Download - Disadvantaged Business Enterprise (DBE) Planatlantaregional.org/wp-content/uploads/arc-2016-dbe-plan-v2.pdf · Disadvantaged Business Enterprise (DBE) Plan ... has established a Disadvantaged

Disadvantaged

Business

Enterprise (DBE)

Plan

Atlanta Regional Commission

Effective October 1, 2016

ARC DBE Plan and DBE Goal-Setting Methodology

ARC DBE Program Page | 1 Prepared by Hathor Strategic Consulting, Inc. August 1, 2016

POLICY STATEMENT

Section 26.1, 26.23 Objectives/Policy Statement

The Atlanta Regional Commission (ARC) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. ARC has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, ARC has signed an assurance that it will comply with 49 CFR Part 26.

It is the policy of ARC to ensure that DBEs, as defined in part 26, have an equal opportunity to receive and participate in DOT–assisted contracts. It is also our policy:

1. To ensure nondiscrimination in the award and administration of DOT – assisted contracts;

2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;

3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law;

4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs;

5. To help remove barriers to the participation of DBEs in DOT assisted contracts;

6. To assist the development of firms that can compete successfully in the market place outside the DBE Program.

The Contract & Grants Analyst has been designated as the DBE Liaison Officer. In that capacity, the Contracts & Grants Analyst 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 ARC in its financial assistance agreements with the Department of Transportation.

ARC has disseminated this policy statement to the ARC Board of Directors and all of the components of our organization. We have distributed this statement to DBE and non-DBE business communities that perform work for us on DOT-assisted contracts. ARC has provided notice of our DBE Program in the Fulton County Daily Report. The DBE Program is also available for copying or viewing at ARC Offices located at 40 Courtland Street, Atlanta, GA 30303 and on ARC’s website at www.atlantaregional.com.

Douglas R. Hooker Date

Executive Director



SUBPART A – GENERAL REQUIREMENTS

Section 26.1 Objectives

The objectives are found in the policy statement on the first page of this program.

Section 26.3 Applicability

ARC is the recipient of federal transit funds authorized by Titles I, III, V, and VI of ISTEA, Pub. L. 102-240 or by

Federal transit laws in Title 49, U.S. Code, or Titles I, II, and V of the Teas-21, Pub. L. 105-178.

ARC is also the recipient of federal-aid highway funds authorized under Titles I and V of the Intermodal Surface

Transportation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, Titles I, III, and V of the

Transportation Equity Act for the 21st Century (TEA-21, Pub. L.105-178, 112 Stat. 107.

Section 26.5 Definitions

ARC will adopt the definitions contained in Section 26.5 for this program.

Section 26.7 Non-discrimination Requirements

ARC will never exclude any person from participation in, deny any person the benefits of, or otherwise

discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR

part 26 on the basis of race, color, sex, or national origin.

In administering its DBE program, ARC will not, directly or through contractual or other arrangements, use

criteria or methods of administration that have the effect of defeating or substantially impairing

accomplishment of the objectives of the DBE program with respect to individuals of a particular race, color, sex,

or national origin.

Section 26.11 Record Keeping Requirements

Reporting to DOT: 26.11(b)



ARC will report DBE participation to DOT as follows:

ARC will report DBE participation to FTA on a semi-annual basis, using DOT Form 4630. These reports

will reflect payments actually made to DBEs on DOT-assisted contracts.

ARC will report DBE participation to FHWA on a semi-annual basis, using DOT form 4630.

Bidders List: 26.11(c)

ARC will create a bidders list, consisting of information about all DBE and non-DBE firms that bid or quote on

DOT-assisted contracts. The purpose of this requirement is to allow use of the bidders list approach to

calculating overall goals. The bidders list will include the name, address, DBE/non-DBE status, age, and annual

gross receipts of firms.

ARC will collect this information in the following ways:

The Center for Business Services and/or the Center for Livable Communities will provide a notice in all

solicitations requiring the prime bidder to provide appropriate bidder data on prime and sub-bidders,

including:

o Name

o Address of office to perform contract

o Bid Amount

o MBE/WBE/DBE status

o NIGP Code, Description of Work

The Department and/or Purchasing Agent will obtain appropriate bidder information on all quotes

submitted in response to opportunities below $25,000, including:

o Name

o Address of office performing contract

o Bid Amount

o MBE/WBE/DBE status

o NIGP Code, Description of Work

Section 26.13 Federal Financial Assistance Agreement



ARC has signed the following assurances, applicable to all DOT-assisted contracts and their administration:

Assurance: 26.13(a)

ARC shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of

any DOT assisted contract or in the administration of its DBE Program or the requirements of 49 CFR Part 26.

The recipient shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in

the award and administration of DOT assisted contracts. The recipient’s DBE Program, as required by 49 CFR

Part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program

is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon

notification to ARC of its failure to carry out its approved program, the Department may impose sanction as

provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C.

1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).

This language will appear in financial assistance agreements with sub-recipients.

Contract Assurance: 26.13b

ARC will ensure that the following clause is placed in every DOT-assisted contract and subcontract:

The contractor, sub-recipient, or subcontractor shall not discriminate on the basis of race, color,

national origin, or sex in the performance of this contract. The contractor shall carry out

applicable requirements of 49 CFR Part 26 in the award and administration of DOT assisted

contracts. Failure by the contractor to carry out these requirements is a material breach of this

contract, which may result in the termination of this contract or such other remedy as the

recipient deems appropriate.



SUBPART B - ADMINISTRATIVE REQUIREMENTS

Section 26.21 DBE Program Updates

Since ARC has received a grant of $250,000 or more in FTA planning, capital, and or operating assistance in a

federal fiscal year and received grant funds from FHWA as a sub-recipient, ARC will continue to carry out this

program until all funds from DOT financial assistance have been expended. We will provide to DOT updates

representing significant changes in the program.

Section 26.23 Policy Statement

The Policy Statement is elaborated on the first page of this program.

Section 26.25 DBE Liaison Officer (DBELO)

ARC has designated the following individual as our DBE Liaison Officer:

Brittany Zwald

Contract & Grants Analyst

Financial Services Division


40 Courtland Street

Atlanta, GA 30303

404-463-3162

[email protected]

In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that

ARC complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to Douglas R.

Hooker, Executive Director, concerning DBE program matters. An organization chart displaying the DBELO’s

position in the organization is found in Attachment 2.1 to this program.

The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with

other appropriate officials. The DBELO does not have any direct reports, however, she may utilize resources in

the Division of Financial Services, as well as the Center for Business Services, to assist in the administration of

the program. The duties and responsibilities include the following:



1. Gathers and reports statistical data and other information as required by DOT;

2. Reviews third party contracts and purchase requisitions for compliance with this program;

3. Works with all departments to set overall annual goals;

4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner;

5. Identifies contracts and procurements so that DBE goals are included in solicitations (both race-neutral

methods and contract specific goals attainment and identifies ways to improve progress;

6. Analyzes ARC’s progress toward attainment and identifies ways to improve progress;

7. Participates in pre-bid meetings;

8. Advises the Executive Director\Board on DBE matters and achievement;

9. Chairs the DBE Advisory Committee;

11. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance;

12. Plans and participates in DBE training seminars;

13. Acts as liaison to the Uniform Certification Process in the State of Georgia;

14. Provides outreach to DBEs and community organizations to advise them of opportunities; and,

15. Maintains ARC’s Bidder’s list.

Section 26.27 DBE Financial Institutions

It is the policy of ARC to investigate the full extent of services offered by financial institutions owned and

controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts

to use these institutions, and to encourage prime contractors on DOT-assisted contract to make use of these

institutions.

Periodically, ARC solicits competitively for banking services. In these instances, ARC will ensure that DBE

financial institutions are included on the solicitation lists, provided sufficient notice of the solicitation and

encouraged and provided the opportunity to respond to the solicitation.

To date we have identified the following such institutions:

Carver State Bank

Contact: Robert E. James, President & CEO

701 Martin Luther King, Jr. Boulevard,

P.O. Box 2769



Savannah, GA 31402

Routing and Transit (ABA) Number: 061200658

Phone: 912-447-4203

Fax: 912-232-8666

E-mail: [email protected]

MC: 50

Citizens Trust Bank

Contact: Samuel J. Cox, Senior EVP & CFO

75 Piedmont Avenue, Suite 1200

Atlanta, GA 30303


Phone: 404-575-8306

Fax: 404-575-8311


MC: 50

Metro City Bank

Contact: Abdul Mohdnor, Vice President

Contact: Farid Tan, Vice President

5441 Buford Highway, Suite 109

Doraville, GA 30340


Phone: 770-455-4989

Fax: 770-455-4988


MC: 30

Quantum National Bank

Contact: Dana Litman, SVP & CFO

505 Peachtree Industrial Boulevard

Suwanee, GA 30024


Phone: 770-945-8300

Fax: 770-945-4888


MC: 30

State Bank of Georgia

Contact: Kathy Hulsey, SVP and CFO

mailto:[email protected]






131 Gingercake Road

Fayatteville, GA 30214


Phone: 770-719-1200

Fax: 678-833-1641


MC: 30

Touchmark National Bank

Contact: Jorge L. Forment, EVP & CFO

3651 Old Milton Parkway

Alpharetta, GA 30005


Phone: 770-407-6700

Fax: 770-407-6752


Information on the availability of such institutions can be obtained from the DBE Liaison Officer.

Section 26.29 Prompt Payment Mechanisms

ARC will pay its prime contractors within 30 days from the receipt of a prime contractor’s invoice. ARC 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 30 days from the receipt of each payment the prime

contract receives from ARC. The prime contractor agrees further to return retainage payments to

each subcontractor within 30 days after the subcontractors work is satisfactorily completed. Any

delay or postponement of payment from the above referenced time frame may occur only for

good cause following written approval of ARC. This clause applies to both DBE and non-DBE

subcontracts.

Any contractor found not to be in compliance with this clause will be considered in breach of

contract and any further payments will be withheld until corrective action is taken. If contractor

does not take corrective action, contractor may be subject to contract termination.





Any dispute and appeal regarding this prompt pay provision will be handled according to ARC’s

Purchasing, Contracting and Procurement Policy, pg. 36. For more information concerning ARC’s

dispute and appeals process, please contact the Director of Business Services at 404-463-3120.

Section 26.31 Directory

ARC participates in the State of Georgia Uniform Certification Program administered by the Georgia Department

of Transportation (GDOT). GDOT maintains a directory identifying all firms eligible to participate as DBEs. The

directory lists the firm’s name, address, phone number, date of the most recent certification, and the type of

work the firm has been certified to perform as a DBE. ARC makes a link to the Directory available on our website

at www.atlantaregional.com and makes a copy available in the office of the DBELO at 40 Courtland Street,

Atlanta, GA 30303, 404-463-3162. The Directory may be found in Attachment 2.2 to this program document.

Section 26.33 Overconcentration

ARC has not identified that overconcentration exists in the types of work that DBEs perform.

Section 26.35 Business Development Programs

ARC has not established a business development program. ARC refers DBEs and non-DBEs needing business

development services to:

Georgia Department of Transportation Supportive Services Consultant

Atlanta Small Business Development Center at Georgia State University

Atlanta Minority Business Development Center and/or

SCORE Atlanta

Georgia Tech’s Procurement Assistance Center

Section 26.37 Monitoring and Enforcement Mechanisms

ARC will provide the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part

26.

1. ARC will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest

http://www.atlantaregional.com/



conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department

of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and

debarment or Program Fraud and Civil Penalties rules) provided in 26.109.

2. ARC will consider similar action under our own legal authorities, including responsibility determinations in

future contracts. ARC’s procurement and contracting manuals list the regulation, provisions, and contract

remedies available to ARC in the events of non-compliance with the DBE regulations by a participant in our

procurement activities.

3. ARC will also provide a monitoring and enforcement mechanism to verify that work committed to DBEs at

contract award is actually performed by the DBEs. This will be accomplished by:

Tracking DBE contracts in Concur or other financial tracking system on prime contractor activity and

producing a report of DBE prime participation on a semi-annual basis; and,

Requiring prime contractors with subcontractors to submit evidence of all subcontractor performance,

including DBEs, with monthly invoice.

4. ARC will keep a running tally of actual payments to DBE firms, both prime contractors and subcontractors,

for work committed to them at the time of contract award.

Section 26.39 Small Business Participation

ARC has incorporated the following non-discriminatory element to its DBE program, in order to facilitate

competition on DOT-assisted public works projects by small business concerns (both DBE and non-DBE small

businesses):

Publish list of informal procurements normally procured by ARC each year and forecast of upcoming

formal procurements for the year. These procurement opportunities will cover both sub-recipients and

prime contractors;

Ensure that small businesses are included on ARC Prospective consultant list; and,

Encourage solicitation of at least one small business on prime and subcontracting opportunities.



SUBPART C – GOALS, GOOD FAITH EFFORTS, AND COUNTING

Section 26.43 Set-asides or Quotas

ARC does not use quotas in any way in the administration of this DBE program.

Section 26.45 Overall Goals

A description of the methodology to calculate the overall goal and the goal calculations can be found in

Attachment 2.3 to this program. This section of the program will be updated every three years.

In accordance with Section 26.45(f) ARC will submit its overall goal to DOT on August 1 every three years. Before

establishing the overall goal for the required period, ARC will consult with minority, women, and general

contractor groups, community organizations, and other officials or organizations to obtain information

concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on

opportunities for DBEs, and ARC’s efforts to establish a level playing field for the participation of DBEs.

Following this consultation, ARC will publish a notice of the proposed overall goals informing the public that the

proposed goal and its rationale are available for inspection during normal business hours at ARC’s Financial

Services Division and on ARC’s website following the date of the notice and informing the public that ARC and

DOT will accept comments on the goals for 45 days from the date of the notice. Notice will be issued in general

circulation media and minority focused media.

ARC’s proposed goal may be reviewed at and comments regarding ARC’s proposed DBE goal can be sent to:

Brittany Zwald




40 Courtland Street

Atlanta, GA 30303

404-463-3162

[email protected]

www.atlantaregional.com




ARC’s overall goal submission to DOT will include a summary of information and comments received during this

public participation process and our responses.

ARC will begin using our overall goal on October 1 of the designated year, unless we have received other

instructions from DOT. If ARC establishes a goal on a project basis, we will begin using our goal by the time of

the first solicitation for a DOT-assisted contract for the project.

Section 26.49 Transit Vehicle Manufacturers Goals

ARC, as a planning organization, does not anticipate the acquisition of transit vehicles. As such, ARC does not

establish goals for Transit Vehicle Manufacturers.

Section 26.51(a-c) Breakout of Estimated Race-Neutral & Race-Conscious Participation

The breakout of estimated race-neutral and race-conscious participation can be found in Attachment 2.4 to this

program. This section of the program will be updated when the goal calculation is updated.

Section 26.51(d-g) Contract Goals

ARC may use contract goals to meet any portion of the overall goal ARC does not project being able to meet

using race-neutral means. Contract goals may be 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.

ARC may establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities.

We need not establish a contract goal on every such contract, and the size of contract goals will be adapted to

the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the

particular type of work.)

We will express our contract goals as a percentage of total amount of a DOT-assisted contract.

Section 26.53 Good Faith Efforts Procedures



Demonstration of good faith efforts (26.53(a) & (c))

The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it

has done so either by meeting the contract goal or documenting good faith efforts. Examples of good faith

efforts are found in Appendix A to Part 26. They are repeated here for convenience:

A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings,

advertising and/or written notices) the interest of all certified DBEs who have the capability

to perform the work of the contract. The bidder must solicit this interest within sufficient

time to allow the DBEs to respond to the solicitation. The bidder must determine with

certainty if the DBEs are interested by taking appropriate steps to follow up initial

solicitations.

B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood

that the DBE goals will be achieved. This includes, where appropriate, breaking out contract

work items into economically feasible units to facilitate DBE participation, even when the

prime contractor might otherwise prefer to perform these work items with its own forces.

C. Providing interested DBEs with adequate information about the plans, specifications, and

requirements of the contract in a timely manner to assist them in responding to a solicitation.

D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a

portion of the work available to DBE subcontractors and suppliers and to select those

portions of the work or material needed consistent with the available DBE subcontractors

and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the

names, addresses, and telephone numbers of DBEs that were considered; a description of

the information provided regarding the plans and specifications for the work selected for

subcontracting; and evidence as to why additional agreements could not be reached for DBEs

to perform the work.

(2) A bidder using good business judgment would consider a number of factors in negotiating

with subcontractors, including DBE subcontractors, and would take a firm's price and

capabilities as well as contract goals into consideration. However, the fact that there may be

some additional costs involved in finding and using DBEs is not in itself sufficient reason for a

bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the

ability or desire of a prime contractor to perform the work of a contract with its own



organization does not relieve the bidder of the responsibility to make good faith efforts.

Prime contractors are not, however, required to accept higher quotes from DBEs if the price

difference is excessive or unreasonable.

E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough

investigation of their capabilities. The contractor's standing within its industry, membership

in specific groups, organizations, or associations and political or social affiliations (for

example union vs. non-union employee status) are not legitimate causes for the rejection or

non-solicitation of bids in the contractor's efforts to meet the project goal.

F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as

required by the recipient or contractor.

G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies,

materials, or related assistance or services.

H. Effectively using the services of available minority/women community organizations;

minority/women contractors' groups; local, state, and Federal minority/women business

assistance offices; and other organizations as allowed on a case-by-case basis to provide

assistance in the recruitment and placement of DBEs.

The following personnel 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.

Senior Principal Management Analyst, Center for Livable Communities

Provider Network and Financial Services Manager, Aging and Health Resources

Brittany Zwald, DBELO and Contract & Grants Analyst, Financial Services

ARC will ensure that all information is complete and accurate and adequately documents the bidder/offer’s

good faith efforts before we commit to the performance of the contract by the bidder/offeror.

Information to be submitted (26.53(b))

ARC treats bidder/offerors’ compliance with good faith efforts' requirements as a matter of responsiveness.



Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the

following information:

1. The names and addresses of DBE firms that will participate in the contract;

2. A description of the work that each DBE will perform;

3. The dollar amount of the participation of each DBE firm participating;

4. Written and signed documentation of commitment to use a DBE subcontractor whose participation it

submits to meet a contract goal;

5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the

prime contractors commitment and

6. If the contract goal is not met, evidence of good faith efforts.

Administrative reconsideration (26.53(d))

Within 7 days of being informed by ARC that it is not responsive because it has not documented sufficient good

faith efforts, a bidder/offeror may request administrative reconsideration. Bidder/offerors should make this

request in writing to the following reconsideration official: Emerson Bryan, Director of Business Services, 40

Courtland Street, Atlanta, GA 30303, 404-463-3120, [email protected]. The reconsideration official

will not have played any role in the original determination that the bidder/offeror did not document sufficient

good faith efforts.

As part of this reconsideration, the bidder/offeror will have the opportunity to provide written documentation

or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The

bidder/offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue

of whether it met the goal or made adequate good faith efforts to do. We will send the bidder/offeror a written

decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make

adequate good faith efforts to do so. The result of the reconsideration process is not administratively

appealable to the Department of Transpiration.

Good Faith Efforts when a DBE is replace on a contract (26.53(f))

ARC 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. ARC 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, ARC will require the prime contractor to obtain our prior approval of the substitute DBE and to

provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails

or refuses to comply in the time specified, our contracting office will issue an order stopping all or part of

payment/work until satisfactory action has been taken. If the contractor still fails to comply, the contracting

officer may issue a termination for default proceeding.

Sample Bid Specification:

ARC will include the following language in its bid specifications in bids where a contract goal is established. The

language provided below will serve as notice to bidders/offerors of the requirements to make good faith efforts.

The forms found in Attachment 2.5 will be utilized by ARC to collect information necessary to determine

whether the bidder/offeror has satisfied these requirements.

The requirements of 49 CFR Part 26, Regulations of the U.S. Department of Transportation, apply

to this contract. It is the policy of ARC to practice nondiscrimination based on race, color, sex, or

national origin in the award or performance of this contract. All firms qualifying under this

solicitation are encouraged to submit bids/proposals. Award of this contract will be conditioned

upon satisfying the requirements of this bid specification. These requirements apply to all

bidders/offerors, including those who qualify as a DBE. A DBE contract goal of _____ percent has

been established for this contract. The bidder/offeror shall make good faith efforts, as defined in

Appendix A, 49 CFR Part 26 (Attachment 2.8), to meet the contract goal for DBE participation in

the performance of this contract.

The bidder/offeror will be required to submit the following information:

(1)The names and addresses of DBE firms that will participate in the contract;

(2) A description of the work that each DBE firm will perform;

(3) The dollar amount of the participation of each DBE firm participating;

(4) Written documentation of the bidder/offeror’s commitment to use a DBE subcontractor whose

participation it submits to meet the contract goal;

(5) Written confirmation from the DBE that it is participating in the contract as provided in the

commitment made under (4); and (5) if the contract goal is not met, evidence of good faith efforts.

Section 26.55 Counting DBE Participation



ARC will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55.



SUBPART D – CERTIFICATION STANDARDS

Section 26.61 – 26.73 Certification Process

ARC relies upon the standards established under the Uniform Certification Program, which is administered by

the Georgia Department of Transportation. The UCP will use the certification standards of Subpart D of Part 26

to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts. To be certified as a DBE, a

firm must meet all certification eligibility standards.

For information about the certification process or to learn how to apply for certification, firms should contact:

Brittany Zwald




40 Courtland Street

Atlanta, GA 30303

404-463-3162

[email protected]

The UCP certification application forms and documentation requirements are found in Attachment 2.6 to this

program.



SUBPART E – CERTIFICATION PROCEDURES

Section 26.81 Unified Certification Programs

ARC is a member of a Unified Certification Program (UCP) administered by the Georgia Department of

Transportation. The Georgia Department of Transportation and The Metropolitan Atlanta Rapid Transit

Authority (MARTA) entered into a State of Georgia Unified Certification Program (known as the GUCP

agreement). All applications, affidavit of no change forms and personal net worth for certification will be sent

to Georgia DOT. Each item will be logged in and date stamped for data management by the GDOT DBE

Administrator.

Section 26.83 Procedures for Certification Decisions

Re-certifications 26.83(a) & (c)

Re-certifications are reviewed and determined by the UCP, administered by the Georgia Department of

Transportation. ARC will direct all inquiries regarding recertification to the UCP.

“No Change” Affidavits and Notices of Change (26.83(j))

ARC will direct all inquiries regarding No Change Affidavits and Notices of Change to the UCP.

Section 26.85 Denials of Initial Requests for Certification

Denials of Initial Requests for Certification are reviewed and determined by the UCP, administered by the

Georgia Department of Transportation. ARC will direct all inquiries to the UCP.

Section 26.87 Removal of a DBE’s Eligibility

Removal of a DBE’s Eligibility are reviewed and determined by the UCP, administered by the Georgia

Department of Transportation. ARC will direct all inquiries to the UCP.

Section 26.89 Certification Appeals



Any firm or complainant may appeal a 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, D.C. 20590

The UCP will promptly implement any DOT certification appeal decisions affecting the eligibility of DBEs for our

DOT-assisted contracting (e.g., certify a firm if DOT has determined that the UCP denial of its application was

erroneous).



SUBPART F – COMPLIANCE AND ENFORCEMENT

Section 26.109 Information, Confidentiality, Cooperation

ARC will safeguard from disclosure to third parties information that may reasonably be regarded as confidential

business information, consistent with Federal, state, and local law. In responding to requests for information

concerning any aspect of the DBE program, ARC complies with the provisions of the Federal Freedom of

Information and Privacy Act (5 U.S.C. 552 and 552a).

Notwithstanding any contrary provisions of state or local law, ARC will not release personal financial information

submitted in response to the personal net worth requirement to a third party (other than DOT) without the

written consent of the submitter.

Monitoring and Enforcement Mechanisms

ARC utilizes both Georgia Department of Transportation and the federal government enforcement mechanisms.

The federal government has available several enforcement mechanisms that it may apply to firms participating

in the DBE program, including, but not limited to, the following:

1. Suspension or debarment proceedings pursuant to 49 CFR part 26;

2. Enforcement action pursuant to 49 CFR part 31; and,

3. Prosecution pursuant to 18 USC 1001.



ATTACHMENTS

Attachment 2.1 Organizational Chart

Attachment 2.2 DBE Directory

Attachment 2.3 Overall Goal Calculation

Attachment 2.4 Breakout of Estimated Race-Neutral & Race-Conscious Participation

Attachment 2.5 Form 1 & 2 for Demonstration of Good Faith Efforts

Attachment 2.6 Certification Application Forms

Attachment 2.7 Procedures for Removal of DBE’s Eligibility

Attachment 2.8 Regulations: 49 CFR Part 26



Attachment 2.1

ARC Organizational Chart

ARC Board of Commissioners

Douglas R. Hooker

Executive DirectorOffice of Executive Director

Brittany Zwald

DBELOFinancial Services

I. Emerson Bryan

DirectorCenter for Business Services

Christopher Burke

ManagerGeneral Services

Diane Pelletier

ManagerFinancial Services

Greg Mason

ManagerHomeland Security and Recovery

Kathryn Lawler

ManagerAging and Health Resources

Ray Randolph

ManagerInformation Technology Services

Robert LeBeau

ManagerWorkforce Solutions

Steven McClure

ManagerTalent Management

Julie Ralston

DirectorCenter for Strategic Relations

Liz Sanford

ManagerCommunity Engagement

Paul Donsky

ManagerCommunications and Marketing

Scott Haggard

ManagerGovernment Affairs

Mike Alexander

DirectorCenter for Livable Communities

Cain Williamson

ManagerMobility Services

Dan Reuter

ManagerCommunity Development

John Orr

ManagerTransportation Access

Katherine Zitsch

ManagerNatural Resources

Mike Carnathan

ManagerResearch and Analytics

I. Emerson Bryan

Deputy Executive DirectorOffice of Executive Director

I. Emerson Bryan

DirectorCenter for Community Services



Attachment 2.2

DBE Directory

http://www.dot.ga.gov/PS/Business/DBE#tab-2

http://www.dot.ga.gov/PS/Business/DBE#tab-2



Attachment 2.3

Section 26.45: Overall Goal Calculation

Amount of Goal

ARC’s overall goal for FY 2016 is the following: 15.64% of the Federal Financial assistance we will expend in

DOT-assisted contracts.

Methodology used to Calculate Overall Goal

Local Market Area

The local market area or relevant market is typically established by the geographical area representing 70-80

percent of an entity’s commercial activity based on bidders, vendors or awardees, with bidders being the

preferred measure of determining relevant market. Zip codes provided in a firm’s address information is utilized

to determine its location.

An analysis of all three sources of data is provided below. Based on the analysis, the local market area has been

determined to be Fulton County, Georgia.

Bidder data reflects Fulton County as the local market at 58.38 percent. Bidder data was derived from

ARC Comprehensive Planning contracts data. A small set of large engineering firms consistently bid on

ARC opportunities. These national firms primarily bid and contract on ARC opportunities through their

Atlanta offices. Award and vendor data also were reviewed, as sub-bidder data was not complete.

Awardee data reflects Fulton County as the local market at 75.26 percent. The remaining 24.74 percent

was awarded to firms outside of the State of Georgia.

Vendor data reflects ARC’s 10-county transportation planning MPO as the local market, representing

73.72 percent of vendors. The Vendor data is based on ARC’s Prospective Consultants List. While this

list is sometimes utilized, the bidders list more accurately reflects those firms who are ready, willing and

able to do business with ARC.



Table 1a: Local Market Area

Based on Bidders

County Within Georgia Count Percentage

Fulton 115 58.38

DeKalb 9 4.57

Gwinnett 5 2.54

Cobb 4 2.03

State 6 3.05

Nation 58 29.44

Totals 21 100.00

Source: ARC Comprehensive Planning Contracts Data, Hathor Strategic Consulting, Inc.

Table 1b: Local Market Area

Based on Award Dollars

FY 2013 through FY 2016

Dollars Percentage

Fulton County $4,796,324 75.26%

Outside GA $1,576,970 24.74%

Total Contracts $6,373,294 100.00%

Source: ARC Comprehensive Planning Contracts Data; ARC Compilation Data; Hathor Strategic Consulting, Inc.

All dollars are allocated in either Fulton County or Outside GA



Table 1c: Local Market Area

Based on Vendors By County

County Within Georgia Count Percentage

Cherokee 6 1.19%

Clayton 7 1.38%

Cobb 39 7.71%

DeKalb 55 10.87%

Douglas 9 1.78%

Fayette 7 1.38%

Fulton 193 38.14%

Gwinnett 42 8.30%

Henry 13 2.57%

Rockdale 2 0.40%

Totals within 10-County Atlanta RC Area

373 73.72%

Bartow 1 0.20%

Coweta 1 0.20%

Forsyth 1 0.20%

Walton 2 0.40%

Totals within ARC’s 18-County MPO for Transportation

378 74.70%

Bibb 2 0.40%

Bulloch 1 0.20%

Carroll 1 0.20%

Chatham 5 0.99%

Clarke 1 0.20%

Columbia 1 0.20%

Habersham 1 0.20%

Houston 1 0.20%

Meriwether 1 0.20%

Union 1 0.20%

Totals within the State of Georgia 393 77.67%

Outside State of Georgia 113 22.33%

Total 506 100.00%

Source: ARC Professional Consultant’s List for Comprehensive Planning; Hathor Strategic Consulting, Inc.

10 County Atlanta RC Area: Cherokee, Clayton, Cobb, DeKalb, Douglas, Fayette, Fulton, Gwinnett, Henry, Rockdale; 18 County Atlanta MPO Area: 10 County Atlanta RC Area + Barrow, Bartow, Coweta, Forsyth, Newton, Paulding, Spalding, Walton



Anticipated Federally-Funded Contracts for FY 2016

ARC anticipates contracting or grant activity in the amount of $2,110,000 in FY 2016. These dollars represent

only contracting or grant activity where there are meaningful opportunities for DBE participation and are

funded by FTA or FHWA. The activity listed below falls into the following NAICs codes:

541330—Engineering Services

511210—Software Publishers

541320—Landscape Architectural Services

Table 2: Anticipated Contracts and Subgrants for FY 2016

Contracting

Activity

NAICs

Code

Project Description Federal Funds Matching

Funds

Contract Total

Procurement 511210 One-Click Software $40,000 $0 $40,000

Procurement 541330 Regional Transportation Technology Plan $60,000 $15,000 $75,000

Procurement 541330 Regional Transit Plan $500,000 $125,000 $625,000

Procurement 541320 Land use study $96,000 $24,000 $120,000

Subgrant 541330 North Fulton County Transportation Plan $1,000,000 $250,000 $1,250,000

Total Dollars $1,696,000.00 $414,000.00 $2,110,000

Source: ARC, Hathor Strategic Consulting, Inc.

Table 3: Anticipated Federal Funds by NAICs Code

NAICs Code Federal Funds Matching Funds Contract Total

511210 $40,000 $0 $40,000

541320 $96,000 $24,000 $120,000

541330 $1,560,000 $390,000 $1,950,000

Total Dollars $1,696,000.00 $414,000.00 $2,110,000


Baseline Availability

DOT measures availability, by including firms who are ready, willing and able to provide services to an agency.

Ready, willing and able are those firms that exist and actively seek to do business with ARC, and have the

capacity to perform on ARC’s federal-assisted transportation-related contracts. DOT allows agencies to

calculate availability based on five different methodologies. The methodology utilized here is the Census-based

availability analysis of comparing, by NAIC code, the relative availability of DBEs, based on the Georgia

Department of Transportation DBE Directory, to the total pool of available contractors, as represented in the

U.S. Census County Business Patterns for the identified local market area. In order to properly reflect the impact



of each project on the overall availability calculation, the percentage of total work is established. Multiplying

the project percentage of work by the DBE/CBP availability calculation results in a weighted availability measure.

The resulting baseline availability is 11.89 percent.

Table 4: Baseline Availability Calculation (Fulton County)

NAICs

Code

Project

Description

Federal Funds Matching

Funds

Contract Total % of

Work

DBEs CBPs Weighted

Availability

511210 One-Click

Software

$40,000 $0 $40,000 1.89 3 114 .026*1.89

0.04914

541320 Study of Area

Around Transit

Signage

$96,000 $24,000 $120,000 5.69 14 37 .378*5.69

2.15082

541330 Regional

Transportation

Technology Plan

$60,000 $15,000 $75,000 3.55% 31 348 .109*3.55

.38695

541330 Regional Transit

Plan

$500,000 $125,000 $625,000 29.62% 31 348 .109*29.62

3.2286

541330 North Fulton

County

Transportation

Plan

$1,000,000 $250,000 $1,250,000 59.25% 31 348 .109*59.25

6.4582

Total Dollars $1,696,000.00 $414,000.00 $2,110,000 100.00% 11.88681

Source: ARC, Hathor Strategic Consulting, Inc., CBP, 2014

Adjusted Availability

In considering whether to adjust the baseline availability calculation of 11.89 percent, ARC Past Participation for

the last three years was considered.

Over the past three years, ARC had an average goal of 15.1 percent. However, its average DBE participation for

the same period was 19.38 percent. Thus, ARC exceeded its DBE goal by about 4.28 percent over the 3-year

period.

For the purposes of adjusting the baseline availability measure, ARC will utilize ARC’s Historical DBE

Participation.



Consultation

At the time of this submittal, we have not received any formal written responses. See also Public Participation

section below.

Calculation of the 2016 DBE Goal

ARC calculates the 2016 DBE Goal as outlined below:

Baseline availability: 11.89 percent

Adjustment factor to be used with baseline availability: 19.38

Adjusted DBE Goal calculation: 11.89 + 19.38/2 = 15.64

Public Participation

On July 19, 2016, ARC posted the following notice on ARC’s website and in the Fulton Daily Report:

Notice of Proposed FY16-18 DBE Goal

The Atlanta Regional Commission (ARC), in accordance with regulations of the U.S. Department

of Transportation (DOT), 49 CFR Par 26, hereby announces its Fiscal Year 2016-2018 goal of

15.64% for Disadvantaged Business Enterprise (DBE) participation on contracts assisted by the

Federal Transit Administration (FTA).

Table 5: ARC Past DBE Participation

FY 2012 – FY 2015

Year DBE Goal Historical DBE

Participation

2013 15.1% 21.95%

2014 15.1% NA

2015 15.1% 16.81%

15.1% (Average) 19.38% (Median)




The DBE Program and Goal is designed to: (1)ensure nondiscrimination in the award and

administration of DOT-assisted contracts;(2)create a level playing field on which DBEs can

compete fairly for DOT-assisted contracts;(3)ensure that the DBE Program is narrowly tailored in

accordance with applicable law;(4) ensure that only firms that fully meet 49 CFR Part 26 eligibility

standards are permitted to participate as DBEs; (5)help remove barriers to the participation of

DBEs in DOT-assisted contracts;(6) assist the development of firms that can compete successfully

in the marketplace outside the DBE Program.

The proposed goal and its rationale will be reviewed at a public consultation meeting open to

DBE and FTA Stakeholders and the general public on July 28, 2016 at 3:30 PM in the Harry West

Conference room located in the ARC offices at 40 Courtland St, NE, Atlanta, GA 30303.

The proposed goal and its rationale are available for public inspection online at

http://atlantaregional.com/about-us/business-opportunities or during normal business hours

from 8:30 AM to 4:30 PM, Monday through Friday at the ARC office. Questions and comments

should be directed to Brittany Zwald, DBE Liaison, Contracts and Grants Officer, 40 Courtland

Street, NE, Atlanta, GA 30303, by email at [email protected], or by phone at

404.463.3162.

The notice also included a link to the Draft ARC DBE Plan and Goal-Setting Methodology. ARC also emailed the

draft report to DBEs that have bid on or been awarded contracts with ARC, and requested that they share the

report with other firms. ARC further requested that the DBEs who received the draft report provide responses

in written to ARC.

Responses

ARC received no written responses to the Draft ARC DBE Plan and Goal-Setting Methodology. On July 28, 2016,

a public meeting to receive comments regarding the draft report was held. Three firms attended. Below is an

overview of comments made at the public meeting:

It is good to see the goals rising from the 4-6% range of a few years ago. At that number, Prime’s could afford to cut a check without requiring actual participation, but at 15%, we are able to become part of the team. This helps us create a work portfolio and prove ourselves. As a direct result of an ARC project, we were able to create a national partnership with a large Prime after being an active part of their team and proving our work quality.

Question: How are DBE Prime participation dollars calculated? Answer: We count 100% participation for DBE primes.

It would be nice if there was additional project follow through from the time of award. We have been cut from a project after being on the winning bid. We were also told during budget negotiations that it was ok to cut us down to 15% for the prime to do more with the remaining funds.

http://atlantaregional.com/about-us/business-opportunities




Policing throughout the contract would be helpful.

Overall positive with no dissent in the proposed goal.



Attachment 2.4

Section 26.51: Breakout of Estimated

Race-Neutral & Race Conscious Participation

ARC will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE

participation. Contract goals may be used to meet any portion of the overall goal that the ARC does not project

being able to meet using race neutral means. Contract goals may be established on contracts with

subcontracting opportunities and need not be established on every contract. The size of contract goals will be

adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to

perform the particular type of work).

ARC uses the following race-neutral means to increase DBE participation:

Encourage prime contractors to subcontract portions of their work that they would normally perform in-

house.

Encourage local governments and non-profits receiving ARC sub-grants on which they will utilize

consultants to include DBEs in the pool of potential vendors from which they solicit services.

Ensure that the DBE website is updated with available opportunities for DBE-owned and other small

business firms in the community.

Conduct pre-bid seminars for DBE and small business firms on contracts that have a high degree of

specialized technology.

Outreach to DBEs to register on ARC’s Prospective Consultants List and to meet with the DBE Liaison

Officer to discuss their services and experiences.

The following is a summary of the basis of our estimated breakout of race-neutral and race- conscious DBE

participation:

ARC exceeded its established DBE goal utilizing race-neutral means in 2 of the 3 years reported,

with the third year having no federal dollars expended. As such, ARC anticipates achieving its



goal of 15.64 percent through race neutral means. ARC will review its performance semi-annually

through its reporting on Form 4630 to determine if race-conscious means are necessary to

achieve its overall goals.

In order to ensure that our DBE program will be narrowly tailored to overcome the effects of discrimination, if

we use contract goals, ARC will adjust the estimated breakout of race-neutral and race-conscious participation

as needed to reflect actual DBE participation (see 26.51(f)). ARC will also track and report race-neutral and race-

conscious participation separately. For reporting purposes, race-neutral DBE participation includes, but is not

necessarily limited to, the following: DBE participation through a prime contract a DBE obtains through

customary competitive procurement procedures; DBE participation through a subcontract on a prime contract

that does not carry 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.

ARC will maintain data separately on DBE achievements in those contracts with and without contract goals,

respectively.



Attachment 2.5

Forms 1 & 2 for Demonstration of Good Faith Efforts

These forms will be included in a Title VI and DBE Attachment to all ARC bids and proposals.

FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION

The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following manner

(please check the appropriate space):

The bidder/offeror is committed to a minimum of __ % DBE utilization on this contract.

The bidder/offeror (if unable to meet the DBE goal of %) is committed to a minimum of _

% DBE utilization on this contract and submits documentation demonstrating good faith efforts.

Name of bidder/offeror’s firm:

By

(Signature)

Title ___________________________________



FORM 2: LETTER OF INTENT

Name of bidder/offeror’s firm:

Address:

City: State: Zip:

Name of DBE firm:

NAICS Code:__________________________________________

Address:

City: State: Zip:

Telephone:

Description of work to be performed by DBE firm:

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The bidder/offeror is committed to utilizing the above-named DBE firm for the work described above. The

estimated dollar value of this work is $ _.

The above-named DBE firm affirms that it will perform the portion of the contract for the estimated dollar value

as stated above.

By

(Signature) (Title)

If the bidder/offeror does not receive award of the prime contract, any and all representations in this Letter

of Intent and Affirmation shall be null and void.

(Submit this page for each DBE subcontractor.)



Attachment 2.6

Certification Application Forms

Certification forms are available at

http://www.dot.ga.gov/PS/Business/DBE




Attachment 2.7

Procedures for Removal of DBE’s Eligibility

See http://www.dot.ga.gov/PS/Business/DBE




Attachment 2.8

Regulations: 49 CFR Part 26

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl