CM-2016-1067 - 3/25/2016City of Round7tock
Disadvantaged Business Enterprise Program
Grantee ID: 6631
Revised: October 4, 2012
Table of Contents
Section #
Section Title
Page #
1
Definitions
3
2
Objectives and Policy Statement
4
3
Title 49 C.F.R. Part 26
4
DBE Program Updates
5
Non -Discrimination Requirements
5
6
Federal Financial Assistance Agreement
7
DBE Liaison Officer
6
8
Directory
9
DBE Financial Institutions
7
10
Unified Certification Program
8
11
Overconcentration
12
Business Development Program
9
13
Required Contract Clauses
14
Overall Goals, Breakout of Estimated Race -Neutral and
Race -Conscious Participation and Contract Goals
15
Transit Vehicle Manufacturers Goals
11
16
Good Faith Efforts
17
Counting DBE Participation
18
Quotas
13
19
Monitoring and Enforcement
20
Reporting, Bidders List and Confidentiality
21
Small Business Participation
15
Attachments
1
Forms
17
City of Round Rock DBE Program
Definitions (Part 26.5)
The terms used in this DBE Program have the meanings defined in 49 C.F.R. Part 26.5.
City of Round Rock DBE Program Page 3
2. Objectives and Policy Statement (Parts 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 C.F.R. Part
26. The City of Round Rock has received Federal financial assistance from DOT and as a
condition of receiving this assistance the City of Round Rock has signed an assurance that it
will comply with 49 C.F.R. Part 26.
It is the policy of the City to ensure that DBEs, as defined in 49 C.F.R. Part 26, have an equal
opportunity to receive and participate in DOT assisted contracts. It is also our policy:
• To ensure non-discrimination in the award and administration of DOT assisted
contracts;
• To create a level playing field on which DBEs can compete fairly for DOT assisted
contracts;
• To ensure the DBE Program in narrowly tailored in accordance with applicable law;
• To ensure only firms that fully meet 49 C.F.R. Part 26 eligibility standards are
permitted to participate as DBEs;
• To help remove barriers to the participation of DBEs in DOT assisted contracts, as
allowed by federal, state and local regulations; and
• To assist the development of firms that can compete successfully in the market place
outside the DBE Program.
Caren Lee, Administrative Assistant/DBE Liaison Officer, has been designated as the DBE
Liaison Officer. In that capacity, Ms. Lee 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 DOT.
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 which perform work for us on DOT assisted contracts. The information in
this statement in included in all solicitation packages and has been communicated to local
business groups and other community organizations.
Laurie Hadley, City Manager (�
Date
City of Round Rock DBE Program Page 4
3. Title 49 C.F.R. Part 26
The City has developed this DBE Program in accordance with Title 49 C.F.R. Part 26 and is
hereby incorporated by reference. An electronic version of the regulation can be found at
http://ecfr..qpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title49/49cfr26 main 02.tpl
or you can request a hard copy from the DBE Liaison Officer.
4. DBE Program Updates (Part 26.21)
The City will continue to carry out this Program until all funds from DOT financial assistance
have been expended. We will provide DOT updates representing significant changes in the
Program.
5. Non -Discrimination Requirements (Part 26.7)
The City 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 C.F.R. Part 26 on the basis of race, color, sex or national origin.
In administering its DBE Program, the City will not, directly or through contractual or other
arrangements, use criteria or methods of administration which 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.
6. Federal Financial Assistance Agreement (Part 26.13)
The City has signed the following assurances applicable to all DOT assisted contracts and their
administration:
The City shall not discriminate on the basis of race, color, sex or national origin in the
award and performance of any DOT assisted contract or in the administration of its DBE
Program or the requirements of 49 C.F.R. Part 26. The recipient shall take all necessary
and reasonable steps under 49 C.F.R. Part 26 to ensure non-discrimination in the award
and administration of DOT assisted contracts. The recipient's DBE Program, as
required by 49 C.F.R. 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. 1001 and/or the Program Fraud Civil remedies Act of 1986
(31 U.S.C. 3801 et seq.).
City of Round Rock DBE Program Page 5
7. DBE Liaison Officer (Part 26.25)
The City has designated the following individual as the DBE Liaison Officer (DBELO):
Caren Lee
2008 Enterprise Drive
Round Rock, Texas 78664
(512) 671-2869
clee(aD,roundrocktexas.gov
In that capacity, the DBELO is responsible for implementing all aspects of the DBE Program
and ensuring the City complies with all provisions of 49 C.F.R. Part 26. The DBELO has direct,
independent access to the City Manager concerning DBE Program matters. An organization
chart displaying the DBELO's position is shown below.
The DBELO is responsible for developing, implementing and monitoring the DBE Program, in
coordination with other appropriate officials. The DBELO has no staff to assist in the
administration of the Program. The duties and responsibilities of the DBELO include the
following:
• Gathers and reports statistical data and other information as required by DOT;
• Reviews third party contracts and purchase requisitions for compliance with this
Program;
• Works with all departments to set overall annual goals;
• Ensure bid notices and requests for proposals are available to DBEs in a timely
manner;
• Identifies contracts and procurements so DBE goals are included in solicitations
(both race -neutral methods and contract specific goals attainment) and identifies
ways to improve progress;
• Analyzes the City's progress toward attainment and identifies ways to improve
progress;
• Participates in pre-bid and pre -construction meetings;
• Advises the City Manager/City Council on DBE matters and achievement;
• Responsible for determining whether a bidder/offeror who has not met the contract
goal has documented sufficient good faith efforts;
• Participates in DBE training seminars;
• Provides outreach to DBEs and community organizations to advise them of
opportunities; and
City of Round Rock DBE Program Page 6
Maintains the bidders list of all DBE and non -DBE firms who bid or quote on DOT
assisted contracts and matching fund contracts.
r- - - - - - - - - - - - - - - - - -- City
Manager
Director
Transportation
L___ DBE
Liaison Officer
8. Directory (Part 26.31)
Director
Finance
Reconsideration
Official
The City identifies all firms eligible to participate as DBEs from the Texas Unified Certification
Program website directory. The directory lists the firm's name, address, phone number, date of
most recent certification and the type of work the firm has been certified to perform as a DBE.
The directory is available from the Texas Department of Transportation at
hftp://www.dot.state.tx.us/business/tucp/default.htm. A hard copy of the directory can be
requested from the DBE Liaison Officer.
9. DBE Financial Institutions (Part 26.27)
It is the policy of the City 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 DBE
assisted contracts to make use of these institutions. The City has researched the availability of
DBE owned financial institutions in the Texas Unified Certification Program directory and the
Federal Reserve's website. There are no DBE bank institutions in our area. The Federal
Reserve's website listed the following minority owned banks, as of March 12, 2012.
International Bank of CMRC, Round Rock, Texas
International Bank of CMRC, Austin, Texas
City of Round Rock DBE Program Page 7
• Southwestern NB, Austin Branch, Austin, Texas
• United Central Bank, Austin Branch, Austin, Texas
10. Unified Certification Program (Part 26.81)
The City is a member of the Texas Unified Certification Program (TUCP), which is administered
by the Texas Department of Transportation. TUCP will meet all of the requirements of this
section. The City will use and count for DBE credit only those DBE firms certified by the TUCP.
There are six (6) certifying agencies for the TUCP and all certifications are done according to
the county your firm headquarters is located.
Counties of Bastrop, Caldwell, Hays, Travis and Williamson
City of Austin, Department of Small and Minority Business Resources
4201 Ed Bluestein Blvd.
Austin, Texas 78721
(512) 974-7600
http://austintexas.gov/department/small-and-minority-business
Counties of Brazoria, Chambers, Fort Bend, Galveston, Harris, Liberty, Montgomery and Waller
Mayor's Office of Business Opportunity
611 Walker, 71h Floor
Houston, Texas 77002
(832) 393-0600
hftp://www.houstontx.gov/obo/index.html
Counties of Aransas, Bee, Goliad, Jim Wells, Karnes, Kleberg, Live Oak, Nueces, Refugio and
San Patricio
Corpus Christi Regional Transportation Authority
5658 Bear Lane
Corpus Christi, Texas 78405
(361) 289-2712
http://ccrta.org/about/dbe/
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
Arlington, Texas 76011
(817) 640-0606
hftp://www.nctrca.org/
Counties of Atascosa, Bandera, Bexar, Comal, Frio, Guadalupe, Kendall, Kerr, McMullen,
Medina, Uvalde and Wilson
South Central Texas Regional Certification Agency
City of Round Rock DBE Program Page 8
3201 Cherry Ridge Street, Building C-319
San Antonio, Texas 78230
(210) 227-4722
hftp://www.sctrca.org/
All other counties in Texas
Texas Department of Transportation
Office of Civil Rights
125 E. 11'h Street
Austin, Texas 78701
(512) 486-5500
hftp://www.txdot.gov/business/business outreach/dbe.htm
11. Overconcentration (Part 26.33)
The City has not identified any areas of overconcentration of DBEs.
12. Business Development Program (Part 26.35)
The City has not established a business development program. We will re-evaluate the need
for such a program every three years.
13. Required Contract Clauses (Parts 26.13 and 26.29)
The City will include the following clause in every DOT assisted contract and subcontract. The
clauses apply to DBE and non -DBE subcontractors.
Non -Discrimination Contract Assurance Clause
The contractor or subcontractor shall not discriminate on the basis of race, color, sex or
national origin, sex (including gender identity), disability, age, employment or business
opportunity in the performance of this contract. The contractor shall carry out applicable
requirements of 49 C.F.R. 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 City deems appropriate.
Prompt Payment Contract Clause
In accordance with Texas Government Code, Title 10 Chapter 2251 the following applies
to the City, contractors and subcontractors.
• The City shall pay any payment due to the contractor within 30 days of the
date the City receives the goods, the date the performance of the services is
completed or the date the City receives a correct invoice, whichever is later.
Retainage payments must be made within 30 days after the work is
satisfactorily completed.
City of Round Rock DBE Program Page 9
If the payment to the contractor, from the City, becomes overdue, the
contractor may accrue and charge interest starting on the 31St day at the
effective rate on September 1 of the fiscal year in which payment becomes
overdue.
• The contractor agrees to pay any subcontractors within 10 days of receipt of
payment from the City, including retainage payments. The contractor agrees
to include this statement in any subcontracts.
The subcontractor agrees to pay any supplier within 10 days of receipt of
payment from the City, including retainage payments. The contractor agrees
to include this statement in any subcontracts.
If the prime contractor does not pay a subcontractor promptly, as defined above, the City
shall withhold payment of retainage to the prime contractor until such time the prime
contractor pays the subcontractor in full. If the prime contractor makes partial payments
to the subcontractor then the City will make partial retainage payments to the prime
contractor.
In accordance with Texas Government Code, Title 10 Chapter 2251.002 the City,
contractor or subcontractors are not required to follow the prompt payment rules in the
event:
• There is a bona fide dispute between the political subdivision and a vendor,
contractor, subcontractor, or supplier about the goods delivered or the service
performed that causes the payment to be late;
• There is a bona fide dispute between a 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;
• The terms of a federal contract, grant, regulation, or statute prevent the
governmental entity from making a timely payment with federal funds; or
• The invoice is not mailed to the person to whom it is addressed in strict
accordance with any instruction on the purchase order relating to the
payment.
Dispute Resolution
If a dispute or claim arises under an 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
resolution may be sought with the help of a mutually selected mediator. If the parties
cannot agree on a mediator then the parties will select their own mediator and those
mediators will agree upon a third mediator. Any costs and fees associated with
mediation shall be shared equally by the parties.
City of Round Rock DBE Program Page io
All parties hereby expressly agree no claim or dispute between parties shall be decided
by any arbitration proceeding, including without limitation any proceeding under the
Federal Arbitration Act or any applicable state arbitration statute.
The contractor agrees to include this clause in any subcontracts.
14. Overall Goals, Breakout of Estimated Race -Neutral and Race -Conscious
Participation and Contract Goals (Parts 25.45 and 26.51)
Once the City has establish a proposed goal, we will publish a notice informing the public the
proposed goal is available for inspection at the City Library for 30 days and comments will be
accepted for 45 days. The notice will include information on how to submit comments and will
be published in local newspapers, minority focused papers and on the web. The DBE Goal
document contains the details of the methodology and calculations used to establish the overall
goal, as well as the breakout of estimated race -neutral and race -conscious participation.
The City will submit its overall goal to the Federal Transit Administration (FTA) on the FTA
specified due date. The submission will include a summary of information and comments
received during the public comment period and the City's responses.
The City will consult, on an ongoing basis, with applicable organizations to obtain information
concerning the availability of disadvantaged and non -disadvantaged businesses and the City's
efforts to establish a level playing field for DBEs.
The City will use contract goals to meet any portion of the overall goal the City does not project
being able to meet using race -neutral means. Contract goals are established so they will
cumulatively result in meeting the portion of the overall goal which is not obtained by race -
neutral means. The City will establish contract goals on DOT assisted contracts which have
subcontracting possibilities and will reflect the circumstances of the each contract. The contract
goal will be expressed as a percentage.
15. Transit Vehicle Manufacturers Goals (Part 26.49)
The City will require each transit vehicle manufacturer to certify, as a condition of being
authorized to bid or propose on FTA assisted transit vehicle procurements, it has complied with
the requirements of 49 C.F.R. Part 26.49.
Alternately, 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 manufacturer complying
with 49 C.F.R. Part 26.49.
16. Good Faith Efforts (Part 26.53)
Information to be Submitted
The City treats bidders'/offerors' compliance with good faith efforts requirements as a
matter of responsiveness. If the bidder/offeror does not submit the following information
by the date and time the bid or proposal is due, the City has grounds to deem the
City of Round Rock DDE Program Page ii
bidder/offeror non-responsive to the DBE requirements of the particular solicitation. The
decision to deem the bidder/offeror non-responsive is not administratively appealable.
Bidders/offerors should follow the protest procedures in the solicitation.
Each solicitation for which a contract goal has been established will require the
bidders/offerors to submit, by the date and time the bid or proposal is due, the following
forms:
• Contractor/Respondent Certification (See Attachment 1), reflecting:
• Names and addresses of DBE firms which will participate in the
contract;
• Description of work each DBE will perform;
• The dollar amount of the participation of each DBE firm participating;
and
• Written and signed documentation of commitment to use a DBE
subcontractor whose participation it submits to meet a contract goal
• DBE Subcontractor Certification (See Attachment 1), reflecting:
• Written and signed confirmation from the DBE firm it is participating in
the contract as provided in the prime contractor's commitment.
If the contract goal is not met, evidence of good faith efforts must be submitted by the
bidder/offeror by the date and time the bid or proposal is due.
Demonstration of Good Faith Efforts
The obligation of the bidder/offeror is to make good faith efforts to include DBEs. The
bidder/offeror can demonstrate it has done so either by meeting the contract goal or
documenting good faith efforts. Examples of good faith efforts can be found in
Attachment A to 49 C.F.R. Part 26, included in Section 3.
The DBE Liaison Officer (DBELO) is responsible for determining whether a
bidder/offeror, who has not met the contract goal, has document sufficient good faith
efforts to be regarded as responsive. The DBELO will ensure all information is
complete, accurate and adequately documents the bidder's/offeror's good faith efforts
before the City commits to the performance of the contract by the bidder/offeror.
Administrative Reconsideration
Within five (5) days of being notified by the City that a bidder/offeror is not responsive
due to not documenting sufficient good faith efforts, a bidder/offeror may request
administrative reconsideration through the City's reconsideration official, Jerry Galloway,
221 East Main Street, Round Rock, Texas 78664, (512) 218-5432,
jdq(a�roundrocktexas.gov. The reconsideration official will not have played any role in
City of Round Rock DBE Program Page 12
the original determination the bidder/offeror did not document sufficient good faith
efforts.
As a part of this reconsideration, the bidder/offeror will have the opportunity to provide
written documentation or argument concerning the issues 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 so. The City will send the
bidder/offeror a written decision on reconsideration, explaining the basis for finding the
bidder/offeror 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
The City requires 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 and immediately
of any DBE firm'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.
In this situation, the prime contractor must provide copies of the new or amended
subcontracts or documentation of good faith efforts. If the contractor fails or refuses to
comply in the time specified the City will issue a stop work order or withhold payment
until satisfactory action has been taken. If the contractor still fails to comply the City may
issues a termination notice for default proceeding.
Any DBE firm subject to termination and replacement will have an opportunity to provide
a written response to the termination of their subcontract to the DBELO within five (5)
days of receiving notice. If the DBELO concurs with the prime contractor, the DBE may
use the administrative reconsideration process noted in this section and submit an
appeal of the decision to the City's reconsideration official.
17. Counting DBE Participation (Part 26.55)
The City will count DBE participation toward overall and contract goals as provided in 49 C.F.R.
Part 26.55.
18. Quotas (Part 26.43)
The City does not use quotas in any way in the administration of this DBE Program.
19. Monitoring and Enforcement Mechanisms (Parts 26.37 and 26.107)
The City will bring to the attention of the Department of Transportation (DOT) any false,
fraudulent or dishonest conduct in connection with this Program so DOT can take the steps
City of Rotitnd Rock DBE Program Page 13
provided in 49 C.F.R. Part 26.109 (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). The City will also consider similar action under our
own legal authorities (e.g., breach of contract), including responsibility determinations in future
contracts.
In accordance with 49 C.F.R. Part 26.107, firms participating in the City's DBE Program face the
following enforcement actions:
If a firm which does not meet the eligibility criteria of 49 C.F.R. Part 26 Subpart D
and attempts to participate in a DOT assisted program as a DBE on the basis of
false, fraudulent or deceitful statements, representations or under circumstances
indicating a serious lack of business integrity or honesty the Department of
Transportation may initiate suspension or debarment proceedings against you under
2 C.F.R. Parts 180 and 1200.
If 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, representations or under circumstances indicating a serious lack of
business integrity or honesty, another firm which does not meet the eligibility criteria
of 49 C.F.R. Part 26 Subpart D, the Department of Transportation may initiate
suspension or debarment proceedings against you under 2 C.F.R. Parts 180 and
1200.
In a suspension or debarment proceeding brought under the previous two
paragraphs, FTA may consider the fact a purported DBE has been certified by a
recipient. Such certification does not preclude the Department of Transportation
from determining the purported DBE or another firm that has used or attempted to
use it to meet DBE goals should be suspended or debarred.
The Department of Transportation may take enforcement action under 49 C.F.R.
Part 31, Program Fraud and Civil Remedies, against any participant in the DBE
Program whose conduct is subject to such action under 49 C.F.R. Part 31.
The Department of Transportation 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.
In addition to the enforcement actions listed in this section, contractors also face any other
enforcement actions listed in this Program.
The City will perform the following monitoring activities:
• Review a sampling of DBE contracts for each project;
• Monitor the work of the DBEs, in association with a contract, to ensure the DBE firm
is performing the work;
City of Round Rock DBE Program Page 14
• Require the prime contractor to submit monthly payment reports on form Contractor
Payment Report Form (See Attachment 1);
• Keep a running tally of actual payments to DBE firms; and
• Produce written certification the monitoring of work sites and review of contracts took
place
20. Reporting, Bidders List and Confidentiality (Parts 26.11 and 26.109)
Reporting
The City will report DBE participation on a semi-annual basis, using the report form
found in TEAM. These reports will reflect the federal portion of payments actually made
to DBEs on DOT assisted contracts.
Bidders List
The City will create and maintain a bidders list, consisting of information about DBE and
non -DBE firms who bid or quote on DOT assisted contracts. The purpose of this
requirement is to allow use of the bidders' list approach in calculating overall goals. The
bidders list will include the name, address, DBE status, age and annual gross receipts of
each firm. The City will collect this information from bid proposals and by requesting the
information from contractors and subcontractors, when needed.
Confidentiality
The City will safeguard from disclosure to third parties information which may reasonably
be regarded as confidential business information consistent with federal, state and local
laws. The City requires all contracting parties to expressly acknowledge the City is a
Texas municipality and as such is subject to the Texas Public Information Act, Title 5
Chapter 552 of the Texas Government Code.
21. Small Business Participation (Part 26.39)
To facilitate competition by small business concerns, the City will make efforts to expend a
portion of DOT assisted contracts with small businesses using the following strategy.
Small businesses cannot exceed the Small Business Size Limits, as defined by the Small
Business Administration (SBA). These limits can be found at hftp://www.sba.gov/content/table-
small-business-size-standards.
On prime contracts without DBE contract goals the City will require prime contractors to provide
subcontracting opportunities small businesses can reasonably perform, rather than self -
performing all the work involved. During the procurement process and subsequent contract the
bidder/offeror will be required to:
City of Round Rock DBE Program Page 15
• Identify and attempt to subcontract work within the contract to small businesses to
perform the tasks. If the prime contractor cannot contract with a small business they
will be required to submit proof of their good faith efforts, e.g. phone log, emails, etc.,
to find a small business to perform the work;
• Verify the small business is eligible to participate as a small business. The SBA
provides a list of firms eligible to participate as a small business, which can be found
at https://www.bpn.gov/CCRSearch/Search.aspx;
• Submit the small business(es) information on the Contractor/Respondent
Certification form (See Attachment 1) with the bid or proposal;
• Submit the Small Business Subcontractor Certification form (See Attachment 1) with
the bid or proposal. This form is completed by the small business; and
• Submit the Contractor Payment Report form (See Attachment 1) with the monthly
invoices throughout the life of the contract.
If the City has a large contract it will attempt to identify possible portions of the contract which
could be unbundled and bid separately to help small businesses participate in City contracts
funded in part by DOT funds. The City will send the bid solicitation to eligible small businesses
by utilizing the SBA eligible firm list. In addition, the City will present information on the small
business participation element during its outreach presentations to different groups in and
around the community.
The small business participation element is a permanent part of this DBE Program. The City
participants are the DBE Liaison Officer, City Council and the Finance Department.
City of Round Rock DBE Program Page 16
Attachment 1 — Forms
• Contractor/Respondent Certification
• DBE Subcontractor Certification
• Small Business Subcontractor Certification
• Contractor Payment Report Form
City of Round Rock DDE Program Page 17
City of Round Rock
Contractor/Respondent Certification
Instructions: The Respondent/Contractor shall complete this form by listing 1) Names of all proposed subcontractors. 2) Contact information, 3) Description of
work to be performed/product to be provided, 4) Status as a DBE or non -DBE, 5) Ethnic Code of firm 6) Age of the firm, 7) Annual gross receipts of the firm, 8) %
or $ amount of Total Contract. Subcontractors which are listed on this form as DBEs must have current certification and must complete the DBE Subcontractor
Certification form. Subcontractors which are listed on this form as Small Businesses must be eligible to participate as a small business per the Small Business
Administration and must complete the Small Business Subcontractor Certification form.
Name of Prime Contractor (Respondent/Contractor):
Project Name:
Ethnic Codes
A) Black American B) Hispanic American
C) Native American D) Sub -continental Asian American
E) Asian -Pacific American F) Non -Minority Women
G) Other
1)
2)
3)
4)
5)
6)
7)
8)
Name of Subcontractor
Contact Person, Address,
Telephone #
Description of Work or
Services Provided
DBE, non -DBE
or Small
Business
Ethnic
Code
Age of
Firm
Annual
Gross
Receipts
% or $ of Total
Contract to
Sub
This schedule must be completed as instructed above and include every subcontractor proposed on this project. More than one form may be used.
The undersigned will enter into a formal agreement with DBE and Small Business subcontractors for work listed in this schedule upon execution of a contract with
City of Round Rock. The contractor agrees to the terms of this schedule by signing below and submitting the DBE and/or Small Business Subcontractor
Certification as completed by subcontractor(s).
Signature of Authorized Representative Date
City of Round Rock
DBE Subcontractor Certification
NOTE: In accordance with 49 C.F.R. Part 26 and City policy, DBE firms participating in the DBE Program must be certified as a
DBE by the due date established for this RFP.
To:
(Name of Respondent/Prime Contractor
The undersigned is either currently certified under the Texas Unified Certification Program as a DBE or will be at the time
this solicitation is due.
2. The undersigned is prepared to perform the following described work and/or supply the material listed in connection with
the above project (where applicable specify "supply" or "install' or both)
and at the following price $ and/or % of the total contract amount (should be the same $
or % found on Contractor/Respondent Certification Form).
3. The DBE subcontractor should complete this section only if the DBE is subcontracting any portion of its
subcontract.
With respect to the proposed subcontract described above, the undersigned DBE anticipates that % of the dollar
value of this subcontract will be sublet and/or awarded to other contractors. Any and all DBE subcontractors a DBE
subcontractor uses must be listed on the Contractor/Respondent Certification Form and must also be DBE certified.
Name of DBE Firm
Signature of Authorized Representative
Printed Name
Phone Number
Name of Respondent/Prime Contractor
Signature of Authorized Representative
Printed Name
Phone Number
Date Date
City of Round Rock
Small Business Subcontractor Certification
NOTE. In accordance with 49 C.F.R. Part 26 and City policy, small business firms completing this form must be registered with
the Small Business Administration as a small business by the due date established for this bid/request for proposal.
To: (Name of Respondent/Prime Contractor)
1. The undersigned is either currently registered with the SBA as a small business or will be at the time this bid/proposal is due.
2. The undersigned is prepared to perform the following described work and/or supply the material listed in connection with the
above project (where applicable specify "supply" or "install' or both)
and at the following price $ and/or % of the total contract amount (should be the same $ or %
found on Contractor/Respondent Certification Form).
3. The small business subcontractor should complete this section only if the small business is subcontracting any
portion of its subcontract.
With respect to the proposed subcontract described above, the undersigned small business anticipates that % of the
dollar value of this subcontract will be sublet and/or awarded to other contractors. Any and all small business subcontractors
uses must be listed on the Contractor/Respondent Certification Form and must also be registered as a small business with
the SBA.
Name of Small Business Firm Name of Respondent/Prime Contractor
Signature of Authorized Representative Signature of Authorized Representative
Printed Name Printed Name
Phone Number Phone Number
Date Date
City of Round Rock
Contractor Payment Report Form
Instructions: Contractors are required to complete and submit this report, as specified in the contract or as requested, until final payment of the contract
has been made. Failure to comply with the DBE provisions may result in contract termination, or the suspension or debarment of the contractor from
doing business with the City in the future in accordance with the procedures set forth in the DBE Program. This report must be submitted with each
invoice. Instructions for completing this report can be found on the following page.
Contract Number
(if applicable)
Invoice
Number
Reporting Period
Contractor's
Business Name
Contact
Person
Address
Telephone
Number
From:
To:
Amount of
Date of payments
Name of DBE
payments made
made during
Subcontract
Amount Paid to
Percent Paid to
invoice
Date of Contract Award
Schedule Date of
Completion
Original Contract
Amount
Current Contract
Modifications
Total Amount
Received to Date
Total Amount
Owed
Committed DBE
allocated to
Subcontractor
during current
current invoice
Dollars
Date
Date
i`
invoice period
Actual DBE
Participation to date
Actual DBE % to Date
#DIV/0!
Amount of this
Amount of
Date of payments
Name of DBE
payments made
made during
Subcontract
Amount Paid to
Percent Paid to
invoice
Description of Work
allocated to
Subcontractor
during current
current invoice
Dollars
Date
Date
invoice period
period
DBE
subcontractor
#DIV/0!
#DIV/0!
#DIV/0!
City of Round Rock
Contractor Payment Report Form
(Add rows to the table, as needed, to complete this section)
By completing this form, the Contractor acknowledges the City's prompt payment policy, which requires the Contractor to pay all subcontractors within
30 days of receiving payment from the City.
Signature Date Signed Name and Title of Individual Completing Report
Amount of this
Amount of
Date of payments
Name of DBE
payments made
made during
Subcontract
Amount Paid to
Percent Paid to
invoice
Description of Work
allocated to
Subcontractor
during current
current invoice
Dollars
Date
Date
invoice period
period
DBE
subcontractor
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
(Add rows to the table, as needed, to complete this section)
By completing this form, the Contractor acknowledges the City's prompt payment policy, which requires the Contractor to pay all subcontractors within
30 days of receiving payment from the City.
Signature Date Signed Name and Title of Individual Completing Report
City of Round Rock
F'
ROUND ROCK
TEXAS Agenda Item Summary
Agenda Number:
Title: Consider executing the Objectives and Policy Statement of the DBE
Program to reflect a change in the DBE Liaison Officer.
Type: City Manager Item
Governing Body: City Manager Approval
Agenda Date: 3/25/2016
Dept Director: Gary Hudder
Cost:
Indexes:
Attachments: DBE Program.pdf
Department: Transportation Department
Text of Legislative File CM -2016-1067
Consider executing the Objectives and Policy Statement of the DBE Program to reflect a change in the
DBE Liaison Officer.
As part of being a direct recipient of Federal Transit Administration grant funds, the City is required to
maintain a Disadvantaged Business Enterprise (DBE) Program. The requirements of the DBE regulations
require the City to appoint a DBE Liaison Officer. The last policy statement, signed off on in 2011, has
David Bartels listed ias the DBE Liaison Officer. This updated changes the DBE Liaison Officer to Caren
Lee.
Staff recommends approval.
City of Round Rock Page 1 Printed on 312412016