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CM-06-04-072Texas Unified Certification Program Letter of Agreement Federal Regulation, 49 CFR, Part 26, Subpart E, section 26.81 states that each state must implement a "one stop" certification process for Disadvantaged Business Enterprises (DBEs). Each entity receiving Department of Transportation (DOT) funds is required to enter into and sign an agreement establishing and supporting a Unified Certification Program (UCP) within the state. The regulation directs that a process is defined, an implementation schedule is devised and the program submitted to the Secretary of Transportation through the regional Civil Rights Offices for each modal, for approval. In response to this mandate, six agencies have agreed to perform the certification of DBEs within the state of Texas under the Texas Unified Certification Program (TUCP). The six agencies are: Texas Department of Transportation, North Central Texas Regional Certification Agency, South Central Texas Regional Certification Agency, City of Houston, City of Austin and the Corpus Christi Regional Transportation Authority. The regulation requires the TUCP to construct and maintain a database directory, which the Texas Department of Transportation (TxDOT) has agreed to host. Specific responsibilities of the certifying entities and the territories for which they are responsible are specified in the attached Memorandum of Agreement. By signing this Letter of Agreement, The City of Round Rock certifies that it is willing to participate in the certification decisions of the six certifying agencies of the TUCP, which will conduct certification evaluations for DBEs within the state of Texas, according to the guidelines promulgated in 49 CFR, Part 26. This agency also acknowledges that 49 CFR Part 26 Subpart E -Certification Procedures, Section 26.81(a)(2) commits recipients to ensure that the TUCP has sufficient resources and expertise to carry out the TUCP requirements. The City of Round Rock also acknowledges that the TUCP Memorandum of Agreement is, as currently structured, only a DBE certification program. Any changes to the structure of the TUCP will be placed before each recipient and its respective authority for consideration at least thirty days (30) prior to any changes being enacted. This agreement will be effective March 6, 2006. It may be amended if 49 CFR, Part 26 is amended by Congress. Signed this 2164 day of Ptpril ,zoos N -o(,,01 -c17,3. City Manager Title Page 0: [1] Formatted GBROWN 6/1/2005 2:43:00 PM Top: 0.7" Page 9: [2] Formatted GBROWN 6/1/2005 2:40:00 PM Font: (Default) Arial, Underline Page 9: [3] Formatted GBROWN 6/1/2005 2:40:00 PM Font: (Default) Arial, Underline Page 9: [4] Deleted ECASAREZ 6/1/2005 12:42:00 PM Page 9: [5] Deleted ECASAREZ 6/1/2005 12:43:00 PM Date Page 9: [6] Deleted ECASAREZ 6/1/2005 12:44:00 PM Page 9: [7] Deleted ECASAREZ 6/1/2005 12:44:00 PM Date 6/1/2005 2:40:00 PM Page 9: [8] Formatted Font: (Default) Arial, Underline GBROWN Page 9: [9] Deleted ECASAREZ Page 9: [10] Formatted Font: (Default) Arial, Underline GBROWN 6/1/2005 12:45:00 PM 6/1/2005 2:40:00 PM Page 9: [11] Deleted Date ECASAREZ 6/1/2005 12:45:00 PM TEXAS MEMORANDUM OF AGREEMENT for a DISADVANTAGED BUSINESS UNIFIED CERTIFICATION PROGRAM U.S. DEPARTMENT OF TRANSPORTATION PARTNERS • Texas Department of Transportation City of Houston City of Austin Corpus Christi Regional Transportation Agency North Central Texas Regional Certification Agency South Central Texas Regional Certification Agency TABLE OF CONTENTS UNIFIED CERTIFICATION PROGRAM 1 Introduction 1 Organization 1 Purpose 1 Definitions 2 TUCP PROGRAM DESCRIPTION 3 Partners' Roles, Responsibilities & Obligations 3 DBE Directory Management 3 DBE Directory & Internet Access 4 TUCP PROGRAM COSTS AND FUNDING 5 Training and Resources 5 CERTIFICATION PROCEDURES AND PROCESS 5 Geographic & Industry Considerations 5 Quality Assurance (New Certifications) 6 Annual Review Process 6 Third -Party Challenges 6 Appeals Process and Procedures 7 IMPLEMENTATION SCHEDULE 7 Staff Training 7 Unified DBE Directory 7 Transition of Currently Certified DBEs 8 CHANGES TO THE MOA 8 SUMMARY 8 APPENDIX A 10 STATE OF TEXAS MEMORANDUM OF AGREEMENT UNIFIED CERTIFICATION PROGRAM This Memorandum of Agreement (MOA) establishes a Disadvantaged Business Enterprise (DBE) Unified Certification Program (UCP) in the State of Texas in accordance with Title 49 Parts 26 and 23 of the Code of Federal Regulations (49 CFR Parts 26 and 23). The TUCP Certifying Partners are the Texas Department of Transportation (TxDOT), City of Houston, City of Austin, Corpus Christi Regional Transportation Authority (CCRTA), North Central Texas Regional Certification Agency (NCTRCA), and South Central Texas Regional Certification Agency (SCTRCA). Introduction Each Certifying Partner in Texas is required to administer a DBE Certification Program in accordance with 49 CFR Part 26, Part 26.81 of this regulation require each state to develop a UCP by March 4, 2002. Each TUCP Certifying Partner agrees to commit sufficient resources and expertise to carry out the requirements of 49 CFR Part 26. Organization The TUCP shall establish an Executive Committee consisting of representatives from each of the Certifying Partner agencies, who shall be designated by the signatories to this MOA Agreement. The Executive committee will also be responsible for resolving any conflicts between certification actions of its members. The Standard Operating Procedures of the TUCP Section III -Agency Compliance, outlines the process for dealing with matters regarding the compliance with certification requirements. Nothing in this agreement should be construed to contravene the sovereignty of each participant. The contact person for the TUCP is the Texas Department of Transportation, Business Opportunity Program Section. A Certifying TUCP Partner may terminate its responsibilities under this Agreement and become a Non -Certifying TUCP Partner upon a six month notice to all TUCP Partners. Purpose The objectives of the Texas UCP are as follows: • To follow the certification procedures and standards and the non-discrimination requirements of 49 CFR Parts 26 and 23. • To cooperate fully with all oversight, review and monitoring activities of the United States Department of Transportation (USDOT) and its operating administrations. -1- • To implement USDOT directives and guidance on DBE certification matters. • To make all certification and decertification decisions on behalf of all TUCP Partners with respect to participation in the USDOT DBE Program. Certification decisions by the TUCP shall be binding on all TUCP Partners. Certification decisions must be made final before the due date for bids or offers on a contract on which a firm seeks to participate as a DBE. • To provide a single DBE certification that will be honored by all TUCP Partners. • To maintain a unified DBE directory containing at least the following information for each firm listed: address, phone number and approved NAICS codes. The TUCP shall make the directory available to the public electronically on the Internet as well as in print. TxDOT shall update the electronic version of the directory by including additions, deletions and other changes upon notification by the DBE and/or Certifying Partner. • The TUCP Partners will commit adequate resources and expertise to carry out this agreement. The partners will continue to individually bear the costs of training staff, certifying firms and sharing DBE files, i.e. postage and copying costs. Travel to and from meetings will be the responsibility of individual partners. The TUCP will be created and fully functional no later than 18 months from the date of approval by the Secretary of Transportation and in accordance with the Implementation Schedule as described herein. Definitions TUCP Certifying Partner A State of Texas recipient with a current DBE Program Plan approved by an appropriate USDOT oversight modal agency. This includes those entities, North Central Texas Regional Certification Agency and South Central Texas Regional Certification Agency, who are not recipients, but were formed as domestic non-profit organizations for the purposes of performing certifications on behalf of recipients. A certifying partner can issue or revoke DBE certification. TUCP Partner All Texas State recipients participating in this Memorandum of Agreement, both Certifying and Non -certifying Partners. Non -Certifying TUCP Partner A State of Texas recipient, sub -recipient or grantee with a current DBE Program Plan approved by an appropriate USDOT oversight modal agency. A Non -Certifying Partner can neither issue nor revoke DBE certification. 2 Recipient Any public entity which receives direct USDOT financial assistance. Sub -recipient Any public entity receiving USDOT financial assistance through another recipient. Grantee Any public entity that has received USDOT assistance. TUCP PROGRAM DESCRIPTION Partners' Roles, Responsibilities & Obligations All TUCP Partners agree to maintain DBE certification application files, conduct site visits, make certification decisions and handle appeals and complaints. The Certifying TUCP Partners agree to utilize the USDOT Uniform Certification Application and Affidavit. • All decisions related to eligibility and certification must agree with 49 CFR Parts 26 and 23. • The TUCP Certifying Partners and Non -Certifying Partners must have an approved DBE Program. Additionally, each Certifying Partner must have clearly defined and written processes and procedures related to the administration of its DBE Program and certification decisions. • Each TUCP Certifying Partner must adhere to the processes and procedures as set forth in the Standard Operating Procedures. DBE Directory Management : Upon approval of a firm for DBE certification by the UCP Certifying Partners, the originating Certifying Partner shall submit the firm's information for inclusion in the electronic database directly to the DBE Database Manager. This information shall include at a minimum: • Name, Street Address, P.O. Box, City, County, State, Telephone and Fax Number, E-mail address and Federal Tax Identification Number/SSN; • Name, Sex, Ethnicity, Race and Country of Origin of qualifying DBE owner(s); -3- • Type of work performed by the DBE using the North American Industry Classification System (NAICS) adopted by the SBA on October 1, 2000, as amended; • Date Business was Established; • Name of TUCP Certifying Partner; • Certification and Annual Update Affidavit Dates; The TUCP Certifying Partners agree that a UCP Database Manager will be designated. The DBE Database Manager shall assume the following responsibilities: • Input all data and make any corrections, additions and/or deletions upon receipt of information from the Certifying TUCP Partners; • Maintain and keep the electronic DBE database current; • Make the electronic DBE database available to all TUCP Partners and other interested parties; • Provide printed copies only of the list of firms that are DBE certified upon request and at a charge to be established; (Third parties should only be provided with a list of DBE certified firms. They should not be provided with information that a firm has been denied certification.) • Maintain the TUCP Website. DBE Directory & Internet Access The DBE Directory will be located on the TUCP website. In accordance with 49 CFR Part 26.31 and 23.31(b), the DBE Directory will include the following minimum information for each firm: • Name, address and telephone number of firm; • Contact person • Types of work performed by the firm with appropriate six (3) digit NAICS code and description. The TUCP DBE Directory may contain additional information, including but not limited to the following: • Geographic Location of the Firm (i.e., county) • Website Address of the Firm -4- • Fax Number & E -Mail Address of the Firm • Certification and Annual Update Affidavit Dates TUCP PROGRAM COSTS AND FUNDING The cost of creating and establishing the TUCP website and the electronic DBE Directory will be the responsibility of the Texas Department of Transportation. Training and Resources The TUCP Certifying Partners will conduct ongoing in-service training. The TUCP Certifying Partners will agree to rotate the duties of planning and conducting training sessions. CERTIFICATION PROCEDURES AND PROCESS In addition to the following procedures, the TUCP will follow all certification procedures and standards of 49 CFR Part 26, and will implement USDOT directives and guidance concerning DBE certification matters. A Standard Operating Procedure (SOP) has been developed and will be utilized by all Certifying TUCP Partners. They may be modified as needed and agreed upon by the Certifying TUCP Partners and approved by U.S. DOT. • The TUCP will accept an application from the SBA, but will not automatically recognize the DBE certification of a firm certified by the Small Business Administration . (See attached SOP for process) • The TUCP will utilize the USDOT approved Uniform Certification Application and other related certification documents to facilitate "one-stop shopping" for applicants. Geographic & Industry Considerations Six agencies have agreed to perform the certification process for DBE program applicants within the State of Texas by geographical location. If a DBE applicant/firm works only in the highway construction industry, TxDOT agrees to process the application and/or have certification responsibility for the DBE firm. Therefore, the certifying TUCP partner to whom application is made will ascertain the geographical area of the applicant firm and/or its primary work type or industry, and take the appropriate action to either process the application or forward the application within three to five business days to the appropriate TUCP certifying partner. -5- City of Houston: Geographical: Counties of Brazoria, Chambers, Fort Bend, Galveston, Harris, Liberty, Montgomery, and Waller. Corpus Christi Regional Transportation Authority: Geographical: Counties of Aransas, Bee, Goliad, Jim Wells, Karnes, Kleberg, Live Oak, Nueces, Refugio, and San Patricio North Central Texas Regional Certification Agency: Geographical: Counties of Collin, Dallas, Denton, Ellis, Erath, Hood, Jack, Johnson, Kaufman, Navarro, Palo Pinto, Parker, Rockwall, Somervell, Tarrant, and Wise. South Central Texas Regional Certification Agency: Geographical: Counties of Atascosa, Bandera, Bexar, Comal, Frio, Guadalupe, Kendall, Kerr, McMullen, Medina, Uvalde, Wilson, Bastrop, Caldwell, Hays, Travis, and Williamson. Texas Department of Transportation: Geographical: All other remaining counties in Texas. Quality Assurance (New Certifications) The SOP has been created to ensure consistent application of UCP program requirements among the Certifying TUCP Partners. Uniform documents have been developed for use by the Certifying TUCP Partners so that consistent information is obtained and used in certification determinations. At a minimum, there will be annual training of certification staff in order to maintain consistency in determinations. Annual Review Process DBEs will update their certifications annually using the TUCP Annual Update "No Change" Affidavit as required in the SOP. Failure to submit the required documentation may result in certification removal as outlined in 49 CFR Part 26.87 and the SOP. The annual review will be conducted by the responsible certifying TUCP Partner. A DBE on-site review will be conducted by the TUCP Partner every three years in conjunction with the DBE firm's submittal of the Annual Update Affidavit per 49 CFR Part 26.83(h). Third -Party Challenges Provisions exist in the Standard Operating Procedure for the Certifying TUCP Partners to accept written complaints from a third party alleging the ineligibility of a currently certified firm. Appeals Process and Procedures An appeals procedure has been established as part of the TX SOP for appeals of denial of original certification, and decertification that provides due process to the affected firm in accordance with 49 CFR Part 26. Denials of Original Certifications and Decertification: The DBE applicant has the opportunity to appeal to U.S. DOT in accordance with 49 CFR Part 26.89. Firms that are decertified will have due process in accordance with 49 CFR Part 26.87. IMPLEMENTATION SCHEDULE The Certifying TUCP Partners will inform the public about the TUCP by holding public meetings throughout the State immediately upon approval by the USDOT of this MOA Agreement. Notification of the public meetings as well as the TUCP will occur in a variety of ways, including but not limited to the following: press releases, a notice on the Certifying TUCP Partners' website, and direct mailings to individual DBE firms, professional associations and community based organizations. This MOA was submitted to the non -Certifying TUCP Partners, USDOT modal agencies and the Certifying TUCP Partners' respective counsels for their review and comment. Changes and revisions were made based on the comments received. The MOA was then re -submitted to all TUCP Partners for signature. The following actions will be taken and completed by the Certifying Partners or designees no later than 18 months from the date of USDOT approval of this MOA Agreement: Staff Training • Develop and finalize training modules for SOP Manual, eligibility criteria, forms and procedures, on-site review, personal net worth analysis, internet-based system (DBE on-line directory). • Recruit instructors and determine locations for training workshops. • Schedule Joint Training Sessions. • Conduct Initial Training. Unified DBE Directory • Develop and complete parameters for Unified DBE Directory. • Compare UCP Certifying Partners databases. -7- • Remove duplicate DBE firms. • Develop common database. • Develop procedures for electronic submission of DBE firms for inclusion in the Unified DBE Directory. • Develop and issue press release on public access to online DBE Directory (information will be maintained on TXDOT Website). Transition of Currently Certified DBEs The following actions have been accomplished by the TUCP Partners:(1) Each TUCP Partner has ensured each DBE has been certified under 49 CFR Parts 26 and 23; (2) TUCP Partners have reviewed the DBE firms and determined which TUCP Partner will have responsibility for the DBE firm's continued participation in the DBE program in accordance with 49 CFR Parts 26 and 23, based upon the geographical location of the DBE's home office; (3) Each TUCP Partner has forwarded to the designated TUCP Partner, the DBE certification file for which it has assumed responsibility based upon the geographical location of the DBE's home office. CHANGES TO THE MOA Changes to this MOA Agreement shall require the approval of the TUCP Certifying Partners and U.S. DOT. SUMMARY As a result of the requirements set forth in 49 CFR Parts 26 and 23, we the undersigned, agree to participate in the STATE OF TEXAS'S Unified Certification Program in accordance with the provisions of this MOA and agree to abide by its contents EXECUTED AND DELIVERED by and between the TUCP Partners as of the effective date of this MOA. 8- City of Austin Name Agency City of Houston Name Agency TUCP CERTIFYING PARTNERS Title Title Corpus Christi Regional Transportation Authority Name Title Agency June 1, 2005 June 1, 2005 North Central Texas Regional Certification Agency Name Title Agency South Central Texas Regional Certification Agency Name Title Agency Texas Department of Transportation Name Agency June 1, 2005 June 1, 2005 June 1, 2005 June 1, 2005 Title APPENDIX A Texas Unified Certification Program (TUCP) Participating Entities • hliuvIL L. Abilene Regional Airport McAllen Miller International Airport Austin -Bergstrom International Airport San Angelo Regional Airport/Mathis Field Corpus Christi International Airport San Antonio International Airport Dallas -Fort Worth International Airport Tyler Pounds Field Easterwood Fields (Texas A&M) Valley International Airport (Harlingen) Gregg County Airport — Longview Victoria Regional Airport Houston Airport System Waco Regional Airport Killeen Municipal Airport Wichita Falls Municipal Airport Southeast Texas Regional Airport City of Forth Worth • ,,,,,L.• City of Amarillo City of Garland City of Wichita Falls City of Arlington City of Grand Prairie City of Austin City of Houston City of Brownsville City of Lewisville City of Dallas City of Longview City of Denton City of McAllen City of DeSoto City of Plano City of El Paso City of San Antonio City of Forth Worth City of Texarkana • • 1 VII 4I IIL. Beaumont Municipal Transit Brownsville Urban System Capital Metropolitan Transportation Authority, Austin Citify of Galveston, Island Transit Corpus Christi Regional Transportation Authority CTCOG (Central Texas Council of Governments) Transit, Belton Dallas Area Rapid Transit (DART) Fort Worth Transportation Authority Golden Crescent RPC — Transit, Victoria Hill County Transit District, San Saba Lower Rio Grande Valley Development Council Transit, McAllen Lubbock Citybus System Metropolitan Transit Authority of Houston Texoma Council of Governments Transit, Sherman The Mass Transit Department of the City of El Paso (Sun Metro) VIA Metropolitan Transit Authority, San Antonio Waco Transit System • North Central Texas Regional Certification Agency Fort Worth Housing Authority South Central Texas Regional Certification Agency Forth Worth Public Schools Austin Water & Wastewater Utility MHMR of Tarrant County City Public Service, San Antonio San Antonio Housing Authority County of Bexar San Antonio Water System Dallas Community College District Dallas County Dallas Metrocare Services Dallas Public Schools Edward Aquifer Authority - 10 - DATE: April 12, 2006 SUBJECT: City Manager Action — April 21, 2006 ITEM: Consider executing a letter of agreement with the six certifying agencies of the Texas Unified Certification Program (TOCP). Department: Staff Person: Justification: Transportation Services Department Thomas G. Martin, P.E., Director of Transportation Services This agreement certifies that the City of Round Rock is willing to participate in the certification decisions of the six certifying agencies of the TUCP, which will conduct certification evaluations for Disadvantaged Business Enterprises (DBEs) within the state of Texas, according to the guidelines promulgated in Federal Regulation, 49 CFR, Part 26. FUNDING Cost: $ N/A Source of Funds: N/A Outside Resources: Texas Department of Transportation, North Central Texas Regional Certification Agency, South Central Texas Regional Certification Agency, City of Houston, City of Austin and the Corpus Christi Regional Transportation Authority Background Information: Senator Kay Bailey Hutchison secured $1,000,000 for the construction of an Intermodal Transit and Parking Facility in Round Rock. Each entity receiving Department of Transportation (DOT) funds is required to enter into and sign an agreement establishing and supporting a Unified Certification Program (UCP) within the state. Public Comment: NA Request for City Council/City Manager Action © City Council El City Manager Submit completed form for all City Manager and City Council approvals. For Administration Use ONLY Receiv�: � i EC'D APS `!� 2006 Tag# ..0 • A1.1 .. D / a-- Original "Original Documents Received: 1 cert Department Name: Transportation services Project Name: Texas Unified Certification Program (TOCP) Contact Person: Lathe Kumerinffany Carley Project Manager/Resource: David Bartels Project Coordinator: Thomas G. Martin, P.E., Director of TS Assigned Attorney: Blue Sheet Wording Council or City Manager Approval Date: ContractorNendor Funding Source: Amount: Account Number: 04/21/06 N/A N/A N/A Consider executing a letter of agreement with the six certifying agencies of the Texas Unified Certification Program (TUCP). Finance Information Is Funding Required? Q Yes El No Fineries Approval Finance Finance Purchasing Date D D D Initial Construction Contract Construction Contract Amendment # Change Order Change in Quantity Unforeseen Circumstances umstances Initial Professional Services Agreement Supplemental Professional Svcs. A # Purchasing/Service Agreement Purchase Order Item(s) to be purchased: Amount Other (Please dearly identify action on lines below) Letter of agreement is required to receive US Department of Transportation funds N/A Date Date D8 udget Date Reaulm4 for Submission of ALL City Council and City Manager Items Project Mgr. Signature: David Bartels Date: 1 Dept. Director Signature: Thomas G. Martin, P.E., Director Date: 11. • /4•04 City Attorney Signature47I7* r1 City Manager Signature: nquksd for WI ice. Date: / —v'p —D Date 2. Updated 2116106 Request for City Council/City Manager Action El City Council El City Manager For Administration Use ONLY Received: Tag # Submit completed form for all City Manager and City Council approvals. Department Name: Transportation Services Contact Person: Latha Kumar/Tiffany Calley Project Manager/Resource: David Bartels Project Coordinator: Thomas G. Martin, P.E., Director of TS Assigned Attorney: Blue Sheet Wording Council or City Manager Approval Date: Original Documents Received: Project Name: Texas Unified Certification Program (TUCP) ContractorNendor: Funding Source: Amount: Account Number: 04/21/06 N/A N/A N/A Consider executing a letter of agreement with the six certifying agencies of the Texas Unified Certification Program (TUCP). Finance Information Is Funding Required? El Yes D No cJ Initial Construction Contract Construction Contract Amendment # Change Order Change in Quantity Unforeseen Circumstances Initial Professional Services Agreement Supplemental Professional Svcs. A, # Purchasing/Service Agreement Purchase Order Item(s) to be purchased: Amount CI Other (Please clearly identify action on lines below) N/A Letter of agreement is required to receive US Department of Transportation funds Finance Approval EJFinance n/a L. Olsen Date 4/18/2006 Finance N/A E. Wilson Date 4/18/2006 XD Purchasing Howard Baker Date 4/19/2006 El Budget N/A CYD Date 4/18/2006 Required for Submission of ALL City Council and City Manager Items Project Mgr. Signature: David Bartels Date: Dept. Director Signature: Thomas G. Martin, P.E., Director Date: City Attorney Signature*: Date: City Manager Signature: Date: * Legal Approval is required for all items. Updated 2/16/06