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HomeMy WebLinkAboutRES 00-027 RESOLUTION NO. 1Y,2 WHEREAS, the City of Beaumont deems it to be in the public interest that small business concerns owned and controlled by socially and economically disadvantaged individuals be utilized to the maximum extent feasible in the city's contracts for construction, professional services, purchases of equipment and supplies and all other services required by the city, for Department of Transportation, Department of Transportation-assisted projects, pursuant to 49 CFR, Part 26, as amended; and, WHEREAS, the City Council of the City of Beaumont deems it to be in the public interest for contractors providing services, materials or supplies to the City of Beaumont in such Department of Transportation-assisted projects to provide employment and subcontracting opportunities to disadvantaged individuals to the maximum extent feasible; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF BEAUMONT: THAT the City Council of the City of Beaumont hereby adopts, as its policy, the Disadvantaged Enterprise Program Policy Manual attached hereto. BE IT FURTHER RESOLVED that the City Manager of the City of Beaumont be, and he is hereby, authorized to execute, for and on behalf of the City of Beaumont, said policy manual and any amendments thereto. BE IT FURTHER RESOLVED that the City Manager of the City of Beaumont, or his designee, shall be the Disadvantaged Business Enterprise Liaison Officer for the City of Beaumont and shall have authority to implement this policy. PASSED BY THE CITY COUNCIL of the City of Beaumont this the v��� day of 2000. �DwlV,/ � - Mayor - CITY OF BEAUMONTBEAUMONT MUNICIPAL TRANSIT(BMT) SYSTEM DISADVANTAGED BUSINESS ENTERPRISE(DBE) PROGRAM DECEMBER 1999 EXHIBIT "A" OBJECTIVESIPOLICY STATEMENT The City of Beaumont/Beaumont Municipal Transit System(BMT) 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 Beaumont/BMT has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the City of Beaumont/BMT has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the City of Beaumont/BMT to ensure that DBE's, as defined in Part 26, have an equal opportunity to receive and participate in DOT assisted contracts. It is also our policy: 1. To ensure nondiscrimination in the award and administration of DOT assisted contracts; 2. To create a level playing field on which DBE's 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 DBE's; 5. To help remove barriers to the participation of DBE's in DOT assisted contracts;and 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. Albert N. Eby, Assistant General Manager, BMT, has been delegated as the DBE Liaison Officer. In that capacity, the Assistant General Manager, BMT, 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 Beaumont/BMT in its financial assistance agreements with the Department of Transportation. The City of Beaumont/BMT has disseminated this policy statement to the Beaumont City Council and all 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 via the U.S. Postal Service, as well as advertisements posted in the local newspaper and in Passenger Transport. Date: Stephen J. Bonczek, City Manager NONDISCRIMINATION The City of Beaumont/BMT 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. DBE PROGRAM UPDATES We will continue to carry out this program until all funds from DOT financial assistance have been expended. We will provide to DOT updates representing significant changes to the DBE Program. QUOTAS We do not use quotas in any way in the administration of this DBE Program. DBE LIAISON OFFICER We have designated the following individual as our DBE Liaison Officer. Albert N. Eby Assistant General Manager Beaumont Municipal Transit System 550 Milam Street Beaumont, Texas 77701 (409)835-7895 - Office (409)832-3609 -Fax In that capacity, the Assistant General Manager, BMT, is responsible for implementing all aspects of the DBE Program and ensuring that the City of Beaumont/BMT complies with all provisions of 49 CFR Part 26. The Assistant General Manager,BMT, has direct, independent access to the City Manager of Beaumont concerning DBE Program matters. The Assistant General Manager, BMT, has access to assistance from the General Manager, BMT, and the City of Beaumont Director of Public Works. He also has access to BMT office support personnel who devote a portion of their time to help with administrative and clerical duties. An organizational chart displaying the DBE Liaison Officer's position within the organization is found in Attachment A. The DBE Liaison Officer is responsible for developing, implementing, and monitoring the DBE Program, in coordination with other appropriate officials. Duties and responsibilities include the following: 1. Gathers and reports statical 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 DBE's in a timely manner. 5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race-neutral methods and contract specific goals) and monitors results. 6. Analyzes the City of Beaumont/BMT's progress toward goal attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the City Staff on DBE matters. 9. Participates with the legal counsel and project director to determine contractor compliance with good faith efforts. 10. Provides DBE's with assistance and information in preparing bids. 11. Certifies DBE's according to the criteria set by DOT for the City of BeaumontBMT. 12. Participates in DBE training seminars. 13. Maintains the City of Beaumont/BMT updated directory on certified DBE's. FEDERAL FINANCIAL ASSISTANCE AGREEMENT ASSURANCE The City of BeaumontBMT has signed the following assurance, applicable to all DOT assisted contracts and their administration: The City of BeaumontBMT 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 CFR 49 Part 26. The recipient shall take all necessary and reasonable steps under CFR 49 Part 26 to ensure nondiscrimination in the award and administration of DOT assisted contracts. The recipient's DBE Program, as required by CFR 49 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 BeaumontBMT of its failure to carry out its approved program,the Department may impose sanctions as provided for under part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). DBE FINANCIAL INSTITUTIONS It is the policy of the City of BeaumontBMT to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions, and to encourage prime contractors on DOT assisted contracts to make use of these institutions. The 26 local financial institutions in the area, including banks and credit unions, were contacted and none were operated or controlled by socially or economically disadvantaged individuals. DIRECTORY The City of Beaumont/BMT maintains a directory identifying all firms eligible to participate as DBE's. 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. We revise the directory annually. We make the directory available upon request by either writing Beaumont Municipal Transit System, 550 Milam Street,Beaumont, Texas, 77701, or by calling(409)835- 7895. Directories can be picked up at the above address or will be mailed out to the requesting individual. The directory may be found as Attachment B to this plan. In addition, copies of the Texas Department of Transportation DBE Directory and the local Black Pages are kept on file. REQUIRED CONTRACT CLAUSES We will ensure that the following clause is placed in every DOT assisted contract and subcontract: The contractor 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 of 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. PROMPT PAYMENT We will include the following clause in each DOT assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 15 days from the receipt of each payment the prime contractor receives from the City of BeaumontBMT. The prime contractor agrees further to return retainage payments to each subcontractor within 15 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may only occur for good cause following written approval of the City of BeaumontBMT. This clause applies to both DBE and non-DBE subcontractors. If the prime contractor fails to comply with the above prompt payment clause, then the City of BeaumontBMT will contact the prime contractor and attempt to settle the dispute. If the prime contractor still fails to comply, then the subcontractor which failed to receive payment will be given a copy of the payment bond information and the subcontractor will be able to file a claim for non-payment. In addition, the City of Beaumont/BMT may choose to exclude the prime contractor from participating in future contract bids and/or render any other appropriate actions deemed applicable to the situation. MONITORING AND ENFORCEMENT MECHANISMS We 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 debarment or Program Fraud and Civil Penalties rules)provided in 26.109. We will also consider similar action under our own legal authorities, including responsibility determinations in future contracts. Attachment C lists the regulations, provisions, and contract remedies available to us in the event of non-compliance with the DBE regulation by a participant in our procurement activities. OVERALL GOALS The City of BeaumontBMT's overall goal for FY 2000 is the following: 12.0%of the Federal financial assistance we will expend in DOT assisted contracts. Given the amount of DOT assisted contracts the City of BeaumontBMT expects to let during this fiscal year, which is estimated to be $400,000 in Federal share, we have set a goal of expending 12.0%, or $48,000 with DBE's during this fiscal year. METHOD The following is a summary of the method we used to calculate this goal: The first step was to calculate a base figure by dividing the total number of DBE firms in the community by the total number of firms in the community. Data was obtained from U.S. Census Bureau statistics provided by the City of Beaumont Planning Department. There were 266 registered DBE firms in the area and 3,094 registered total firms in the area. Jefferson County was used as the local area. Dividing 266 by 3,094, a base figure of 8.6% is obtained. The second step was to adjust the base figure so that it accurately reflects the amount of DBE participation we would expect in the absence of discrimination and based upon our history of prior DBE participation. During the last ten years, our DBE participation has ranged from a high of 40.0%to a low of 11.4%. During that period, our goals have ranged from 11.0%to 16.0%. Except for one time, which happened to be this last reporting period, goals have always been attained. The main reason that our small transit system has been able to consistently attain our set goal is that we use a DBE diesel fuel supplier. Obviously diesel fuel represents a significant portion of our annual purchases. The small number of other DBE's used for parts and services in themselves would not come close to meeting the goals used in the past. So, the first factor to consider in adjusting the base percentage is what type of DBE's are actually available and what portion of annual purchases do they represent. Another factor to consider is the location of DBE's actually used. Some of our DBE's are not in the local area. The base figure computed above only uses local data. Taking all of this into consideration, along with historical participation percentages, the City of Beaumont/BMT has set 12.0% as its annual overall DBE goal. This represents a figure about halfway between the base figure of 8.6% and last year's goal of 160%. The figure actually attained last reporting period was 11.4%. Therefore, 12.0% seems to be a reasonable objective for a goal. TRANSIT VEHICLE MANUFACTURERS (TVM) The City of Beaumont/BMT will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA assisted transit vehicle procurements,to certify that it has complied with the requirements of this section. Alternatively,the City of Beaumont/BMT 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. PROCESS The City of BeaumontBNIT submits its overall goal to DOT on August 1 every year. Before establishing the overall goal each year, the City of Beaumont/BMT will consult with the City's Purchasing Department, the City's Planning Department, and.the local Chamber of Commerce. They will provide information on the availability of disadvantaged and non- disadvantaged businesses, including financial institutions, and statistical census data for the community. In addition, it will consult with the local Golden Triangle Minority Business Council in order to obtain a list of local minority and women's organizations which to contact for consultation, as well as for their ideas/comments on the effects of discrimination on opportunities for DBE's , and the efforts needed to establish a level playing field for the participation of DBE's. Following this consultation process, we will publish a notice of the proposed overall goal, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at the Beaumont Municipal Transit Office for 30 days following the date of the notice, and informing the public that the City of Beaumont/BMT and DOT will accept comments on the goal for 45 days from the date of the notice. The notice will be published in the local newspaper, the Beaumont EntcWrise, and Passenger T� . Normally, we will issue this notice by June 1 of each year. The notice must include the address to which comments may be sent and the address where the proposed goal may be reviewed. Our overall goal submission to DOT will include a summary of information and comments received during this public participation process and our responses. We will begin using our overall goal on October 1 of each year, unless we have received other instructions from DOT. BREAKOUT OF ESTIMATED RACE-NEUTRAL AND RACE-CONSCIOUS PARTICIPATION The City of Beaumont/BMT will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE participation. The City of BeaumontBMT uses the following race-neutral means to increase DBE participation: 1. Arranging solicitations, times for presentations of bids, quantities, specifications, and delivery schedules in ways that facilitate DBE and other small business participation This includes the unbundling of large contracts when practical in order to make them more accessible to small businesses and encouraging prime contractors to subcontract portions of work that they might otherwise perform with their own forces; 2. Providing assistance in overcoming limitations such as the inability to obtain bonding or financing; 3. Providing technical assistance; 4. Ensuring that DBE's and small businesses are included on recipient mailing lists for bidders, that prime contractors are made aware of available potential subcontractors, and provisions for information provided in languages other than English if appropriate; 5. Ensuring distribution of the DBE Directory to prime contractors; and 6. Providing assistance to help DBE's and other small businesses in developing their capability to utilize emerging technology, improve long term development, increase opportunities to participate in a variety of kinds of work, handle increasingly difficult projects, and achieve eventual self- sufficiency. We estimate that in working towards meeting our annual goal of 12%,we will obtain 100% of the goal from race-neutral participation and 0%through race-conscious measures. This estimate was based on historical DBE participation by private sector DBE's and DBE participation in local procurement programs where there are no contract goals. We will adjust the estimated breakout of race-neutral and race-conscious participation on an annual basis as needed to reflect actual DBE participation, and we will track and report the two separately. For reporting purposes, race-neutral 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 a 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. CONTRACT GOALS The City of Beaumont/BMT will use contract goals to meet any portion of the overall goal that the City of Beaumont/BMT does not project being able to meet using race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of our overall goal that is not projected to be met through the use of race-neutral means. We will establish contract goals only on those DOT assisted contracts that have subcontracting possibilities. We need not to 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 DBE's to perform a particular type of work). We will express our contract goals as a percentage of the total amount of a DOT assisted contract. GOOD FAITH EFFORTS Information To Be Submitted The City of Beaumont/BMT treats bidder/offeror's compliance with good faith efforts as a matter of responsiveness. Each solicitation for which a contract goal has been established will require the bidder/offeror to submit the following information at the time of the bid: 1. Names and addresses of DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform; 3. The dollar amount of the participation of each DBE firm; 4. Written and signed documentation of commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; 5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractor's commitment; and 6. If the contract goal is not met, evidence of good faith efforts. Demonstration of Good Faith Efforts The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so by either meeting the contract goal or documenting good faith efforts. Examples of good faith efforts can be found in Appendix A to Part 26 of the regulation. The DBE Liaison Officer, General Manager of BMT, and the City of Beaumont Purchasing Staff are 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. We will ensure that all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before we commit to the performance of the contract by the bidder/offeror. Administrative Reconsideration Within 10 days of being informed by the City of Beaumont/BMT that it is not responsive because it has not documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration. Bidders/offerors should make this request in writing to the DBE Liaison Officer, Albert N. Eby, Beaumont Municipal Transit System, 550 Milam Street,Beaumont, Texas, 77701. 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 reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. We will send the bidder or offeror a written decision on reconsideration, explaining the basis for the finding that the bidder/offeror did or did not meet the goal or did or did not make adequate good faith efforts to do so. The result of the administrative process is not administratively appealable to the Department of Transportation. Good Faith Efforts When A DBE h Replaced On A Contract We 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. We will require the prime contractor to notify the DBE Liaison Officer immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. In this situation, we will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, our contracting office may issue an order stopping all or part of payment/work until satisfactory action has been taken. If the contractor still fails to comply,the contracting officer may issue a termination for default proceeding. COUNTING DBE PARTICIPATION We will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. CERTIFICATION The City of Beaumont/BMT will use the certification standards of Subpart D of Part 26 and the certification procedures of Subpart E to determine the eligibility of firms to participate as DBE's in DOT assisted contracts. To be certified as a DBE, a firm must meet all certification eligibility standards. We will make our certification decisions based on the facts as a whole. Process Our certification application form and documentation requirements are found in Attachment D to this program. For additional information about the certification process or to apply for certification, firms should contact the DBE Liaison Officer, Albert N. Eby,Beaumont Municipal Transit System, 550 Milam Street,Beaumont, Texas, 77701, at telephone number(409)835-7895. In the event we propose to remove a DBE's certification,we will follow procedures consistent with 49 CFR 26.87. Attachment E to this program sets forth these procedures in detail. To ensure separation of functions in a decertification, we have determined that the General Manager of BMT will serve as the decision maker in the decertification proceedings. We have established an administrative`firewall"to ensure that the General Manager of BMT will not have participated in any way in the decertification proceeding against the firm, including the decision to initiate such a proceeding. If we deny a firm's application, or decertify it,the firm may not reapply until 12 months have passed from our action. Unifi ed Certification Program The Texas Department of Transportation(TXDOT)participates in a unified certification program. They follow the same prescribed DOT certification procedures as is required for BMT. TXDOT provides BMT copies of their DBE Directory which are kept on file at the BMT office. Certification Appeals Any firm or complainant may appeal our decision in a certification matter to DOT. Such appeals may be sent to: Department of Transportation Office of Civil Rights Certification Appeals Branch 400 7th Street, SW, Room 2104 Washington, DC 20590 We will promptly implement any DOT certification appeal decisions affecting the eligibility of DBE's for our DOT assisted contracting(e.g. certify a firm if DOT has determined that our denial of its application was erroneous). Attachment F to this program outlines the administrative appeals process of certification decisions. Recertifications We will review the eligibility of DBE's that we certified under former Part 23 to make sure that they meet the standards under Subpart D of part 26. We will complete this review no later than three years from the most recent certification of each firm. All firms in our current DBE Directory will be sent a copy of the new DBE certification application form and be required to fill it out and return it. Since under the old DBE Program, we required annual certification, this will be accomplished within one year from the most recent certification of each firm. For firms that we have certified or reviewed and found eligible under Part 26, we will again review their eligibility every three years. This will be accomplished by requiring each firm to fill out and return a completed DBE certification application form. These forms will be reviewed for eligibility and a certification decision rendered. "No Change" Affidavits And Notices Of Change We require all DBE's to inform us, in a written affidavit, of any change in its circumstances affecting it ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26, or of any material changes in the information provided with each DBE's application for certification. We also require all owners of all DBE's we have certified to submit, on the anniversary of their certification, a"no change"affidavit meeting the requirements of 26.830). The text of this affidavit is the following: I swear(or affirm)that there have been no changes in the circumstances of[name of DBE] affecting its ability to meet the size, disadvantaged status, ownership, or control requirements of 49 CFR Part 26. There have been no material changes in the information provided with [name of DBE]'s application for certification, except for any changes about which you have provided written notice to the City of Beaumont/BMT under 26.83(1). [Name of firm] meets Small Business Administration(SBA)criteria for being a small business concern and it average annual gross receipts (as defined by SBA rules) over the firm's previous three fiscal years do not exceed $16.6 million. We require DBE's to submit with this affidavit documentation of the firm's size and gross receipts. We will notify all currently certified DBE firms of these obligations in writing with a copy of the new DBE Program attached. This will be accomplished within the first year of the implementation of this program when we send out the new certification forms for the currently certified firms to complete and return. This notification will inform DBE's that to submit the"no change"affidavit, their owners must swear or affirm that they meet all regulatory requirements of Part 26, including personal net worth. Likewise, if a firm's owner knows or should know that he or she, or the firm, fails to meet a Part 26 eligibility requirement(e.g. personal net worth), the obligation to submit a notice of change applies. Personal Net Worth We will require all disadvantaged owners of applicants and of currently certified DBE's whose eligibility under Part 26 we review,to submit a statement of personal net worth. This statement will be submitted with the certification application. Attachment G sets forth our Personal Net Worth Statement Form and the documentation respondents are required to submit. INFORMATION COLLECTION AND REPORTING Bidder's List The City of Beaumont/BMT will create a bidder's 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 bidder's list approach to calculating overall goals. The bidder's list will include the name, address, DBE/non-DBE status, age and annual gross receipts of the firms. We will collect this information by a contract clause in DOT assisted contracts requiring that the prime bidder report the above required information on itself and on all firms which bid or quote to them on subcontracts. Monitoring Payment to DBE's We will require prime contractors to maintain records and documents of payments to DBE's for three years following the performance of any DOT assisted contract. These records will be made available for inspection upon request by any authorized individual of the City of BeaumontBMT or DOT. This requirement also extends to any certified DBE subcontractor. We will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. We will perform interim audits of contract payments to DBE's. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of'DBE participation ReVorting to DOT We will report DBE participation to DOT on a quarterly basis using DOT Form 4630. These reports will reflect payments actually made to DBE's on DOT assisted contracts. Confidentiality We will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, State, and local law. Any request under the Federal or State of Texas Freedom of Information Act will be reviewed by legal counsel to determine if it is legally releasable information under the law. Notwithstanding any contrary provisions of State of Texas or local law, we 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. ATTACYBIENTS A -Organizational Chart B - DBE Directory C- Remedies for Non-Compliance with DBE Regulations Regarding Contracts D - Certification Application Form and Required Documentation E - Decertification Procedures F - Administrative Appeals Procedures of Certification Decisions G- Personal Net Worth Statement Form Attachment A - Organizational Chart City Manager City Council-i Purchasing Department FDirectorof Public Works BMT General Manager BMT Assistant General Manager ( DBE Liaison Officer) Attachment B - Current DBE Directory 1. ABP, Inc. Wholesale Distributor of Aftermarket 11500 Wycoming Street Parts for Heavy Duty Vehicles Detroit, Michigan 48204 (313)933-1600 March 11, 1992- Inactive 2. American Builder's Concrete, Inc. Concrete, Pipe, and Steel Supplier 1076 Calder Street Beaumont, Texas 77701 December 18, 1989- Inactive (409)833-8947 3. Barlex, Inc. DBA Fourth Street Automotive Parts Retail Store 675 South 4th Street Beaumont, Texas 77701 March 31, 1999-Active (409)838-0571 4. Derrick Oil and Supply Distributor of Fuel and Petroleum P.O. 1133 Products Port Arthur, Texas 77641 (409)985-2508 May 12, 1993-Inactive 5. Diesel Radiator Manufacturer of Diesel Radiators 1985 Janice Avenue Melrose Park, Illinois 60160 February 17, 1997-Inactive 6. East Texas Express, Inc. Industrial Maintenance Supplies and P.O. Box 20826 Chemicals Beaumont, Texas 77720 (409)942-0418 June 28, 1993-Inactive 7. Fitz and Shipman Structural and Civil Engineering 440 18th Street, Suite A Land Surveying Beaumont, Texas 77707 (409)832-7238 November 11, 1991 - Inactive 8. Fuller Oil Company Distributor of Fuels and Lubricants 535 East Avenue G Silsbee, Texas 77656 May 14, 1999-Active (409)385-3751 9. Golden Triangle Janitorial Janitorial Supplies and Equipment, Paper 695 South 4th Street Products, Pesticides, and Chemicals Beaumont, Texas 77701 (409)8354004 January, 19, 1990- Inactive 10. Graham Brake and Diesel Distributor of Transit Bus Parts 19800 Nordhoff Place Chatsworth, California 91311 May 7, 1990- Inactive (818)998-2500 11. Gulf Coast Electric Company Electrical Contractor 2005 Pecos Street Beaumont, Texas 77701 March 31, 1999-Active (409)833-2828 12. Leonard and Associates Distributor of Synthetic Oil Products 5349 25th Street Groves,Texas 77619 December 17, 1992- Inactive (409)962-3866 13. Material Resource Planners Transit Bus and Rail Parts Distributor 9809 Merioneth Drive, Suite 104 Louisville, Kentucky 40299 December 15, 1993- Inactive (502)266-5500 14. McCarty Supply Corporation Cleaning and Janitorial Supplies P.O. Box 341 Cleburne,Texas 76033 June 10, 1993- Inactive (817)641-2257 15. Sun Coast Resources Fuel and Lubricants Distributor P.O. Box 4516 Houston, Texas 77210 May 11, 1999-Active (713)844-9600 16. Superior Company Air, Oil, and Fuel Filters 7424-B College Street Beaumont, Texas 77706 July 29, 1992- Inactive (409)866-1435 ATTACHMENT C- REMEDIES FOR NON-COMPLIANCE WITH DBE REGULATIONS REGARDING CONTRACTS 1. Any firm that does not meet the eligibility criteria contained within this program and attempts to participate in a DOT assisted contract 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, will be reported to the Department of Transportation(DOT)which then may initiate suspension or debarment proceedings against the firm. 2. If a firm, in order to meet DBE contract goals or other DBE 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 this program, will also be reported to DOT which may initiate suspension or debarment proceedings. 3. In a suspension or debarment proceeding brought under(1) or(2) of this Attachment, the concerned operating administration may consider the fact that a purported DBE has been certified by BMT. However, such certification does not preclude DOT from determining that the purported DBE, or another firm that it has used or attempted to use to meet DBE goals, should be suspended or debarred. 4. DOT 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. 5. DOT 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 contract or otherwise violates applicable Federal statutes. 6. While any suspension or debarment proceeding is in progress, the firm in question will remain an eligible DBE until a final decision is reached. ATTACHMENT D CERTIFICATION APPLICATION FORM DISADVANTAGED BUSINESS-OWNED BUSINESS ENTERPRISE CERTIFICATION FORM 1. Name of Firm 2. Address 3. Phone Number 4. Legal Structure: Sole Proprietorship [ ] Joint Venture [ ] Partnership [ ] Corporation [ ] Other, Specify [ ] 5. Nature of Business 6. Number of Years in Business 7. Ownership: Identify those who own 5% or more of the company. Also indicate if the company is privately or publicly owned and what the stock ownership breakdown is by employees and the public. Privately Owned? Publicly Owned? Name Race* Sex Years of Ownership Ownership Percentage Voting Percentage Percentage of Stock Owned by Employees? Percentage of Stock Owned by PubLiF? Describe or attach a copy of any stock options or other ownership options -that are outstanding, and any agreements between owners or between owners and third parties which restrict ownership or control of DBE owners. With firms Less than 100 percent minority owned, list the contributions of money, equipment, real estate, or expertise of each of the owners: Name Money Equipment Real Estate Expertise *NOTE: Use the following codes for race information: 6=8lack; H=Hispanic; C=Caucasian; and Other 8. CONTROL OF FIRM: Identify by name, race, sex, and title in the firm those individuals (including owners and non-owners) who are responsible for day-to-day management and policy decision-making, including, but not limited to, those with prime responsibility for: Name Race Sex Title Financial Decisions _ Management decisions, _ such as estimating, marketing, sales, hiring _ /firing of management personnel, and purchases _ of major items/supplies Supervision of Field Operations 9. For each of those individuals in sections 7 and 8, please attach resumes containing work histories, experience and number of years with the firm, and the qualifications she or she has for the responsibilities given him/her. 10. Identify any owner (section 7) or management official (section 8) of the named firm who is or has been an employee of another firm that has an ownership interest in or a present business relationship with the named firm. Present business relationships include shared space, equipment, financing, or employees as well as both firms having some of the same owners. 11: What are the gross receipts of the firm for each of the last three years? Year ending $ Year ending S Year ending S 12. Name of bonding company, if any: Bonding Limit: 13. Are you authorized to do business in the state? and nationally? , as well as locally? Licenses Held: 14. Work History: List contracts with companies you have received in the past that have been completed: Company Name/Address Nature of Work Value of Contract 15. What type of work does your company prefer to perform as part of the DBE Program? 16. Equipment: A list of all equipment owned or available to the firm must be attached. 17. Personnel: A list of all key personnel who will perform the work your company seeks as a DGE participant must be attached. 18. Are you the manufacturer of the products you sell? or are you a "regular dealer"? A "regular dealer" is defined as: a. A firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials or supplies requires for the performance of the contract are bought, kept .n stocx, ar4 regularty seta to the curt c. b. The firm must engage in, as its principal business, and in its own name, the purchase and sate of products in question C. A regular dealer in such bulk items as steel, cement, gravel, stone, and petroleum products need not keep such products in stock, if it owns or operates distribution equipment. 19. Indicate if this firm or other firms with any of the same officers have previously received or been denied certification or participation as a DBE and describe the circumstances: 20. List other organizations in which you are a certified DBE participant: Name Address NOTE: All information requested must be provided in order to be considered for certification into the program. This information is required by the Federal Transit Administration (FTA) in order for eligibility to be determined. AFFIDAVIT CERTIFICATION OF ELIGIBILITY "The undersigned swears that the forgoing statements are true and correct and all material information necessary to identify and explain the operations of (name of firm) as well as the ownership thereof. Further, the undersigned agrees to provide through the prime contractor of, in no prime, directly to the grantee, current, complete and accurate information regarding actual work performed on the project, the payment therefor and any proposed changes, if any, of the foregoing named firm. Any material misrepresentation will be grounds for terminating any contract which nay be awarded and for initiating action under Federal or State laws concerning false statements." NOTE: If, after filing this application and before the work of this firm is completed on the contract covered by this regulation, there is any significant change in this information submitted, you must inform Beaumont Transit of the change through the prime contractor or, if no prime contractor, inform Beaumont Transit directly. Signature Name Title Date Corporate Seal (where appropriate) Date State of County of on this day of 19 before me appeared to me personally known, who being duly sworn, did execute the foregoing affidavit, and did state that he/she was properly authorized by (name of firm) to execute the affidavit and did so as his/her free act and deed. Notary Public Commission Expires To be Completed by Beaumont Transit: Date application received: Date application approved or denied for certification Certifying authority signature Title ATTACHMENT E - DECERTIFICATION PROCEDURES 1. If the DBE Liaison Officer decides that a currently certified DBE firm has become ineligible, or if any other person files a written complaint to the DBE Liaison Officer specifying the alleged reasons why a currently certified DBE firm has become ineligible, then a review of the eligibility criteria for the firm in question is conducted by the DBE Liaison Officer. Anonymous complaints alleging that a firm is ineligible will not be accepted as valid. The complaint must be submitted in writing with specific information and arguments why the DBE firm is alleged to be ineligible and must include the name, address, and telephone number of the person submitting the complaint. The identity of persons submitting such complaints will be protected as provided in Section 26.109(b). 2. A review will be conducted on records on file at BMT, any material supplied by the firm in question and the complainant, and any other relevant information. If necessary, additional information will be requested from any of the involved parties as deemed appropriate in order to conduct the review and investigation. 3. If there is reasonable cause to suspect that the firm in question is no longer eligible,then written notice will be sent to the firm explaining that BMT intends to decertify them as a DBE, setting forth the reasons for the proposed determination. If no reasonable cause for decertification is found, then written notice will be sent to the firm in question as well as the complainant, again setting forth the reasons for the determination. All statements of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the record on which each reason is based. 4. The same procedure in paragraph(3) above is followed for recipient initiated proceedings also. If through a review by the DBE Liaison Officer of the annual affidavit submitted by each certified DBE, reasonable cause for decertification is found, then the firm in question is notified in writing of their proposed decertification and the reasons for the decision. 5. If the concerned operating administration under DOT(the FTA) determines that information in BMT's certification records, or through other information available to the FTA,that there is reasonable cause for decertification, then they may direct BMT to initiate a proceeding to remove the firm's certification. FTA must provide BMT and the firm a written notice setting forth the reasons for the directive, including any relevant documentation or other information. 6. When reasonable cause proceedings for decertification has been initiated by BMT, an outside person, or directed by FTA, then the firm in question will be given the opportunity for an informal hearing. At this hearing,the firm will be given to opportunity to respond in person to the proposal to decertify it as a valid DBE and will be allowed to provide whatever arguments, information, and documentation in its defense. In any hearing, BMT bears the burden of proving, by a preponderance of the evidence,that the firm does not meet the required certification standards. 7. BMT will maintain a complete record of the hearing through audio recording. If the firm pursues an appeal of the hearing results to DOT under Section 26.89, then BMT will provide a transcript of the hearing to DOT and, on request, to the firm. The original recording of the hearing will be kept on file at BMT and the firm in question will only be charged the cost of copying the original record. 8. The firm being investigated may choose to submit arguments and information for their defense in writing rather than attending an informal hearing. In this case, BMT still bears the same burden of proving,by a preponderance of the evidence, that the firm does not meet the required certification criteria. 9. The decision to remove a firm's DBE certification after the informal hearing on the matter or after a written response has been submitted by the firm will be made by the BMT General Manager. This ensures a separation of functions in that the person making the final decision to decertify the firm did not take part in any actions leading to or seeking to implement the proposal to remove the firm's certification and are not subject, with respect to matter, to direction from the office or personnel who did take part in these matters. 10. Grounds for decertification will not be based upon reinterpretation or changed opinion of information submitted to BMT at the time of the original certification. A decision to decertify will only be based on one or more of the following: a. Changes in the firm's circumstances since the original certification by BMT that render the firm unable to meet the eligibility standards; b. Information or evidence that was not available at the time of original certification; c. Information that was concealed or misrepresented by the firm in previous certification actions by BMT; d. A change in the certification standards or requirements of DOT since the original certification of the firm, or; e. A documented finding that BMT's determination to certify the firm was factually erroneous. 11. Following the decision rendered, written notice will be provided to the firm and the reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The written notice will inform the firm of the consequences of the decision and the availability of an appeal to DOT under Section 26.89. Copies of this written notice will be sent to the complainant in an ineligibility complaint or to the FTA in the case of a directed hearing. 12. A firm remains an eligible DBE during the pendency of any proceeding to remove its eligibility and does not become ineligible until issuance of the notice provided for in paragraph (11) above. 13. When a firm is decertified, the following actions will be taken: a. When a prime contractor has made a commitment to using the ineligible firm, or BMT had made a commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before the decertification notice has been issued, the ineligible firm will not be counted towards the contract goal or overall goal. BMT will direct the prime contractor to meet the contract goal with an eligible DBE firm or to demonstrate a good faith effort to do so. b. If a prime contractor has executed a subcontract with the ineligible firm before notification is sent to the firm of its ineligibility,the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal for the firm's work. In this case, or in a case where a prime contract has been let to a DBE firm that was later ruled ineligible, the portion of the ineligible firms's performance of the contract remaining after decertification will not count toward the overall goal, but will count toward the contract goal. c. If a DBE's eligibility is caused solely by its having exceeded the size standard during the performance of the contract, its participation will continue to be counted toward overall and contract goals. 14. After BMT-administratively removes a firm's certification under this section,the firm has the right to file an appeal to DOT under Section 26.89. ATTACHMENT F-ADMINISTRATIVE APPEALS PROCEDURES OF CERTIFICATION DECISIONS 1. After submission of the DBE Certification Application Form, the Personal Net Worth Form, and any additional related documentation,the DBE Liaison Officer will review the material and determine whether or not the firm meets all the required criteria to be certified. He may ask the firm to provide additional information in order to clarify any questions which may arise. 2. After a determination is made,the firm applying for certification is provided a written notice of the decision. If the firm is found to be ineligible,the written notice will contain the reasons why certification was denied. The firm will also be informed that they have the option to appeal the decision made by the BMT DBE Liaison Officer and will be provided the address where to mail their written appeal. The address is: Department of Transportation Office of Civil Rights Certification Appeals Branch 400 7th Street, SW,Room 2104 Washington, D.C. 20590 3. If the appeal is upheld by DOT, then no further action is necessary. 4. If the appeal reverses the decision made by the BMT DBE Liaison Officer and directs that BMT certify the firm, then that firm will be immediately certified into the program and added to BMT's DBE Directory. They will then be eligible to participate in DOT assisted contracts and be counted towards DBE goals if used. 5. DOT will provide written notice to BMT and to the firm of their decision. DOT's policy is to make an administrative decision within 180 days of receiving all documentation relevant to the case. If a decision is pending longer than 180 days, DOT will notify all concerned parties in writing of the delay, the reasoning for it, and the expected date by which a decision will be reached. 6. All decisions made by DOT are administratively final, and are not subject to petitions for reconsideration. ATTACHMENT G PERSONAL NET WORTH FORM PERSONAL NET WORTH STATEMENT As of (Date) This form should be completed by the DBE owner, controlling partner(51% or more), or controlling stockholder(51% or more) of the company and submitted with the DBE Certification Application Form. Name Business Phone Residence Address Residence Phone City, State, Zip Code Business Name of Applicant ASSETS Cash on hand and in banks $ Savings accounts $ IRA or other retirement accounts $ Life insurance (cash surrender value only) $ Stocks and bonds $ Residence(present value) $ Other real estate S Automobiles(present value) $ Other personal property(present value) $ Other assets $ TOTAL S LIABILITIES Amount owed on residence S Amount owed on automobiles Other notes payable to lenders Unpaid taxes $ Other liabilities TOTAL PERSONAL NET WORTH $ (Total assets minus total liabilities) I certify that the figures submitted above on this form are true and accurate. Signature Social Security Number Date