Disadvantaged Business Enterprise (DBE) Program and Goals 2022-2024 - November 2021 2022-2024 DBE VI Program
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Disadvantaged Business Enterprise (DBE)
Program and Goals
2022-2024
November 2021
2022-2024 DBE VI Program West Memphis Transit 1
2022-2024 DBE VI Program West Memphis Transit ii
Table of Contents
Policy Statement ........................................................................................................................................... 1
General Requirements .................................................................................................................................. 2
Objectives ................................................................................................................................................. 2
Applicability............................................................................................................................................... 2
Definitions ................................................................................................................................................. 2
Non-Discrimination Requirements ........................................................................................................... 2
Record Keeping Requirements ................................................................................................................. 2
Reporting to DOT .................................................................................................................................. 2
Bidders List ............................................................................................................................................ 2
Assurances ................................................................................................................................................ 3
Contract Assurance ............................................................................................................................... 3
Administrative Requirements ....................................................................................................................... 4
DBE Program Updates............................................................................................................................... 4
DBE Policy Statement................................................................................................................................ 4
DBE Liaison Officer (DBELO) ...................................................................................................................... 4
DBE Financial Institutions ......................................................................................................................... 4
Prompt Payment Mechanisms .................................................................................................................. 5
Overconcentration .................................................................................................................................... 5
Business Development Programs ............................................................................................................. 5
Monitoring and Enforcement ................................................................................................................... 5
ARDOT DBE Directory ................................................................................................................................ 6
Fostering Small Business Participation ..................................................................................................... 6
Goals, Good Faith Efforts, and Counting....................................................................................................... 7
Set-Asides or Quotas ................................................................................................................................. 7
Overall Goals ............................................................................................................................................. 7
Goal Setting and Accountability................................................................................................................ 7
Transit Vehicle Manufacturers Goals ........................................................................................................ 8
Meeting Overall Goals .............................................................................................................................. 8
Good Faith Efforts ..................................................................................................................................... 8
Counting DBE Participation ....................................................................................................................... 8
DBE Certification ........................................................................................................................................... 9
Goal Setting ................................................................................................................................................. 10
2022-2024 DBE VI Program West Memphis Transit iiiOverview ................................................................................................................................................. 10 Methodology........................................................................................................................................... 10 Market Area ............................................................................................................................................ 11 2022-2024 DBE VI Program West Memphis Transit iv
Policy Statement
West Memphis Transit (WMT) has established a Disadvantaged Business Enterprise (DBE) program in
accordance with the regulations of the 49 CFR Part 26. WMT is a direct recipient of Federal financial
assistance from the Federal Transit Administration and the U.S. Department of Transportation (USDOT)
through the Memphis Area Transit Authority (MATA). As a condition of receiving such assistance, WMT
has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of WMT that small businesses owned and controlled by socially and economically
disadvantaged individuals shall have a fair opportunity to participate in the performance of public
contracts financed in whole or in part by the FTA and USDOT. Accordingly, WMT will ensure that DBEs
(as defined in 49 CFR part 26) will have an equal opportunity to participate in federally-funded contracts.
It is our policy:
a. To ensure nondiscrimination in the award and administration of DOT-assisted contracts;
b. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
c. To ensure that WMT’s DBE program is narrowly tailored in accordance with applicable law;
d. To ensure that only firms that fully meet the eligibility standards of 49 CFR 26 are permitted to
participate as DBEs;
e. To help remove barriers to the participation of DBEs in DOT-assisted contracts;
f. To assist the development of firms that can compete successfully in the marketplace outside the
DBE program.
West Memphis-Marion Area Metropolitan Planning Organization staff member Dr. Sam Jordan, Ph.D. is
designated as the DBE Liaison Officer (DBELO). In that capacity, Dr. Jordan 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 West Memphis Transit in its financial
assistance agreements with the USDOT, the FTA, and MATA.
WMT has disseminated this policy statement to the appropriate officials of WMT and the City of West
Memphis. We have distributed this statement to DBE and non-DBE business communities that perform
work for us on DOT-assisted contracts. Distributions include the Arkansas Department of Transportation
(ARDOT), the MPO Policy Committee, the City Council of the City of West Memphis, and the City of West
Memphis’ website at http://westmemphisar.gov/485/West-Memphis-Transit.
______________________________________ ___________________
Amanda Hicks, MPO Director Date
______________________________________ ___________________
Sam Jordan, DBELO Date
2022-2024 DBE VI Program West Memphis Transit 1General Requirements Objectives The West Memphis Transit (WMT) DBE objectives are found in the policy statement on the first page of this document. Applicability In that it 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., WMT adheres to the DBE provisions as outlined in 49CFR Part 26. Definitions For this program, WMT has adopted the definitions contained in 49 CFR 26, section 26.5. Non-Discrimination Requirements WMT 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, WMT 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. Record Keeping Requirements Reporting to DOT WMT will report DBE participation to the Federal Transit Administration using the Uniform Report of DBE Awards or Commitments and Payments (USDOT form 4630) found in Appendix B of 49 CFR 26. Bidders List WMT will maintain 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 ensure that all bidders, contractors and subcontractors are qualified DBEs or non-DBEs by referencing the Unified Certification database as well as the Small Business Administration (SBA) directory. The bidders list will include the name, address, DBE or non-DBE status, and age of firms. WMT will require prime bidders to report the name, address, and DBE or non-DBE status of all firms who quote to them on subcontracts. 2022-2024 DBE VI Program West Memphis Transit 2
Assurances
WMT agrees to the following assurances applicable to all DOT-assisted contracts and their
administration.
West Memphis Transit 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 the [Recipient] of its failure to carry out its approved
program, the Department may impose a 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.).
Contract Assurance
WMT will ensure that the following clause is placed in every DOT-assisted contract and sub-contract:
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 WMT deems appropriate.
2022-2024 DBE VI Program West Memphis Transit 3Administrative Requirements
DBE Program Updates
Because WMT receives financial assistance from the USDOT (through our designated recipient MATA)
totaling at least $250,000 per year, the DBE program will continue to operate until all such funding has
been expended. WMT will provide updates to USDOT representing significant changes in the program.
DBE Policy Statement
The DBE Policy statement is included on the first page of this document.
DBE Liaison Officer (DBELO)
WMT has designated the following individual as its DBE Liaison Officer (DBELO):
Dr. Sam Jordan, Ph.D.
West Memphis-Marion Area MPO
203 S. Avalon St
West Memphis, AR 72301
sjordan@westmemphisar.gov
870.702.5157
In this capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring
that WMT complies with all provisions of 49 CFR Part 26. The DBELO is responsible for developing,
implementing, and monitoring the DBE program, in coordination with other appropriate officials. The
duties and responsibilities include:
1. To gather and report statistical data and other information as required by the USDOT.
2. To review third party contracts and procurement procedures for compliance.
3. To ensure that bid notices and requests for proposals are available to DBEs in a timely manner.
4. To identify 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).
5. To analyze WMT's progress toward attainment and to identify ways to improve progress.
6. To participate in all bid advertisement meetings.
7. To provide DBEs with information that can be useful in preparing bids and/or obtaining bonding
and insurance.
8. To plan and participate in DBE training seminars.
9. To provide outreach to DBEs and community organizations to advise them of opportunities.
DBE Financial Institutions
It is the policy of WMT to fully investigate the existence of any services offered by financial institutions
that may be owned and controlled by socially and economically disadvantaged individuals in the
community and, when they exist, to make reasonable efforts to use these institutions and to encourage
prime contractors on DOT-assisted contracts to also employ their services. While WMT has made a
serious effort to identify such institutions, to-date our efforts have shown no such institutions within
2022-2024 DBE VI Program West Memphis Transit 4The Arkansas Department of Transportation’s (ARDOT) District 1. Two such institutions exist within the
Greater Memphis Urbanized Zonal Area (UZA): Citizens Bank Savings and Trust and Tri-State Bank of
Memphis.
Prompt Payment Mechanisms
WMT will include the following clause in each DOT-assisted prime contract:
Prompt Payment - The CONTRACTOR agrees to pay each subcontractor under this prime
contract for satisfactory performance of its contract no later than thirty (30) days from receipt
of each payment the prime contractor receives from MATA. The CONTRACTOR agrees further to
return retainage payments to each subcontractor within thirty (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 a good cause following written approval of
WMT. This clause applies to both DBE and non-DBE subcontractors. Failure to comply with this
requirement will be construed to be a breach of contract and subject to contract termination.
Overconcentration
WMT has not identified any areas in which overconcentration of DBE competition imposes substantial
hardship for non-DBEs.
Business Development Programs
WMT has not established any business development program. Interested parties are encouraged to seek
out those programs offered by MATA.
Monitoring and Enforcement
WMT will take the following monitoring and enforcement mechanisms to ensure compliance with 49
CFR Part 26.
The Memphis Area Transit Authority 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 a 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 consider similar action under our own legal authorities, including responsibility
determinations in future contracts.
3. We will also provide a monitoring and enforcement mechanism to verify that work committed
to DBEs at contract award is performed by the DBEs. This may be accomplished by verification
2022-2024 DBE VI Program West Memphis Transit 5or observation work performed by the DBE firm, review of payment requests, continuous
projection completion, and DBE accomplishments, along with interviews with DBE firms and
prime contractors.
4. We will keep a running tally of actual payments to DBE firms for work committed to them at the
time of contract award.
ARDOT DBE Directory
WMT will utilize the certification list published in its DBE directory. 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. The directory is updated at least annually and is available through the
ARDOT website at https://www.ardot.gov/divisions/equal-employment-opportunity-disadvantaged-
business-enterprise/dbe/
Fostering Small Business Participation
WMT 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. WMT will
maintain a good faith effort in the separation of project functions to facilitate equal and flexible
participation in the bidding process.
2022-2024 DBE VI Program West Memphis Transit 6Goals, Good Faith Efforts, and Counting Set-Asides or Quotas WMT does not use quotas in any way in the administration of this DBE program. Overall Goals WMT will submit its annual overall DBE goal to FTA on the date of the year specified by the FTA (as of 2021, this date is August 1st of each year). WMT will also request use of project-specific DBE goals as appropriate, and/or will develop project-specific DBE goals as directed by the FTA. WMT will develop its goals through the identification of anticipated contract items and calculated weighted average (by dollar cost) for each item. The base goal will then be calculate using the relative availability (as a percentage) of DBEs in ARDOT District 1 to perform contracts for the goal period. Before establishing triennial goals, WMT will review the ARDOT DBE directory and the bidders lists from previous years to obtain information concerning the availability of disadvantaged and non- disadvantaged businesses, the effect of discrimination on opportunities for DBEs, and WMTs efforts to establish a level playing field for participating DBEs. Following this consultation, WMT will publish a notice of the proposed overall goals, informing the public that the proposed goal and its rationale are available for the same public comment protocol used by the West Memphis-Marion Area MPO for its Transportation Improvement Plan (TIP): this protocol can be reviewed at http://westmemphisar.gov/475/Public-Documents. Thirty (30) days following the date of the notice, we will inform the public that FTA and DOT will accept comments on the goals for forty-five (45) days from the date of the notice. JET will publish this notice in the local newspaper of record, distribute it to community-based agencies who serve minority populations, and post it on WMT website. Comments may be sent and addressed to the DEBLO listed above. WMT overall goal submission to DOT will include: the goal (including the breakout of estimated race- neutral and race-conscious participation, as appropriate); a copy of the methodology, worksheets and etc. used to develop the goal; a summary of information and comments received during this public participation process and our responses; and proof of publication of the goal in media outlets listed. WMT will begin using the overall goal on October 1 of the specified year, unless we have received other instruction from DOT. If we establish 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. Our goal will remain effective for the duration of the three year period established and approved by FTA. Goal Setting and Accountability WMT will, on an annual basis, analyze in detail the reason for the difference between the overall goal and the actual awards/commitments. 2022-2024 DBE VI Program West Memphis Transit 7
Transit Vehicle Manufacturers Goals
WMT will require each transit vehicle manufacturer, as a condition of being authorized to bid or propose
on FTA-assisted transit vehicle procurements, to certify that it has complied with the requirements of
this section. Alternatively, WMT may, at its discretion and with FTA approval, establish project-specific
goals for DBE participation in the procurement of transit vehicles in lieu of the manufacturer complying
with this element of the program.
Meeting Overall Goals
WMT will meet the maximum feasible portion of its overall goal using race-neutral means of facilitating
DBE participation. In order to do so, WMT will provide a good faith effort to meet all DBE goals. Each
Request for Proposals (RFP) that WMT (under the City of West Memphis) issues for a project that utilizes
FTA funding will include the following language:
The contract included in this RFP is subject to FTA DBE regulations; the requirements of 49 CFR
Part 26, regulations of the U.S. Department of Transportation, apply to this contract. WMT
policy is to practice nondiscrimination based on race, color, sex, or national origin in the award
or performance of this contract. Bidders should consult ARDOT’s DBE Directory [include updated
website] to familiarize themselves with DBE firms and other small businesses in ARDOT’s District
1 which should be considered for subcontracting opportunities.
The bidder is 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
confirmation from the DBE that it is participating in the contract as provided in the commitment
made under (3).
Good Faith Efforts
In those cases in which WMT is unable to meet the verified countable expected DBE participation, it will
document its good faith efforts to meet the DBE goal, in accordance with the practices set forth in this
DBE program document.
Counting DBE Participation
WMT will count DBE participation toward overall goals as provided in 49 CFR 26.55.
2022-2024 DBE VI Program West Memphis Transit 8DBE Certification West Memphis Transit utilizes the Unified Certification Program (UCP) administered by the Arkansas Department of Transportation (ARDOT). The UCP will meet all requirements of this section. WMT will use and count for DBE credit only those DBE firms certified by ARDOT. For more information on the UCP, visit ARDOT’s DBE page at https://www.ardot.gov/divisions/equal- employment-opportunity-disadvantaged-business-enterprise/dbe/. The most up-to-date DBE directory and descriptions of ARDOT’s UCP may be found at http://dbesearch.ardot.gov/. 2022-2024 DBE VI Program West Memphis Transit 9
Goal Setting
DBE participation goals shall be set each year. At the end of each federal transit fiscal year, WMT will
submit both the DBE goal for the next year and analysis of the past year’s accountability reporting to the
FTA. This document lays out DBE goals for the next three years (FY 2022-2024), but goals may be
revisited and/or revised each year based on success rates and feedback from participants or WMT’s
state and federal partners.
Overview
WMT anticipates receiving $1,553,000 from the FTA during FY 2022-2024. This funding will pass from
the FTA through MATA as the designated FTA funds recipient for the Memphis Urbanized Zonal Area
(UZA), before being directed to the City of West Memphis on behalf of WMT. Anticipated funding is
totaled from the Arkansas State Transportation Improvement Program (STIP) as follows:
West Memphis MPO Area Transit Projects
Funding
Category FY2022 FY2023 FY2024
FTA-5305 $ 84,000 $ 86,000 $ 87,000
FTA-5307 $ 432,000 $ 432,000 $ 432,000
Grand Total $ 516,000 $ 518,000 $ 519,000
Of this total amount, WMT expects to spend approximately 10% ($155,300.00) with DBE firms over the
next three years.
Methodology
Because WMT is a new transit provider, no data on historical contracting with DBE firms is available. For
future iterations of the DBE program, past data will be reviewed and taken into consideration when
setting goals.
At this time, WMT anticipates use of a third-party turnkey solution for all transit needs. 49 CFR Part
26.53 addresses this situation:
(e) In a “design-build” or “turnkey” contracting situation, in which [WMT} lets a master contract
to a contractor, who in turn lets subsequent subcontracts for the work of the project, [WMT]
may establish a goal for the project. The master contractor then establishes contract goals, as
appropriate, for the subcontracts it lets. [WMT] must maintain oversight of the master
contractor’s activities to ensure that they are conducted consistent with the requirements of [49
CFR 26].
49 CFR 26.53 contains additional regulations regarding oversight and behavior of the prime contractor;
these requirements will be included in the RFP and finalized contract.
2022-2024 DBE VI Program West Memphis Transit 10In the absence of other data and given that few small businesses can directly offer a turnkey solution for a contract of this size, WMT is opting to use the DOT’s statutory 10% DBE goal for this program. This goal may be revised or refined in future iterations of this DBE program as a record of DBE participation and becomes available through our record keeping procedures, outlined in the “General Requirements” section of this document. Market Area The local market area is taken to include all of ARDOT’s District 1. This includes Crittenden, Cross, Lee, Monroe, Phillips, St. Francis, and Woodruff counties in Arkansas. Because the WMT service area is located close to the State line, it is anticipated that firms from Tennessee and Mississippi may bid for WMT contracts. However, because the database used to identify DBE firms recognizes only Arkansas firms, our DBE market area is restricted to Arkansas. 2022-2024 DBE VI Program West Memphis Transit 11
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