(A) Section 26.21 DBE program updates. Since Metra has received a grant of $250,000 or more in FTA planning capital, and or operating assistance in a federal fiscal year, Metra will continue to carry out this program until all funds from DOT financial assistance have been expended. Metra will provide to DOT updates representing significant changes in the program.
(B) Section 26.21 DBE Liaison Officer (“DBELO”).
(1) Metra has hired the following individual as the Director of DBE Administration (“DBE Liaison Officer”):
Janice R. Thomas, CPPB Director of Office of DBE Administration 547 West Jackson Blvd. Chicago, IL 60661-5717 Telephone (312) 322-6323 Fax (312) 322-4077 jrthomas@metrarr.com |
(2) In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that Metra complies with all provisions of 49 C.F.R. part 26. The DBE Director has direct, independent access to the Executive Director/CEO concerning DBE program matters. The current organization chart displaying the DBE Director’s position in the organization is found in Attachment A to this program incorporated by reference as if fully set out herein.
(3) (a) The DBE Director is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials; for carrying out technical assistance activities for DBEs; and for disseminating information on available business opportunities so that DBEs are provided an equitable opportunity to bid on Metra’s contracts. The DBE Director reports directly to the Executive Director/CEO; however, all Department and Division Managers, Directors, Officers, Section Chiefs, Supervisors and employees share in the responsibility for making Metra’s DBE program a success. The Director has a staff of eight and one support employee to assist in the administration of the program.
(b) Duties and responsibilities include the following:
1. To develop, monitor implementation of, provide continuing evaluation of Metra’s DBE program. The DBE Director will work closely with those persons responsible for making management decisions regarding procurement and contracting;
2. To report regularly to the Executive Director/CEO on progress being made in the implementation of the DBE program and to recommend appropriate program modifications;
3. To maintain accurate and up-to-date records;
4. Timely submission of reports required by DOT on the DBE program, in accordance with 49 C.F.R. part 26;
5. Work with all departments to set overall annual goals;
6. Certify DBEs according to the criteria set by DOT and acts as liaison to the uniform certification process in the state;
7. Verify or deny certification of firms claiming DBE status, in accordance with the established rules and regulations therefor;
8. To publicize business opportunities to DBEs with Metra, and to assist such businesses with Metra contracts and subcontracts;
9. 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);
10. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner;
11. To attend pre-proposal, pre-bid, pre-award and pre-construction meetings to explain Metra’s DBE requirements;
12. To assist in securing management and technical assistance resources for DBEs as requested or needed;
13. To ensure that successful bidders/proposers for goods and/or services are in compliance with applicable federal, state and Metra laws and ordinances with respect to the participation of DBEs;
14. To monitor contractor’s and subcontractor’s compliance with all applicable requirements for DBE participation;
15. Reviews third party contracts and purchase requisitions for compliance with this program;
16. To serve as liaison with agencies supporting economic development in the DBE community;
17. Provide outreach to DBEs and community organizations to advise them of opportunities;
18. Plan and participate in DBE training seminars; and
19. Provide DBEs with information and assistance in preparing bids, obtaining bonding and insurance.
(C) Other personnel responsible for the DBE program.
(1) Metra personnel at every level who are empowered to commit funds or expend, deposit or do any act of commerce on behalf of Metra shall affirmatively direct their activities in accordance with this Disadvantaged Business Enterprise program/policy.
(2) Other Metra personnel with responsibilities for implementation of the DBE program include the following.
(a) 1. The Materials Management Manager and his or her staff shall play a paramount role in making this program/policy work. All purchasing and procurement activity must be performed in a manner consistent with this program. The commitment to this program must extend to every member of that staff. Additionally, both the Procurement and Professional Services/Contracts Divisions shall provide the DBE office with copies of purchase requisitions indicating pending solicitations. These requisitions will be used by the DBE office to identify DBE subcontracting possibilities and locate possible additional vendors for goods and services to be requisitioned.
2. These two Divisions shall also provide timely and complete information to the DBE office on all RFPs and IFBs, along with proposed vendors’ listings prior to the mailing of these documents, in order to ensure that DBEs are included in the bid solicitation process.
3. The Procurement and Professional Services/Contracts Divisions shall also act affirmatively to ensure that DBEs are solicited and given equal consideration in bid, quote and proposal offerings.
(b) The Senior Division Director of Strategic Capital Planning shall keep the DBE office advised of proposed activities involving possible opportunities for DBEs resulting from planned proposals and provide the DBE office with pertinent and timely information regarding Metra’s requests for DOT project funding, and the receipt of such funds.
(c) Metra’s Treasurer shall ensure that equitable banking relationships are established and maintained with minority and female controlled financial institutions.
(d) The Division Manager of Risk Management (Insurance) and Claims and staff shall follow the public bidding procedures in quest of carriers and carrier agents to contract for insurance coverage. This includes providing the DBE office with specifications and the proposed lists of bidders prior to solicitations. The DBE office will, where appropriate, add additional firms to be solicited.
(e) The Engineering Department shall work with the DBE Director to set contract specific DBE goals on engineering projects. They shall provide timely notice to the DBE Director of all pre-bid/pre-proposal and pre-award conferences to ensure that all compliance requirements are explained to contractors. Subcontractors and joint venture partners proposed by prime contractors will require the approval of the DBE Director and the Department Head of Engineering. Substitutions of designated DBE subcontractors must be approved, in advance, by the DBE Director, and must be based on documented valid reasons.
(f) The DBE Director shall copy the Department Head of Engineering on all correspondence to prime contractors relating to compliance problems.
(g) The Law Department shall provide such counsel as may be needed to ensure compliance with relevant statutes, law, ordinances, court decisions and presidential orders.
(D) Section 26.27 DBE financial institutions.
(1) (a) It is Metra’s policy to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions and to encourage prime contractors on DOT-assisted contracts to make use of these institutions.
(b) To date Metra has identified the following such institutions and has money deposited at the institutions:
1. Foster Bank;
2. Highland Community Bank;
3. Illinois Service Fed Savings;
4. Pacific Global Bank;
5. Pan American Bank;
6. Seaway Bank; and
7. Urban Partnership Bank (F/K/A South Shore Bank).
(2) Information on the availability of such institutions can be obtained from the DBE Director.
(E) Section 26.29 prompt payment mechanisms.
(1) Section 26.29 prompt payment. Metra will include the following clause in each DOT-assisted prime contract:
The contractor agrees to pay each subcontractor under this contract for satisfactory performance of its contract no later than 15 days from the receipt of each payment the contract receives from Metra. Any failure to comply with this section will be a material breach of this contract, and Metra reserves all its rights in law and equity for such breach. In addition such breach will be consideration for the contractor’s responsibility status for future contracts with Metra. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of Metra. This clause applies to both DBE and non-DBE subcontracts.
(2) Section 26.29 (b) retainage.
The contractor agrees to return retainage payments to each subcontractor within 15 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 Metra. This clause applies to both DBE and non-DBE subcontracts.
(F) Section 26.31 directory. Metra utilizes the Illinois Unified Certification Program (“ILUCP”) DBE directory, a joint project of the State Department of Transportation, the City of Chicago, the Chicago Transit Authority, Pace Suburban Bus and Metra. The ILUCP updates the directory monthly. The Directory is available at Metra’s office of DBE Administration, 547 W. Jackson Blvd., Chicago, IL 60661-5717, (312) 322-6323 or online at the following address: http://www.dot.state.il.us/ucp/ucp.html.
(G) Section 26.33 overconcentration. Metra has not identified overconcentration in one or more types of work of its contracts. If Metra does identify overconcentration in the future, it will devise appropriate measures consistent with federal laws to address the overconcentration.
(H) Section 26.35 business development programs. Currently Metra does not provide business development programs, but it does provide the following support services to DBEs: assistance in the DBE certification process; plans and specifications free of charge to DBEs; and referrals to other assist agencies.
(I) Section 26.37 monitoring and enforcement mechanisms. Metra will engage in the following monitoring and enforcement mechanisms to ensure compliance with 49 C.F.R. part 26:
(a) Monitor and enforce DBE obligations for each contract/project through staff audits of DBE participation, procedures, policies, designed to ensure compliance. Contractors must provide signed contracts with DBEs within a specified number of days after receiving the notice of award. A notice to proceed cannot be issued until signed contracts from the DBEs are received. Moreover, monthly project invoices must provide documentation of payments to DBEs, including cancelled checks. Site visits are also performed to determine compliance. Metra also notifies its contractors that they should notify Metra immediately of any problems or concerns regarding DBE participation or the program. Failure to abide by any DBE commitment is deemed by Metra to be a material breach of the contract, which may result in its termination or any other such remedy that Metra shall enforce;
(b) Bring to the attention of the DOT 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 49 C.F.R. § 26.109; and
(c) Keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award.
(J) Section 26.39 small business participation.
(1) Metra 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 DBEs and non-DBE small businesses). Metra’s contracting processes and requirements are now structured to facilitate competition by small businesses and to eliminate obstacles to their participation. These processes and requirements are intended to provide more opportunities and support for small businesses and foster their move from subcontractors to prime contractor roles.
(2) We will implement the following strategies to foster small business participation:
(a) To meet the race-neutral goal, Metra will take a proactive approach to notify DBE and small business firms about procurement opportunities and encourage them to compete as prime contractors;
(b) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs can reasonably perform, rather than self-performing all the work involved;
(c) “Unbundling” or breaking larger projects into several smaller projects sized so that small businesses might bid on them as prime contractors against other firms, and setting them aside for small businesses only where applicable;
(d) Enhance training to DBE and small business firms on how to do business with our agency to expand their knowledge of the procurement process and the importance of being both a responsive and responsible bidder to make them more competitive;
(e) Increase outreach and networking opportunities for small businesses efforts;
(f) Encourage qualified firms to become DBE certified and assist in the growth and development of minority and women owned businesses and small businesses by identifying and building relationships with vendors, interest groups and government agencies; and
(g) Provide plans and specifications free of charge to DBEs and small businesses.
(Ord. MET 12-08, passed 5-11-2012)