
14. Maintains the bidders list of all DBE and non -DBE firms that bid or quote on
DOT -assisted contracts and matching fund contracts.
DBE Financial Institutions (49 CFR Section 26.27)
It is the policy of the City of Round Rock to investigate the full extent of services offered by
financial institutions owned and controlled by socially and economically disadvantaged
individuals in the community, to make reasonable efforts to use these institutions, and to
encourage prime contractors on DOT -assisted contract to make use of these institutions.
The City has researched the availability of DBE owned financial institutions at
http://www.federalreserve.gov/releases/mob and based on the December 31, 2010
quarterly data, the City found services offered by the following financial institutions,
although the institutions are not owned and controlled by socially and economically
disadvantaged individuals in the community.
1. Southwestern NB, Austin Branch, Austin, Texas
2. United Central Bank, Austin Branch, Austin, Texas
3. International Bank of CMRC, Austin, Texas
4. Falcon International Bank, Buda Branch, Buda, Texas
Prompt Payment Mechanisms (49 CFR Section 26.29)
The City of Round Rock will include the following clauses in each DOT -assisted prime
contract:
Prompt Payment Act: In accordance with Chapter 2251, V.T.C.A., Texas
Government Code, any payment to be made by the City to the Vendor will be made
within thirty (30) days of the date the City receives goods under this Agreement, the
date the performance of the services under this Agreement are completed, or the
date the City receives a correct invoice for the goods or services, whichever is later.
The Vendor may charge interest on an overdue payment at the "rate in effect" on
September 1 of the fiscal year in which the payment becomes overdue, in
accordance with V.T.C.A., Texas Government Code, Section 2251.025(b). This
Prompt Payment Policy does not apply to payments made by the City in the event:
1. There is a bona fide dispute between the City and the Vendor, a
contractor, subcontractor, or supplier about the goods delivered or the
service performed that causes the payment to be late; or
8 1 Page
2. There is a bona fide dispute between the Vendor and a subcontractor or
between a subcontractor and its supplier about the goods delivered or the
service performed that causes the payment to be late; or
3. The terms of a federal contract, grant, regulation, or statute prevent the
City from making a timely payment with federal funds; or
4. The invoice is not mailed to the City in strict accordance with any
instruction on the purchase order relating to the payment.
Payment to Subcontractors; Retainage: The prime contractor agrees to pay each
subcontractor under this prime contract for satisfactory performance of its contract
no later than thirty (30) days from the receipt of each payment the prime contractor
receives from the City of Round Rock. The prime contractor agrees further 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 timeframe stated in this paragraph may occur only for good cause,
as determined by the City, and following written approval of the City. This clause
applies to both DBE and non -DBE subcontractors and shall be included in the
contract between the prime contractor and any and all subcontractors.
If the prime contractor does not pay a subcontractor promptly as defined in the
preceding paragraph, the City shall hold retainage from the prime contractor and
provide for prompt and regular incremental acceptances of portions of the prime
contract, pay retainage to the prime contractor based on these acceptances, and
require a contract clause obligating the prime contractor to pay all retainage owed to
the subcontractor for satisfactory completion of the accepted work within thirty (30)
days after payment to the prime contractor.
Dispute Resolution: If a dispute or claim arises under this Agreement, the parties
agree to first try to resolve the dispute or claim by appropriate internal means,
including referral to each party's senior management. If the parties cannot reach a
mutually satisfactory resolution, then and in that event any such dispute or claim
may be sought to be resolved with the help of a mutually -selected mediator. If the
parties cannot agree on a mediator, the City and the prime contractor, or the prime
contractor and a subcontractor, shall each select a mediator and the two mediators
shall agree upon a third mediator. Any costs and fees associated with the
mediation, other than attorney's fees, shall be shared equally by the parties. This
clause applies to both DBE and non -DBE subcontractors and shall be included in
the contract between the prime contractor and any and all subcontractors.
All parties hereby expressly agree that no claim or dispute between the parties
arising out of or relating to this agreement or a breach hereof shall be decided by
any arbitration proceeding, including without limitation any proceeding under the
Federal Arbitration Act (9 USC Section 1-14) or any applicable state arbitration
statute. This clause applies to both DBE and non -DBE subcontractors and shall be
included in the contract between the prime contractor and any and all
subcontractors.
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Directory (49 CFR Section 26.31)
The City of Round Rock participates in a combined statewide directory as part of the Texas
Uniform Certification Program (TUCP). The combined directory is available from the Texas
Department of Transportation at http://www.dot.state.tx.us/business/tucpinfo.htm.
The City also provides the directory in hard copy upon request.
Overconcentration (49 CFR Section 26.33)
Based on the research performed for calculating the overall goal, the City of Round Rock
has not identified an overconcentration exists in the types of work that DBEs perform.
Business Development Programs (49 CFR Section 26.35)
The City of Round Rock has not established a business development program.
Monitoring and Enforcement Mechanisms (49 CFR Section 26.37)
The City of Round Rock will take the following monitoring and enforcement mechanisms to
ensure compliance with 49 CFR Part 26.
1. The City will bring to the attention of the Department of Transportation any false,
fraudulent, or dishonest conduct in connection with the program, so that DOT can take
the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to
the DOT Inspector General, action under suspension and debarment or Program Fraud
and Civil Penalties rules) provided in 26.109.
2. The City will consider similar action under the City's own legal authority, including
responsibility determinations in future contracts. Attachment 3, Monitoring and
Enforcement Mechanisms, lists the regulation, provisions, and contract remedies
available to the City in the events of non-compliance with the DBE regulation by a
participant in the City's procurement activities.
3. The City 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 auditing the DBE contractor or subcontractor to verify that the firm is
performing a commercially useful function that may include: performing, managing and
supervising the work; negotiating price, determining quality and quantity, ordering,
installing and paying for material and supplies; evaluating the amount of work
subcontracted, industry practices, whether the amount the firm is to be paid under the
contract or subcontract commensurates with the work actually performed and the DBE
credit claimed for its performance of the work; and other relevant factors.
4. The City will keep a running tally of actual payments to DBE firms for work committed to
them at the time of contract award.
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GOALS. GOOD FAITH EFFORTS. AND COUNTING
Set -asides or Quotas (49 CFR Section 26.43)
The City of Round Rock does not use quotas in any way in the administration of this DBE
program.
Overall Goals (49 CFR Section 26.45)
A description of the methodology to calculate the overall goal and the goal calculations can
be found in Attachment 4, Overall Goal Calculation, to this program. This attachment will be
updated every three years, as required, and reviewed as necessary during the three years.
In accordance with 49 CFR Section 26.45(f) the City of Round Rock will submit its overall
goal to the U.S. Department of Transportation (DOT)/Federal Transit Administration (FTA)
on August 1st every three years. The City of Round Rock will consult, on an ongoing basis,
with elected and appointed City and County officials, local chambers of commerce, minority,
women's and general contractor groups, community organizations, and other officials and/or
organizations, to obtain information concerning the availability of disadvantaged and non -
disadvantaged businesses and to discuss the effects of discrimination on opportunities for
DBEs, and the City's efforts to establish a level playing field for the participation of DBEs.
The City will publish a notice of the proposed overall goals, informing the public the
proposed goal and its rationale are available for inspection during normal business hours at
the City Library for 30 days following the date of the notice, and informing the public that the
City and DOT/FTA will accept comments on the goals for 45 days from the date of the
notice. The City will publish the notice in local newspapers, available minority -focus media,
trade publications and the City's, website. Normally, the City will issue this notice by June
15t. The notice will include an address to which comments may be sent and addresses
(including offices and websites) where the proposal may be reviewed.
The City's overall goal submission to the DOT/FTA will include a summary of information
and comments received during this public participation process and the City's responses.
The City will begin using the three year overall goal on October 1st of the first year of the
three year plan, unless the City has received other instructions from DOT/FTA. If the City
establishes a goal on a project basis, the City will begin using the goal by the time of the first
solicitation for a DOT -assisted contract for the project.
Transit Vehicle Manufacturers Goals (49 CFR Section 26.49)
The City of Round Rock will require each transit vehicle manufacturer, as a condition of
being authorized to bid or propose on FTA -assisted transit vehicle procurements, to certify it
has complied with the requirements of this section. Alternatively, the City 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.
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Breakout of Estimated Race -Neutral & Race -Conscious Participation
(49 CFR Section 26.51(a -c))
The breakout of estimated race -neutral and race -conscious participation can be found in
Attachment 5, Breakout of Estimated Race -Neutral & Race -Conscious Participation, to this
program. This section of the program will be updated annually when the goal calculation is
updated.
Contract Goals (49 CFR Section 26.51(d -g))
The City of Round Rock will use contract goals to meet any portion of the overall goal that
the City does not project being able to meet using race -neutral means. Contract goals are
established so, over the period to which the overall goal applies, they will cumulatively result
in meeting any portion of the City's overall goal that is not projected to be met through the
use of race -neutral means.
The City will establish contract goals only on those DOT -assisted contracts that have
subcontracting possibilities. The City 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.)
The City will express contract goals as a percentage of the Federal share of a DOT -assisted
contract.
Good Faith Efforts Procedures (Section 26.53)
Demonstration of good faith efforts (26.53(a) & (c))
The obligation of the bidder/offeror is to make good faith efforts to include DBEs in the
project. The bidder/offeror can demonstrate that it has done so either by meeting the
contract goal or documenting good faith efforts. Examples of good faith efforts are found in
Attachment A to Part 26.
The DBELO 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.
The DBELO will ensure all information is complete and accurate and adequately documents
the bidder/offeror's good faith efforts before the City commits to the performance of the
contract by the bidder/offeror.
Information to be submitted (26.53(b))
The City of Round Rock treats bidder/offers' compliance with good faith efforts' requirements
as a matter of responsiveness.
Each solicitation for which a contract goal has been established will require the
bidders/offerors to submit the following information:
1. The names and addresses of DBE firms that will participate in the contract;
12 1 Page
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 goal (Attachment 6, Form 1);
5. Written and signed confirmation from the DBE that it is participating in the
contract as provided in the prime contractors commitment (Attachment 6, Form
2); and
6. If the contract goal is not met, evidence of good faith efforts.
Administrative reconsideration (26.53(d))
A bidder/offeror may request administrative reconsideration within fifteen (15) calendar days
of being informed by the City of Round Rock that it is not responsive due to not documenting
sufficient good faith effort. Bidder/offerors should make this request in writing to the
following reconsideration official: Jerry Galloway, City of Round Rock, 221 East Main Street,
Round Rock, Texas, 78664, (512) 218-5432 jdg aground-rock.tx.us. 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 the City's reconsideration official to discuss the issue of whether it met the goal
or made adequate good faith efforts to do. The City 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 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 is replaced on a contract (26.53(f))
The City will require a contractor to make good faith efforts to replace a DBE that is
terminated or has otherwise failed to complete its work on a contract with another certified
DBE, to the extent needed to meet the contract goal. The City will require the prime
contractor to notify the DBELO prior to terminating any DBE firm. The prime contractor will
also immediately notify the DBELO of any DBE's inability or unwillingness to perform. The
prime contractor must provide reasonable documentation for the termination of a DBE firm
and/or the DBE's inability or unwillingness to perform.
The prime contractor must provide copies of the new or amended subcontracts. If the prime
contractor cannot replace a DBE firm with another DBE firm, the prime contractor must
submit good faith efforts documentation.
If the contractor fails or refuses to comply in the time specified, the City 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 may issue a termination for default proceeding.
13 Page
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 Round Rock to
practice nondiscrimination based on race, color, sex, or national origin in the award
or performance of this contract. All firms qualifying under this solicitation are
encouraged to submit bids/proposals. Award of this contract will be conditioned
upon satisfying the requirements of this bid specification. These requirements apply
to all bidders/offerors, including those who qualify as a DBE. A DBE contract goal of
22 percent has been established for this contract. The bidder/offeror shall make good
faith efforts, as defined in Attachment 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 on the City
specified forms, as provided in the project manual: (1) the names and addresses of
DBE firms that will participate in the contract; (2) a description of the work that each
DBE firm will perform; (3) the dollar amount of the participation of each DBE firm
participating; (4) Written documentation of the bidder/offeror's commitment to use a
DBE subcontractor whose participation it submits to meet the contract goal; (5)
Written confirmation from the DBE that it is participating in the contract as provided in
the commitment made under (4); and (5) if the contract goal is not met, evidence of
good faith efforts.
Counting DBE Participation (Section 26.55)
The City of Round Rock will count DBE participation toward overall and contract goals as
provided in 49 CFR 26.55.
14 1 Page
CERTIFICATION
The Texas Unified Certification Program (TUCP) is a one-stop certification process for the
Texas DBE Program. The TUCP follows Federal Regulation 49 CFR, Part 26. Under the
TUCP, the City of Round Rock is a participant and not a certifying agency. The City's
agreement was signed on April 21, 2006 and submitted to the Texas Department of
Transportation on April 26, 2006 with an effective date of March 6, 2006. The City of Austin,
through the South Central Texas Regional Certification Agency (SCTRCA), is the current
certifying agency for Williamson County. All certification activities should be submitted to the
certifying entity that serves the Texas County in which the business' home or corporate
headquarters is located. The appropriate addresses are listed below:
The counties of Bastrop, Caldwell, Hays, Travis, and Williamson.
City of Austin, Department of Small and Minority Business Resources
4201 Ed Bluestein
Austin, TX 78721
Tel: (512) 974-7600
Fax: (512) 974-7601
Email: dsmbrn.ci.austin.tx.us
The counties of Brazoria, Chambers, Fort Bend, Galveston, Harris, Liberty, Montgomery,
and Waller.
Mayor's Office of Business Opportunity
Carlecia D. Wright, Director
611 Walker, 7th Floor
Houston, Texas 77002
Tel: (713) 837-9000
Fax: (713) 837-9055
Email: mail a(citvofhouston.net
The counties of Aransas, Bee, Goliad, Jim Wells, Kames, Kleberg, Live Oak, Nueces,
Refugio, and San Patricio.
Mr. Jorge Cruz-Aedo
Managing Director of Administration
Corpus Christi Regional Transportation Authority
5658 Bear Lane
Corpus Christi, TX 78405
Tel: (361) 289-2712
Fax: (361) 289-0605
Email: icruz-aedo(ccrta.orq
The counties of Collin, Dallas, Denton, Ellis, Erath, Hood, Jack, Johnson, Kaufman, Navarro,
Palo Pinto, Parker, Rockwall, Somervell, Tarrant, and Wise.
North Central Texas Regional Certification Agency
624 Six Flags Drive, #100
15 1 Page
Arlington, TX 76011
Tel: (817) 640-0606
Fax: (817) 640-6315
Email: maila.nctrca.orq
The counties of Atascosa, Bandera, Bexar, Comal, Frio, Guadalupe, Kendall, Kerr,
McMullen, Medina, Uvalde, and Wilson.
South Central Texas Regional Certification Agency
3201 Cherry Ridge St., Building C-319
San Antonio, TX 78230
Tel: (210) 227-4722
Fax: (210) 227-5712
Email: info@sctrca.orq
ALL other remaining counties in Texas.
Texas Department of Transportation
Business Opportunity Programs Section
125 E. 11th Street
Austin, TX 78701-2483
Tel: (866) 480-2518
Fax: (512) 486-5539
Email: tucodataCa dot.state.tx.us
16 1 Page
COMPLIANCE AND ENFORCEMENT
Information, Confidentiality, Cooperation (Section 26.109)
The City of Round Rock will safeguard from disclosure to third parties information that may
reasonably be regarded as confidential business information, consistent with federal, state,
and local law.
The City requires all contracting parties to expressly acknowledge that the City is a Texas
municipality and, as such, is subject to and will obey the Texas Public Information Act and
other related statutes.
Section 552.128(a) of the Texas Public Information Act states, "Information submitted by a
potential vendor or contractor to a governmental body in connection with an application for
certification as a historically underutilized or disadvantaged business under a local, state, or
federal certification program is excepted from [required public disclosure], except as
provided by this section."
The revised language in 49 CFR Part 26 Section 26.67 (a) (2) (iii) states that statements of
personal net worth, with supporting documentation, must be kept confidential. "It may be
provided to a third party only with the written consent of the individual to whom the
information pertains. This provision is specifically intended to pre-empt any contrary
application of state or local law." The only exception to this rule relates to applicant appeals
to DOT for a Recipient's denial of certification based on a lack of economic disadvantage.
Notwithstanding any contrary provisions of state or local law, the City 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.
17 1 Page
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18 1 Page
Attachment 1
Organizational Chart
19 1 Page
City
Manager
Director
Transportation
Administrator
Transit/Public
Transportation
DBE
Liaison Officer
Figure 1: Organizational Chart
20 1 Page
Director
Finance
Reconsideration
Official
Attachment 2
DBE Directory
21 1 Page
The most current copy of the Texas Unified Certification Program DBE Information Directory
can be obtained on the world-wide web at htta://www.dot.state.tx.us/business/tucpinfo.htm
or a copy can be requested from the City of Round Rock DBE Liaison Officer, David E.
Bartels, 2008 Enterprise Dr., Round Rock, Texas 78664, (512) 617-2760, dbartelst round-
rock.tx.us.
The Texas Unified Certification Program DBE Information Directory is hereby incorporated
by reference.
22 1 Page
Attachment 3
Monitoring and Enforcement Mechanisms
23 1 Page
The City of Round Rock will monitor the DBE participation in the following ways:
1. The prime contractor shall submit written monthly DBE status reports to the
DBELO.
2. The City will conduct periodic status reviews of the prime contractor's compliance
with this Program.
The City of Round Rock 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 State Code and other applicable laws,
statutes, regulations, etc.
In addition, the federal government has available several enforcement mechanisms that it
may apply to firms participating in the DBE program, including, but not limited to, the
following:
1. If you are a firm that does not meet the eligibility criteria of subpart D of this part
and that attempts to participate in a DOT -assisted program as a DBE on the
basis of false, fraudulent, or deceitful statements or representations or under
circumstances indicating a serious lack of business integrity or honesty, the
Department may initiate suspension or debarment proceedings against you
under 49 CFR part 29.
2. If you are a firm that, in order to meet DBE contract goals or other DBE program
requirements, uses or attempts to use, on the basis of false, fraudulent or
deceitful statements or representations or under circumstances indicating a
serious lack of business integrity or honesty, another firm that does not meet the
eligibility criteria of subpart D of this part, the Department may initiate suspension
or debarment proceedings against you under 49 CFR part 29.
3. In a suspension or debarment proceeding brought under paragraph 1 or 2 of this
section, the concerned operating administration may consider the fact that a
purported DBE has been certified by a recipient. Such certification does not
preclude the Department from determining that the purported DBE, or another
firm that has used or attempted to use it to meet DBE goals, should be
suspended or debarred.
4. The Department may take enforcement action under 49 CFR Part 31, Program
Fraud and Civil Remedies, against any participant in the DBE program whose
conduct is subject to such action under 49 CFR part 31.
5. The Department may refer to the Department of Justice, for prosecution under 18
U.S.C. 1001 or other applicable provisions of law, any person who makes a false
or fraudulent statement in connection with participation of a DBE in any DOT -
assisted program or otherwise violates applicable Federal statutes.
24 1 Page
Attachment 4
Overall Goal Calculation
25 1 Page
Methodology Used to Calculate Overall Goal
The City established its DBE goal for FY 2012 through FY 2014 in accordance with 49 CFR
Part 26 Section 26.45. The City followed a two-step process based on documented
evidence of the availability of ready, willing and able DBEs relative to all businesses ready,
willing and able to participate in its DOT -assisted contracts.
Step 1. To establish a base figure, the City looked at the possible contracting opportunities
for DOT -funded projects for award in fiscal years 2012, 2013 and 2014 and selected the
Texas Department of Transportation, Austin District, as our market area. The market area
includes Bastrop, Blanco, Burnet, Caldwell, Gillespie, Hays, Lee, Llano, Mason, Travis and
Williamson counties.
Step 2. The City does not have the necessary historical data to adjust the base figure but
the City did adjust the base figure to reflect the lag of the U.S. Census Bureau NAICS 2009
County Business Patterns data behind the Austin District TUCP DBE Category Listing by
approximately two (2) years. The total number of DBE firms reflects the availability in 2011
of ready, willing, and able DBE firms. Assuming that the number of ready, willing, and able
firms grew from 2009 to 2011, the goal calculation would be inflated. The City calculated
the percent of growth of total firms ready, willing, and able from 2007 to 2009 and the result
was a 28% increase. The City increased the number of total ready, willing, and able firms
from the U.S. Census Bureau data by 28% to account for the lag between the Census
Bureau data and the TUCP data.
1
2
3
4
5
6
7
8
9
10
541330
221310
236220
237310
238110
238120
238140
238150
238210
238220
238310
238320
238330
238910
238990
561730
Construction
$600,000
$2,750,000
18%
82%
372
1458
589
2704
754
3461
49%
42%
$1,158,440
45'
Table 1: Calculation of DBE Goal
26 1 Page
■ Column 1 indicates the NAICS Codes, which correspond to the possible contracting
opportunities
• Column 2 indicates the industry category
• Column 3 shows the dollar amount of the possible contracting opportunities
• Column 4 is the percent of the total budget for each industry category
■ Column 5 shows the total number of DBE firms ready, willing, and able to perform
the work. The data source used for identifying ready, willing and able DBE firms is
the Austin District Texas Unified Certification Program (TUCP) DBE Category Listing.
The listing used for fiscal years 2012, 2013, and 2014 goal setting is dated June 21,
2011. The web address is http://www.txdot.Qov/business/tucp/tucp-cat-
dist.htm?dist=AUS. The listing is updated periodically by the Texas Department of
Transportation; therefore the on-line listing does not match the listing used to
develop the overall base figure.
• Column 6 shows the total number of firms ready, willing and able to perform the
work. The City uses the U.S. Census Bureau North American Industry Classification
System (NAICS) 2009 County Business Patterns to identify the number of ready,
willing, and able firms. The web address is
htto://www.census.aoviecon/cbo/index.htnnl.
• Column 7 represents the adjusted total number of firms ready, willing and able to
perform the work. The City applied the estimated data lag percentage of 28% to the
total number of firms (Column 6) to reach the adjusted total number of firms.
■ Column 8 reflects the base figure for relative availability of DBEs for each industry
category. The City divided the number of DBEs by the adjusted number of total firms
to arrive at the base figure.
• Column 9 is the result from applying the percentage in column 8 to the dollar
amounts in column 3 to derive actual dollar amounts for DBE achievement for each
industry category.
• Column 10 represents the base goal of 43%, which was derived at by dividing the
total DBE Dollars to Expect (Column 9) by the total Possible Contracting
Opportunities (Column 3).
If during the three year period the City knows it will have less or additional contracting
opportunities, which would significantly impact the established goal, the City will make an
adjustment to the goal.
27 1 Page
Public Participation
The City published the revised goal information in the following publications: The Round
Rock Leader and The Austin -American Statesman. The City advertised the public notice on
the City's website and with DBE Good Faith. The City also posted the public notice at City
Hall. The amended DBE Program was available for review from July 12, 2011 through
August 11, 2011. Public comments on the revised DBE Program were accepted from July
12, 2011 through August 26, 2011.
The City received comments from these individuals and/or organizations:
1) Ms. Aida Douglas, Business Development Manager/DBE Officer, Capital
Metropolitan Transportation Authority
Summaries of these comments are as follows:
1) 1 have reviewed your goal proposal for FY 2012-2014 and wanted to provide a
comment.
Based on historical data for our region, it seems that 43% DBE goal over the next 3
years may be a high goal to achieve and maintain over three years. Unless your
goal is 43% with a combination of RC and RN and the RN portion is what will take it
to that level. Without looking at the data table, I would like to provide you with some
cautious advice based on historical data.
Thank you for the opportunity to comment on your goal methodology.
The City's responses to these comments are:
1) A phone conversation with Ms. Douglas was held to discuss her comment. She
suggested the City contact peer cities to request information regarding their DBE
goals. In addition to Capital Metro, the City obtained goal information from Waco
Transit System, Austin -Bergstrom International Airport (ABIA) and VIA, as follows:
agency
Total Goal:'
Race Conscious `
Irtace Neutral.:..
Capital Metro
23%
17%
6%
Waco Transit Sys.
5.46%
0%
5.46%
ABIA
28.56%
27.52%
1.04%
VIA
15.48%
9.07%
6.41%
The City reviewed the peer agencies goals and their goal setting methodologies.
The City followed similar processes as the peer cities for goal setting, which followed
U.S. DOT's two-step methodology. Given the maturity of the peer city programs,
their goals accounted for actual market conditions and availability of DBEs to do the
work. At the same time their goals did not impede the ability of prime contractors to
find DBE firms to perform the work.
After careful reconsideration the City will reduce the 43% goal to 26%, which is an
increase over previous City goals. This adjustment takes into account the extensive
experience of the peer cities resulting in reasonable and achievable contract goals.
28 1 Page
Public Outreach
July 22, 2010 City Council DBE Program Presentation
May 23, 2011 Round Rock Chamber of Commerce Power Lunch DBE Program
Presentation
May 26, 2011 City Council DBE Program Presentation
July 18, 2011 Georgetown Chamber of Commerce DBE Program Presentation
Upcoming Public Outreach
African American Chamber DBE Program Presentation
Amount of Goal
1. The City of Round Rock's overall goal for fiscal years 2012, 2013 and 2014 is the
following: the City will expend 26% with DBE firms, on future DOT -assisted contracts, which
is exclusive of FTA funds to be used for the purchase of transit vehicles.
In addition, the City will make efforts to expend a portion of the future DOT -assisted
contracts with small businesses within our area per 49 CFR Part 26 Section 39. Those
efforts will include unbundling contracts, where possible, and encouraging contractors to
utilize small businesses as sub -contractors when there is not a DBE goal requirement in the
contract.
2. During fiscal years 2012, 2013 and 2014, the City of Round Rock expects to award
approximately $3,350,000 in contracts under pre -award authority granted by Letters of No
Prejudice dated January 23, 2007 and August 26, 2009.
29 1 Page
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30 l Page
Attachment 5
Breakout of Estimated
Race -Neutral & Race Conscious Participation
31 1 Page
The City of Round Rock will meet the maximum feasible portion of its overall goal by using
race -neutral means of facilitating DBE participation. The City may have up to two (2)
contracting opportunities for fiscal years 2012, 2013, and 2014. Consequently, the City
plans to use the following race -neutral means to increase DBE participation: encouraging
prime contractors to subcontract portions of work that they might otherwise perform with
their own forces; informing local chambers of commerce, minority, women's and general
contractor groups, community organizations and other organizations of specific contract
opportunities; and distributing the DBE Directory to the potential prime contractors.
We estimate that, in meeting our overall goal of 26%, we will obtain 0% from race -neutral
participation and 26% through race -conscious measures.
The following is a summary of the basis of our estimated breakout of race -neutral and race -
conscious DBE participation: the City did not estimate a breakout of race -neutral and race -
conscious DBE participation because the City does not have enough history with the DBE
Program. Starting with the FY 2010 program, the City is tracking participation of DBE firms
in local procurement programs in which there are DBE contract goals. When the City
exceeds the overall goal in two (2) consecutive years, the City will reduce the use of
contract goals proportionately in the following year.
In order to ensure that the City's DBE program will be narrowly tailored to overcome the
effects of discrimination, the City will adjust the estimated breakout of race -neutral and race -
conscious participation as needed to reflect actual DBE participation (see 26.51(f)) and the
City will track and report race -neutral and race conscious participation separately, if the City
uses contract goals. 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.
The City will maintain data separately on DBE achievements in those contracts with and
without contract goals, respectively.
32 1 Page
Attachment 6
Forms for Demonstration of Good Faith Efforts
33 1 Page
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36 1 Page
Attachment 7
Regulation
Title 49 Code of Federal Regulation, Part 26
37 1 Page
A copy of Title 49 Code of Federal Regulation, Part 26, Participation by Disadvantaged
Business Enterprises in Department of Transportation Financial Assistance Programs, can be
viewed on the world-wide web at http://ecfr.gpoaccess.gov/coi/Utext/text-
idx?c=ecfr&sid=4f39e87c73b9c4505 b9710b 18743b245&rg n=d iv5&view=text&node=49:1.0.1.1.
20&idno=49.
The Title 49 Code of Federal Regulation, Part 26, Participation by Disadvantaged Business
Enterprises is hereby incorporated by reference.
38 1 Page
Attachment 8
Texas Unified Certification DBE Program
Instructions and Application
39 1 Page
ROUND ROCK, TEXAS
PURPOSE. PASSION PROSPERITY
City Council Agenda Summary Sheet
Agenda Item No. 10E4.
Consider a resolution adopting the City's "Fiscal Years 2012-2014 Disadvantaged Business
Agenda Caption: Enterprise Program."
Meeting Date: September 8, 2011
Department: Transportation
Staff Person making presentation: Gary Hudder
Transportation Director
Item Summary:
During fiscal years 2012, 2013, and 2014 the City of Round Rock expects to award more than $250,000 in contracts
utilizing Federal Transit Administration funds. As a result, the City is required to maintain its Disadvantaged Business
Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 Code
of Federal Regulation Part 26.
The DBE program encourages minority-owned and women -owned business enterprises to participate in government
contracts by establishing DBE participation goals, ensuring DBE firms can compete fairly for federally funded
transportation -related projects and assisting DBE firms in competing outside the DBE Program. The City's program
establishes a DBE participation goal of 26% to be obtained over the next three years. Presentations were made to
local Chambers of Commerce, including those whose main focus is helping disadvantaged businesses. The
presentations included what qualifies a firm as a DBE, information about the DBE Program, requirements for
participation, certification agencies, the City's program, and the City's Title VI program. The City also accepted
Public Comments for 45 days beginning July 13, 2011.
The DBE Program aligns with the Mobility and Connectivity Strategic Initiative in the 2060 Vision, which states
Residents and visitors will have alternative choices for transportation including public transportation options,
pedestrian/biking options and personal vehicle.
Cost:
Source of Funds:
N/A
N/A
Date of Public Hearing (if required): N/A
Recommended Action: Approval