Chapter 2: ARC DBE Plan and DBE Goal-Setting...

Chapter 2: ARC DBE Plan and DBE Goal-Setting Methodology

ARC DBE Program and Title VI Plan Page |2. 1 Prepared by Hathor Strategic Consulting, Inc. July 13, 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

o Number of years in business

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

o Number of years in business

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

Atlanta Regional Commission

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

mailto:[email protected]





Fax: 770-945-4888


MC: 30

State Bank of Georgia

Contact: Kathy Hulsey, SVP and CFO

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

http://www.atlantaregional.com/



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 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/doingbusiness/dbePrograms/Pages/default.aspx



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 Project Description Contract Amount

Procurement One-Click Software $40,000

Procurement Regional Transportation Technology Plan $75,000

Procurement Regional Transit Plan $625,000

Procurement Land use study $120,000

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

Total Dollars $2,110,000

Source: ARC, Hathor Strategic Consulting, Inc.

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 3: Baseline Availability Calculation (Fulton County)

NAICs

Code

Project Description Contract Amount % of

Work

DBEs CBPs Weighted

Availability

511210 One-Click Software $40,000 1.89 3 114 .026*1.89

0.04914

541320 Study of Area

Around Transit

Signage

$120,000 5.69 14 37 .378*5.69

2.15082

541330 Regional

Transportation

Technology Plan

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

.38695

541330 Regional Transit

Plan

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

3.2286

541330 North Fulton

County

Transportation Plan

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

6.4582

Total Dollars $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

TO BE COMPLETED

At the time of this submittal, we have received/have not received any formal written responses.

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

TO BE COMPLETED

Table 4: 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% (Average)

Source: ARC, Hathor Strategic Consulting, Inc.



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 $ _.



Affirmation

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/doingbusiness/dbePrograms/Pages/default.aspx



Attachment 2.7

Procedures for Removal of DBE’s Eligibility

See http://www.dot.ga.gov/doingbusiness/dbePrograms/Pages/default.aspx



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

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