DBE Policy Statement : StarTrans Bus
POLICY STATEMENT
Section 26.1, 26.23 Objectives/Policy Statement
Supreme Corporation/Startrans Bus has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT) and DOT requirements that they establish such a program to be a prime contractor in DOT-assisted contracts.
It is the policy of Supreme Corporation/Startrans Bus to ensure that DBEs who are 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 subcontracts on DOT - assisted contracts;
2. To create a level playing field on which DBEs can compete fairly for subcontracts on 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 as subcontractors in DOT assisted contracts;
6. To assist the development of firms that can compete successfully in the market place outside the DBE Program.
Samuel Craig has been delegated as the DBE Liaison Officer. In that capacity, Samuel Craig 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 Supreme Corporation/Startrans Bus in its financial assistance agreements with the Department of Transportation.
Supreme Corporation/Startrans Bus has disseminated this policy statement to the 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 by placing it on our website at www.startransbus.com and making it available at the Startrans office in Goshen, Indiana.
______________________________ ________________
Robert W Wilson, Chief Executive Officer Date
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
Supreme Corporation/Startrans Bus may bid as a prime contractor on contracts with recipients of federal funds authorized by 49 U.S.C. 47101, et seq.
Supreme Corporation/Startrans Bus may bid as a prime contractor on contracts with recipients 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.
Supreme Corporation/Startrans Bus may bid as a prime contractor on contracts with recipients 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.
Section 26.5 Definitions
The terms used in this policy statement have the same meanings as defined in CFR Title 49 Part 26.5.
Section 26.7 Non-discrimination Requirements
Supreme Corporation/Startrans Bus 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, Supreme Corporation/Startrans Bus 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
Not applicable
Bidders List: 26.11(c)
Supreme Corporation/Startrans Bus 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 bidder list will include the name, address, and DBE/non-DBE status if firms.
We collect this information by compiling a list of approved vendors under the guidelines of ISO 9001:2000. This list will be maintained as vendors are added or removed.
Section 26.13 Federal Financial Assistance Agreement
Supreme Corporation/Startrans Bus has signed the following assurances, applicable to all DOT-assisted contracts and their administration:
Assurance: 26.13(a)
Supreme Corporation/Startrans Bus 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. Supreme Corporation/Startrans Bus shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the administration and awarding of subcontracts in DOT assisted contracts. Supreme Corporation/Startrans Bus’ 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 Supreme Corporation/Startrans Bus 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: 26.13(b)
We will ensure that the following clause is placed in every DOT-assisted subcontract:
The subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The subcontractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT assisted contracts. Failure by the subcontractor 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 contractor deems appropriate.
SUBPART B - ADMINISTRATIVE REQUIREMENTS
Section 26.21 DBE Program Updates
Not applicable.
Section 26.23 Policy Statement
The Policy Statement is elaborated on the first page of this program.
Section 26.25 DBE Liaison Officer (DBELO)
We have designated the following individual as our DBE Liaison Officer:
Samuel Craig
2592 E. Kercher Road
Goshen, IN 46528
877-258-1391
In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that Supreme Corporation/Startrans Bus complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the Chief Executive Officer concerning DBE program matters.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of one 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 Supreme Corporation/Startrans Bus's progress toward attainment and identifies ways to improve progress.
7. Participates in pre-bid meetings.
8. Advises the CEOgoverning body on DBE matters and achievement.
9. Provides DBEs with information and assistance in submitting proposals.
10. Acts as liaison to the Uniform Certification Process in Indiana.
11. Provides outreach to DBEs and community organizations to advise them of opportunities.
12. Maintains the Supreme Corporation/Startrans Bus 's updated directory on certified DBEs.
Section 26.27 DBE Financial Institutions
It is the policy of Supreme Corporation/Startrans Bus 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 make use of and encourage subcontractors on DOT-assisted contract to make use of these institutions.
Supreme Corporation/Startrans Bus has obtained a list of Minority Owned Banks through the Federal Reserve website (see http://federalreserve.gov/releases/mob/current/default.htm). There are currently no minority-owned financial institutions in Indiana. The Federal Reserve website is updated periodically.
Section 26.29 Prompt Payment Mechanisms
Supreme Corporation/Startrans Bus will include the following clause in each subcontract to a DOT-assisted prime contract:
The subcontractor agrees to pay its subcontractors under this subcontract for satisfactory performance of its contract no later than 30 days from the receipt of payment from Supreme Corporation/Startrans Bus. The subcontractor will also return retainage payments to its subcontractors within 30 days after the subcontractor’s 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 Supreme Corporation/Startrans Bus. This clause applies to both DBE and non-DBE subcontracts.
Supreme Corporation/Startrans Bus will: (1) investigate allegations of nonpayment by the subcontractor to its subcontractor; (2) provide a written statement of the findings to the complainant within 15 days of receipt of the complaint; and (3) in circumstances where there is not a valid reason for nonpayment, Supreme Corporation/Startrans Bus may withhold payments in the amount of the unpaid portion of its subcontractor’s invoice.
Section 26.31 Directory
Supreme Corporation/Startrans Bus maintains a directory of DBEs, including a statewide directory identifying all firms eligible to participate as DBEs. The statewide directory is available at http://www.in.gov/indot/2576.htm. The DBELO will provide a copy of Supreme Corporation/Startrans Bus’ directory upon request.
Section 26.33 Overconcentration
Supreme Corporation/Startrans Bus has not identified that overconcentration exists in the types of work that DBEs perform.
Section 26.35 Business Development Programs
Supreme Corporation/Startrans Bus has not established a business development program.
Section 26.37 Monitoring and Enforcement Mechanisms
Supreme Corporation/Startrans Bus will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26.
1. We will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109.
2. We will report to the Indiana Department of Transportation any false, fraudulent, or dishonest conduct by Indiana DBEs.
3. We will take such conduct into consideration in determinations for future contracts.
SUBPART C - GOALS, GOOD FAITH EFFORTS, AND COUNTING
Section 26.43 Set-asides or Quotas
Supreme Corporation/Startrans Bus 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 1 to this program. This section of the program will be updated annually.
In accordance with Section 26.45(f) Supreme Corporation/Startrans Bus will submit its overall goal to DOT on August 1 of each year. Before establishing the overall goal each year, Supreme Corporation/Startrans Bus will consult with minority, women’s 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 Supreme Corporation/Startrans Bus’ efforts to establish a level playing filed for the participation of DBEs
We will begin using our overall goal on October 1 of each year, unless we have received other instructions from DOT.
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 to this program. This section of the program will be updated annually when the goal calculation is updated.
Section 26.51(d-g) Contract Goals
Supreme Corporation/Startrans Bus will use contract goals to meet any portion of the overall goal we do not project being able to meet using race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of our overall goal that is not projected to be met through the use of race-neutral means.
We will establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities. We need not 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 the Federal share of a DOT-assisted contract.
Section 26.53 Good Faith Efforts Procedures
Not applicable.
Section 26.55 Counting DBE Participation
We 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
Supreme Corporation/Startrans Bus relies on the Unified Certification Program administered by the State of Indiana (and other states as appropriate) to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts.
For information about the certification process, firms should contact: Darryl Washington, 2592 E. Kercher Road, Goshen, IN 46528; 877-258-1391; darryl.washington@startransbus.com.
SUBPART E - CERTIFICATION PROCEDURES
Section 26.81 Unified Certification Programs
Supreme Corporation/Startrans Bus relies on the Unified Certification Program (UCP) administered by the State of Indiana (and other states as appropriate).
Section 26.83 Procedures for Certification Decisions
Re-certifications 26.83(a) & (c)
Not applicable.
"No Change" Affidavits and Notices of Change (26.83(j))
We require all DBEs to inform us, in a written affidavit, of any change in its circumstances affecting its ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26.
Section 26.85 Denials of Initial Requests for Certification
Not applicable.
Section 26.87 Removal of a DBE's Eligibility
Not applicable.
Section 26.89 Certification Appeals
Any firm or complainant may appeal a denial in a certification matter to DOT. Such appeals may be sent to:
U.S. Department of Transportation
Departmental Office of Civil Rights
External Civil Rights Programs Division (S-33)
1200 New Jersey Ave., S.E.
Washington, DC 20590
Phone: (202) 366-4754
TTY: (202) 366-9696
Fax: (202) 366-5575
We will promptly implement any DOT certification appeal decisions affecting the eligibility of DBEs for our DOT-assisted contracting.
SUBPART F - COMPLIANCE AND ENFORCEMENT
Section 26.109 Information, Confidentiality, Cooperation
We will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law.
Notwithstanding any contrary provisions of state or local law, we will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than DOT) without the written consent of the submitter.
Monitoring Payments to DBEs
We will require subcontractors to maintain records and documents of payments to DBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of Supreme Corporation/Startrans Bus or DOT. This reporting requirement also extends to any certified DBE subcontractor.
We reserve the right to perform interim audits of contract payments to DBEs. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts states in the schedule of DBE participation.
ATTACHMENTS
Attachment 1 |
| Overall Goal Calculation |
Attachment 2 |
| Breakout of Estimated Race-Neutral & Race-Conscious Participation |
Attachment 3 |
| Regulations: 49 CFR part 26 |
Attachment 1
Section 26.45: Overall Goal Calculation
Amount of Goal
1. Supreme Corporation/Startrans Bus's overall goal for FY 20_10__ is the following: _1___% of the Federal share of DOT-assisted contracts.
Methodology used to Calculate Overall Goal
Step 1:
Determine the weight of each type of work by NAICS Code as follows:
For each FTA-assisted project, assign an NAICS code to each subcontracting category available on the project.
Determine the approximate dollar amount budgeted to each subcontracting category.
The relative percentage of funds for each subcontracting category to the total subcontracting project budget is the weight for each type of work by NAICS code.
Step 2: 26.45(c)
Determine the base figure for the relative availability of DBEs.
The base figure for the relative availability of DBE's is calculated as follows:
| Ready, willing, and able DBEs |
Base figure = | __________0______________ |
| All firms ready, willing and able |
The data source or demonstrable evidence used to derive the numerator is the Indiana Department of Transportation DBE Program Site at http://www.in.gov/indot/2576.htm.
The data source or demonstrable evidence used to derive the denominator is the United States Census Bureau’s North American Industry Classification System for the State of Indiana, located at http://censtats.census.gov/cbpnaic/cbpnaic.shtml.
Divide the numerator by the denominator to arrive at the base figure for the overall goal.
Step 3: 26.45(d)
After calculating a base figure of the relative availability of DBEs, examine evidence to determine what adjustment is needed to the base figure in order to arrive at the overall goal.
The percentages of actual DBE participation for the last three (3) years is reviewed to determine the median percentage of DBE participation for the last 3 years.
The median percentage of DBE participation from the last 3 years is then averaged with the percentage goal determined in Step 2 to determine the final overall goal
Attachment 2
Section 26.51: Breakout of Estimated
Race-Neutral & Race Conscious Participation
Supreme Corporation/Startrans Bus will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE participation. Supreme Corporation/Startrans Bus uses the following race-neutral means to increase DBE participation:
1.Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitates DBE and other small business participation.
2.Communicating specific contract opportunities to DBEs.
We estimate that, in meeting our overall goal of _1___%, we will obtain _100_% from race-neutral participation and _0_% through race-conscious measures. This estimation is based on actual achievements from the 20_08_ median year, where Supreme Corporation/Startrans Bus achieved _.24_% DBE participation, with _100_% being from race-neutral participation and _0_% from race-conscious measures.
In order to ensure that our DBE program will be narrowly tailored to overcome the effects of discrimination, if we use contract goals we will adjust the estimated breakout of race-neutral and race-conscious participation as needed to reflect actual DBE participation (see 26.51(f)) and we will 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:
1.DBE participation through a subcontract a DBE obtains through customary competitive procurement procedures.
2.DBE participation through a subcontract on a prime contract that does not carry a DBE goal.
3.DBE subcontract participation on a prime contract exceeding a contract goal and DBE participation through a subcontract from a subcontractor that did not consider a firm's DBE status in making the award.
We will maintain data separately on DBE achievements in those contracts with and without contract goals, respectively.
Attachment 3
Regulations: 49 CFR Part 26