i. communications ii. resolutions, motions and notices

AGENDA

Multi-Services Committee

November 25, 2013

7:00 PM

I. COMMUNICATIONS

II. RESOLUTIONS, MOTIONS AND NOTICES

1. Resolution designating the Chemung County Chamber of Commerce as the official Tourist Promotion Agency for Chemung County

2. Resolution amending agreement with Southern Tier Network on behalf of the Department of Information and Technology

3. Resolution confirming appointment of the Chemung County Transit Disadvantaged Business Enterprise (DBE) Liaison Officer (Wise) and amending the Transit DBE Program

4. Resolution extending agreement with First Transit (operation of the Chemung County Transit System, C TRAN)

5. Resolution authorizing agreement with Hunt Engineers, Architects, and Land Surveyors on behalf of the Chemung County Transit System (C TRAN fuel station canopy design)

6. Resolution authorizing advertisement for bids for one 40' bus on behalf of the Chemung County Transit System (C TRAN)

III. OLD BUSINESS

IV. NEW BUSINESS

V. ADJOURNMENT

CHEMUNG COUNTY ROUTE SLIP * PERSONNEL REQUISITION

Resolution designating the Chemung County Chamber of Commerce as the official Tourist Promotion Agency for

Chemung County

Resolution #: 01

Slip Type: OTHER

SEQRA status

Explain action needed or Position requested (justification):

Through this designation the Chamber is authorized to make application for and receive matching funds from the NYS

Department of Economic Development Tourism Matching Funds Program and represent Chemung County in tourism

promotion efforts.

CREATION:

Date/Time: Department:

11/12/2013 4:23:10 PM County Executive

APPROVALS:

Date/Time: Approval: Department:

11/13/2013 12:37 PM Approved Budget and Research

11/13/2013 1:41 PM Approved County Executive

11/14/2013 1:59 PM Approved Legislature Chairman

ATTACHMENTS:

Name: Description: Type:

No Attachments Available

Item # 1


Resolution amending agreement with Southern Tier Network on behalf of the Department of Information and

Technology

Resolution #: 02

Slip Type: CONTRACT

SEQRA status


Southern Tier Network(STN) to add two sites to be added to original agreement authorized by Resolution No. 13-181.

The sites are the Board of Elections at 378 S. Main Street and Sewer District #1 at 1700 Lake Street. The funds for this

agreement are in our current budget.

Vendor/Provider Southern Tier Network

Term Total Amount $13,994 Prior Amount

Local Share State Share Federal Share

Project Budgeted?

Yes Funds are in Account #

1680-540408

CREATION:


11/14/2013 9:27:23 AM Information Systems

APPROVALS:


11/18/2013 9:38 AM Approved Budget and Research



ATTACHMENTS:


No Attachments Available

Item # 2


Resolution confirming appointment of the Chemung County Transit Disadvantaged Business Enterprise (DBE) Liaison

Officer (Wise) and amending the Transit DBE Program

Resolution #: 03

Slip Type: OTHER

SEQRA status


DBE (Disadvantaged Business Enterprise) Resolution: The Chemung County Transit Board recommends to the

County Legislature that the County's Transit DBE Liaison Officer shall be Tricia Wise, Purchasing Coordinator, and

that the current Transit DBE program shall be amended, updated, and submitted to the Federal Transit Adminstration.

A public notice of the updated DBE goal of .03% will be published in the local paper.

Amend DBE Program: The Disadvantaged Business Enterprise (DBE) is the Federal law to ensure that DBEs have an

equal opportunity to receive and participate in Federal Transit Administration (FTA)–assisted contracts. The law is

intended to create a level playing field on which DBEs can compete fairly for FTA-assisted contracts, and only firms

that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs. The County’s Transit DBE

Liaison Officer shall be amended to be Tricia Wise, Purchasing Coordinator. In August 2013, the DBE goal was

recalculated and will be updated to .03%.

Further Information: To improve the overall goal, Chemung County will consult to the extent practical with the

identifiable groups, including minority, woman and general contractor groups, community organizations and other

officials and organizations which could be expected to have information concerning the availability of disadvantaged

businesses, the effects of discrimination on opportunities for DBEs, and Chemung County’s efforts to establish a level

playing field for the participation of DBEs to obtain information concerning the availability of disadvantaged and non-

disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and Chemung County’s efforts to

establish a level playing field for the participation of DBEs.

Information on the number of DBEs within the Local Market Area was obtained from the New York State Unified

Certification Program (NYSUCP) Disadvantaged Business Enterprise (DBE) Directory. There are only five (5) DBE’s

available for any kind of work\products in the five county area (Chemung, Schuyler, Steuben, Tioga and Tompkins

Counties) which would likely contract with Chemung County. Of those five, three are involved in heavy rail

transportation. None of these would likely be interested in a bus system capital, design or study projects. The two

remaining firms which currently comprise our DBE Directory are:

Alto Technical LLC, 101 E. State Street No. 177, Ithaca, NY 14850

Geovation Engineering PC, P.O. Box 513,.2016 Route 284, Slate Hill, NY 10973

CREATION:


Item # 3

9/30/2013 8:55:45 AM Transit System

APPROVALS:




10/1/2013 9:26 AM Approved Legislature Chairman

ATTACHMENTS:


DBE_CTRAN__Program08222013.doc Updated FTA DBE Program Backup Material

DBE_Public_Notice_2013.doc Public Notice of DBE Goal Backup Material

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CHEMUNG COUNTY, NY

DBE PROGRAM POLICY STATEMENT

Section 26.1, 26.23 Objectives/Policy Statement The Chemung County, for its transit system C TRAN has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. Chemung County has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, Chemung County has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of Chemung County to ensure that DBEs are defined in Part 26, have an equal opportunity to receive and participate in Federal Transit Administration (FTA)–assisted contracts. It is also our policy:

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

2. To create a level playing field on which DBEs can compete fairly for FTA-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 FTA-assisted contracts; 6. To assist the development of firms that can compete successfully in the market place

outside the DBE Program. The Purchasing Coordinator, Tricia Wise, has been delegated as the DBE Liaison Officer. In that capacity, the Purchasing Coordinator 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 Chemung County in its financial assistance agreements with the Department of Transportation. Chemung County has disseminated this policy statement to Chemung County Legislature 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 FTA-assisted contracts. This will be accomplished through legal notices and attached to bids. This statement and DBE Program is also be made available on the Chemung County website: www.chemungcounty.com ______________________________ ________________ [Signature of Recipients Chief Executive Officer] Date

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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 Chemung County 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 Tea-21, Pub. L. 105-178. Section 26.5 Definitions Chemung County will adopt the definitions contained in Section 26.5 for this program. Section 26.7 Non-discrimination Requirements Chemung County 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, Chemung County 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) We will report DBE participation to FTA as follows: We will report DBE participation on a quarterly basis, using DOT Form 4630. These reports will reflect payments actually made to DBEs on FTA-assisted contracts. Bidders List: 26.11(c) Chemung County will create a bidders list, consisting of information about all DBE and non-DBE firms that bid or quote on FTA-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. Chemung County will collect this information through the inclusion of a contract clause requiring prime bidders to submit a report of required information for all firms who quote to the prime bidder on subcontracts. Section 26.13 Federal Financial Assistance Agreement Chemung County has signed the following assurances, applicable to all Federal Transit Administration (FTA) assisted contracts and their administration:

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Assurance: 26.13(a)

Chemung County shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any FTA 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 FTA assisted contracts. The recipient’s DBE Program, as required by 49 CFR Part 26 and as approved by FTA, 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 Chemung County 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 We will ensure that the following clause is placed in every FTA-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 FTA-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 Chemung County has received a grant of $250,000 or more in FTA planning capital, and or operating assistance in a federal fiscal year we will continue to carry out this program until all funds from FTA financial assistance have been expended. We will provide to FTA 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) We have designated the following individual as our DBE Liaison Officer:

Purchasing Coordinator, Chemung County, 203 Lake Street, PO Box 588; Elmira, NY 14901; 607-737-2917; pchalk [email protected]

In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that Chemung County complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to Chemung County Executive concerning DBE program matters. An organization chart displaying the DBELO’s position in the organization is found in Attachment 1 to this program.

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The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of five 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 FTA. 2. Reviews third party contracts and purchase requisitions for compliance with this

program. 3. Works with transit system 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 Chemung County’s progress toward attainment and identifies ways to improve progress.

7. Participates in pre-bid meetings. 8. Advises the CEO\governing body on DBE matters and achievement. 9. Participates in pre-bid meetings. 10. Provides DBEs with information and assistance in preparing bids, obtaining bonding

and insurance. 11. Utilizes the Uniform Certification Process in New York State. 12. Provides outreach to DBEs and community organizations to advise them of

opportunities. 13. Maintains Chemung County’s updated directory on certified DBEs.

The Purchasing Coordinator is the appropriate person in our County. The County is the small urbanized area. It has limited staff so there is not the possibility of another position being the DBELO. There are sufficient checks and balances to see that the potential for conflict of interest is addressed. One of the first things we do when considering a capital project is to review it and staff for any potential conflict of interest and address it before proceeding. Other Personnel Other County of Chemung personnel responsible for DBE Program implementation: Transit Specialist Bid and contract compliance C TRAN General Manager Bid and contact compliance County Attorney Appeal Process County Executive Bid and contract compliance The following is a description of how the process works and how the checks and balances work to avoid the potential of conflict of interest. The Transit Specialist and C TRAN General Manager are directly involved in the procurement processes for the transit system. They develop vehicle and construction project specifications which are provided to the Purchasing Coordinator. The Transit Specialist reviews purchasing documents for compliance with Federal regulations independent of the Purchasing Coordinator. They provide direction on the advertising of procurements to make sure the competitive process is maximized. A statewide and\or nationwide advertising approach is always used. They provide the independent oversight of the transit system for the County to make sure the system\County comply with all Federal Transit Administration requirements and regulations, such as DBE. Determinations on DBE goal for any project are mutual decisions of this group, as is the selection of the successful contractor (with subcontractors). The actual decision on all contracts is by the County Legislature, upon recommendation from this group and not just the Purchasing Coordinator. This DBE program was reviewed twice by these parties prior to its submission to FTA. The Purchasing Coordinator as early as May 31, 2011 asked for review and input from this group on the draft DBE Program .Attached are two emails that were sent to the group including the

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C TRAN General Manager at the time, Bob Williams, documenting the involvement of the group’s members, including the private bus system. Section 26.27 DBE Financial Institutions It is the policy of Chemung County 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 FTA-assisted contract to make use of these institutions. Chemung County has searched the New York State Unified Certification Program (NYSUCP) DBE Directory to identify DBEs in Chemung County and its four surrounding counties, including Tioga, Steuben, Schuyler and Tompkins. To date, no financial institutions have been identified in this five county area which are owned and controlled by socially and economically disadvantaged individuals. If any such institutions are formed, Chemung County will make reasonable efforts to utilize their services and will encourage prime contractors on FTA-assisted contracts to utilize these institutions. Information on the availability and non availability of such institutions can be obtained from the DBE Liaison Officer. Section 26.29 Prompt Payment Mechanisms Chemung County will include the following clause in each FTA-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 Chemung County. 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 the Chemung County. This clause applies to both DBE and non-DBE subcontracts.

Section 26.31 Directory Chemung County participates in the New York State BizNet Unified Certification Program Business Directory. The directory lists the firm's name, address, phone number, and the type of work the firm has been certified to perform as a DBE. Interested parties can access the NYSUCP

DBE Directory at the following website: http://biznet.nysucp.net/ Section 26.33 Overconcentration Chemung County has not identified that overconcentration exists in the types of work that DBEs perform. Section 26.35 Business Development Programs Chemung County has not established a business development program. The County has reached out to the Human Relations Commission, the Economic Opportunity Program, and County Department of Social Services to make them aware of the transit programs and projects. Starting in 2012 the County reached out to other groups such as the NAACP and Chamber of Commerce to attempt identify businesses that might be eligible for DBE status. If such

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businesses are identified the County will direct them to the State Department of Transportation’s DBE development program. Chemung County has and will continue to foster small business participation in the operation of its transit system and contracts for capital items. As part of DBE LO duties and responsibilities, the Purchasing Coordinator and the other personnel assisting her in this responsibility have started a process to reach out to groups and organizations that can identify existing and potential DBE that could be part of transit purchases, services and contracts. The local economic development agency has been contacted and is making use of its contacts to seek existing DBE’s from outside our area that might be interested in participating or being the prime contractor, and also small businesses that might be able to be certified. The County’s efforts will include the private bus operator reaching out with similar efforts. The private transit operator has numerous items that can be competed for and performed by small businesses, such as grounds maintenance, and schedule printing. The private transit operator will advise the County of any small businesses that might be able to become certified DBEs and the County will provide the outreach and DBE information to any such business. Section 26.37 Monitoring and Enforcement Mechanisms Chemung County 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 FTA 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 consider similar action under our own legal authorities, including responsibility determinations in future contracts. Attachment 3 lists the regulation, provisions, and contract remedies available to us in the events of non-compliance with the DBE regulation by a participant in our procurement activities.

3. We 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 requiring the prime contractor to provide documentation of payments made to DBE’s and site visits to the DBE to confirm that the work billed was actually performed by the DBE thorough review of its records).

4. We will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award.

5. Chemung County will also provide a monitoring and enforcement mechanism to verify that payments were made to subcontractors no later than 30 days from prime contractor’s receipt of funds. This will be accomplished by requiring the prime contractor to provide documentation of payments made to subcontractors after the prime contractor receives the payment from the County. The County staff will make one or more unannounced site visits to the DBE (s) to determine if the DBE is performing the work in accordance with the contract.

Section 26.39 Fostering Small Business Participation Chemung County’s Small Business Program for FTA funding is as follows: A Small Business is defined as meeting the standards set by the Small Business Administration size standards set by the NAICS Industry for the appropriate code applicable to that business and 49 CFR Section 26.5. The County’s Small Business Program will be race and gender neutral in its entirety.

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The following actions will be taken to facilitate competition by small business concerns in the Chemung County transit system contracting opportunities: 1. Operating Contracts Element: For any and all transit system operations contracts with the

private transit company (subrecipient) for the calendar year 2013 of $ 1 million or more in expenses, the County shall require the prime contractor to specify elements of the contract of at least 1% of said contract that are of the size that small businesses, including DBE’s, can reasonably perform and that it will seek such small business participation. Considering that the majority of the funds spent on these contracts will be for driver, mechanics and management, the 1% level is an appropriate starting point, considering there has been no documented participation in the past five years. The program was be started as part of the Request For Proposals (RFP) for the County’s transit system for 2013. The set aside will be a condition of satisfying the proposal requirements. The program was implemented with the new operations contract effective January 1, 2013 with effort, but no success.

This starting approach will let the County judge if small business participation can be expanded in future years under subsequent contracts for operations of the transit system. As part of the County’s continuing oversight of the private operator, the County will document the private operator’s (prime’s) efforts by requesting quarterly updates on the outreach performed, contracts awarded, small business firm information\identification, and funds “awarded”. As part of the quarterly review of private operator expenses for reimbursement by the FTA, the County staff will inform the operator of small business contracting opportunities. The County will re-evaluate this element as it develops its contract for 2014 and beyond. A specific approach will be taken starting with the next RFP in 2014.

2. Capital Project Element: Chemung County has identified and will pursue contracts for its approved capital construction projects for its maintenance facility and transportation center of a size and lack of complexity that small business can compete for and perform as contractors. There are several elements of these construction projects which will be contracted for separately and are in the $ 10,000 to $ 20,000 contract level, and in the less than $ 50,000 level. There are relatively small electrical work, plumbing work, and separable construction work projects. These opportunities will be pointed out to the private operator and its consultant performing capital project implementation. If there are larger projects’ procurement packages are developed portions will be identified as small business contracting opportunities for the prime contractors as part of the bid package. Just as with the operating contracts’ element, as part of the County’s continuing oversight of the private operator, the County will document the private operator’s capital project consultant’s efforts by requesting quarterly updates on the outreach performed, contracts awarded, small business firm information\identification, and funds “awarded” to small businesses. The level of small business opportunities in the County’s capital program future will depend upon the level of FTA funding received, especially discretionary FTA funding. In the past the County’s capital program has been almost exclusively purchase of replacement buses. Such purchases do not provide opportunities for small business participation determined by the County.

SUBPART C – GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 26.43 Set-asides or Quotas Chemung County does not use quotas in any way in the administration of this DBE program.

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Section 26.45 Overall Goals A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachment 4A to this program. In accordance with Section 26.45(f) Chemung County submitted its overall goal to FTA shortly after August 1, 2013. The next goal submission will be due on August 1, 2016. To improve the overall goal, Chemung County will consult to the extent practical with the identifiable groups, including minority, woman and general contractor groups, community organizations and other officials and organizations which could be expected to have information concerning the availability of disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and Chemung County’s efforts to establish a level playing field for the participation of DBEs to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and Chemung County’s efforts to establish a level playing field for the participation of DBEs. Following this consultation, we published 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 the County’s principal office for 30 days following the date of the notice, and informing the public that Chemung County and FTA will accept comments on the goals for 45 days from the date of the notice. This notice was published in general circulation newspapers, as designated for legal notices by Chemung County Legislature. The DBE goal was subsequently recalculated in August, 2013. That goal is .03%. The notice will include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. Our goal submission to FTA includes a summary of information and comments received during this public participation process and our responses. There were no comments received to the original publication.This will be revised upon completion f the public participation process. We began using our overall goal on October 1, 2013. As we establish a goal on a project basis, we will begin using our goal by the time of the first solicitation for a FTA-assisted contract for the project. For the private operator contract we will use the DBE goal contained in the RFP process as the new contract takes effect on January 1, 2014. Section 26.49 Transit Vehicle Manufacturers Goals Chemung County 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. Chemung County will review the FTA transit vehicle manufacturer for the manufacturer’s compliance and keep a copy of the FTA approval letter as part of its procurement files for each vehicle to be purchased. Section 26.51(a-c) Breakout of Estimated Race-Neutral & Race-Conscious

Participation Chemung County will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE participation. The discussion of why a breakout of estimated race-neutral and race-conscious participation is not appropriate can be found in Attachment 5 to this program. Section 26.51(d-g) Contract Goals Chemung County will use contract goals to meet any portion of the overall goal Chemung County does not project being able to meet using race-neutral means. Contract goals are established so

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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 FTA-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). In particular, the County will set goals for the facility rehabilitation project because parts of the project will involve subcontracting opportunities that DBEs from out of our area may find significant enough to be a subcontractor to a prime contractor, and correspondingly a prime contractor could find interested DBEs. We will express our contract goals as a percentage of the Federal share of a FTA-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. 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. Chemung County DBE Liaison Officer, will make the determination, with input from the C TRAN General Manager and Assistant Planner Transit Specialist. We 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)) Chemung County treats bidder/offers’ 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 15 days of being informed by Chemung County 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 County Attorney: Brian Maggs, 203 Lake Street, Elmira, NY, (607) 737-2982 [email protected]

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. 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 so. 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 Transportation or the Federal Transit Administration. Good Faith Efforts when a DBE is replaced on a contract (26.53(f)) Chemung County 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. We 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, we 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:

The requirements of 49 CFR Part 26, Regulations of the U.S. Department of Transportation, apply to this contract. It is the policy of Chemung County 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 _zero 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 1), 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 We will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55.

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SUBPART D – CERTIFICATION STANDARDS Section 26.61 – 26.73 Certification Process CHEMUNG COUNTY is a member of a Unified Certification Program (UCP) administered by the New York State Department of Transportation. CHEMUNG COUNTY relies on the NYS UCP for compliance with certification standards of Subpart D of Part 26 and the certification procedures of Subpart E of Part 26 to determine the eligibility of firms to participate as DBEs in FTA-assisted contracts. CHEMUNG COUNTY uses the NYSUCP DBE Directory available online at: http://biznet.nysucp.net/ For information about the certification process or to apply for certification, firms should contact: NYS Department of Transportation Contract Audit Bureau DBE Certification 50 Wolf Road, 1st Floor Albany, NY 12232 Telephone: (518) 457-3180

SUBPART E – CERTIFICATION PROCEDURES Section 26.81 Unified Certification Programs Chemung County is the member of a Unified Certification Program (UCP) administered by New York State BizNet UCP. The UCP will meet all of the requirements of this section. The following is a description of the UCP: a combined business directories of the New York Department of Transportation, Metropolitan Transportation Authority, Niagara Frontier Transportation Authority and Port Authority of New York New Jersey. Firms certified as Federal Disadvantaged Business Enterprises (DBEs) by one of these agencies are now automatically certified with all four. 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 7

th Street, SW

Room 2104 Washington, D.C. 20590

SUBPART F – COMPLIANCE AND ENFORCEMENT Section 26.109 Information, Confidentiality, Cooperation We will safeguard from discloser to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. Chemung County records are available for release to the public in accordance to Article 6 of the New York State Public Officer's Law, or Freedom of Information Law (FOIL) which states that all records of an

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agency are available except to the extent that records or portions thereof fall within one or more grounds for denial as stated in the 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 FTA) without the written consent of the submitter. Monitoring Payments to DBEs We will require prime contractors 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 Chemung County or FTA. This reporting requirement also extends to any certified DBE subcontractor. We will 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 stated in the schedule of DBE participation. The audits will involve County staff site visits to the DBEs to help determine that the DBE staff actually performed the work claimed. As part of the County’s regular and continuing oversight process to make sure the private operator is complying with Federal regulations, the Assistant Planner and Senior Transportation Planner Transit Specialist will review on an annual basis any and all DBE contracts held by the private operator locally as well as efforts made to include DBEs in their purchasing of goods and services. ATTACHMENTS Attachment 1 Organizational Chart Attachment 2 DBE Directory Attachment 3 Monitoring and Enforcement Mechanisms Attachment 4 Overall Goal Calculation Attachment 5 Breakout of Estimated Race-Neutral & Race-Conscious Participation Attachment 6 Form 1 & 2 for Demonstration of Good Faith Efforts Attachment 7 Regulations: 49 CFR Part 26

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Attachment 1 Organizational Chart

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Attachment 2

DBE Directory

There are only five (5) DBE’s available for any kind of work\products in the five county area (Chemung, Schuyler, Steuben, Tioga and Tompkins Counties) which would likely contract with Chemung County. Of those five, three are involved in heavy rail transportation. None of these would likely be interested in a bus system capital, design or study projects. The two remaining firms which currently comprise our DBE Directory are: Alto Technical LLC, 101 E. State Street No. 177, Ithaca, NY 14850 Geovation Engineering PC, P.O. Box 513,.2016 Route 284, Slate Hill, NY 10973

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Attachment 3

Monitoring and Enforcement Mechanisms

Chemung County has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following:

1. Breach of contract action, pursuant to the terms of the contract; 2. Breach of contract action, pursuant to 49 CFR Part 26.

In addition, the federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, 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 3. Prosecution pursuant to 18 USC 1001.

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Attachment 4

Section 26.45: Overall Goal Calculation

Amount of Goal

1. The base goal figure using relative availability would be 0% because there are no certified DBEs in Chemung County. Therefore, we calculated the adjusted Chemung County’s overall goal for the following time period 2014-2016 is the following: 0.03% of the Federal financial assistance we will expend in FTA-assisted contracts, exclusive of FTA funds to be used for the purchase of transit vehicles.

2. $__4.74 million__ is the dollar amount of FTA-assisted contracts that Chemung County

expects to award during FFY2014, 2015, and 2016. Of the$ 4.74 million in FTA assistance involved in the total contracts amount $ 1,440,000 will be used by the County to purchase capital or consulting items. The items are as follows: purchase a fare collection system, purchase of buses, purchase and install bus stop sign and shelters, construct facility rehabilitation items, and use a consultant or vendor to develop an asset management system. The Federal share of the County contract with the private operator to provide the operation of the transit services is estimated at $ 3.3 million for the three years (operator purchases and expenses which are significantly labor costs for their employees).. The FTA funds used to support the operation of the transit system through operating assistance and preventive maintenance are for contracts with the private bus operator under contract to Chemung County. There are currently no DBEs in the local market that could provide goods or services to the bus operations.

Methodology used to Calculate Overall Goal Step 1: 26.45(c) Determine the base figure for the relative availability of DBEs. and Step 2: 26.45(d) See Attachment 4A which develops the weighted base goal as adjusted (described below).

Step 1. There are currently no certified DBEs in Chemung County, therefore the base

goal figure would be 0%. No further calculation is needed for the base. Information on

the number of DBEs within the Local Market Area was obtained from the New York

State Unified Certification Program (NYSUCP) Disadvantaged Business Enterprise

(DBE) Directory. Step 2. The local market was adjusted to include the four surrounding counties in order to include areas with current certified DBEs and recognize that DBEs in those other four counties could reasonably participate in contracts in Chemung County if it involved work they could perform. The Local Market Area was set at Chemung County, plus the four other surrounding counties with which Chemung County interacts -- a region. The other four counties are Schuyler, Steuben, Tioga and Tompkins. Past performance on goals was not used because the goal was 0.04% for the past period.. From the list of proposed projects for 2014-16, a tabulation of 2011 NAICS codes of contracts that could be involved for the projects was constructed. Information on the total number of businesses for each NAICS code was then obtained from 2011 County Business Patterns (NAICS) from the Census Bureau (http://censtats.census.gov/cgi-

bin/cbpnaic/cbpdetl.pl ). See the attached Attachment 4A Chemung Co. for the process taken to calculate the goal using weighing, determining the relative availability of DBEs, and the weighted base percentage.

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No additional goal adjustment was made because there is no current DBE capacity that would raise the goal, no evidence of DBE availability or capacity from analysis of DBE participation in the related transportation field in the five counties, and no known studies on DBE potential availability. In order to reflect as accurately as possible the DBE participation we would expect in the absence of discrimination we have adjusted our base figure by 0%. The County’s contract for operation of the bus system was considered in the overall goal calculation. However, there are no certified DBEs in the fields covered by the FTA funding. Foremost in calculating the value that could be purchased through DBEs is that FTA funds received are for preventive maintenance and operating assistance. The vast majority of the preventive maintenance eligible expenses are for technician and maintenance management salaries and fringe benefits. Determining the local bus system’s DBE share of a purchase and a goal through 2013 is therefore an approach which lessens the overall goal. The County, as part of the Request For Proposals for the transit system operation in calendar year 2013, requested t that the proposer reach out to small businesses and DBEs (and report on that outreach) and set a goal of 1% of the Federal assistance amount to be purchased or performed by DBEs. The DBE goal for 2013 was not revised based upon the results of the solicitation and contract. The process of weighting the opportunities was taken. Public Participation We published our goal information in the Star Gazette. We received no comments from individuals or organizations. Summaries of these comments are as follows: Not applicable Our responses to these comments are: Not applicable

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Attachment 5

Section 26.51: Breakout of Estimated

Race-Neutral & Race Conscious Participation

Chemung County will meet the maximum feasible portion of its overall goal by using race-neutral means of facilitating DBE participation. Chemung County uses the following race-neutral means to increase DBE participation: publishing contracting opportunities in local and trade publications. We estimate that, in meeting our overall goal of 0.03% (.0003), we will obtain _0.03_% from race-neutral participation and _0_% through race-conscious measures. The following is a summary of the basis of our estimated breakout of race-neutral and race-conscious DBE participation: It is based upon the 0.03% DBE goal and participation in Chemung County. The difference in the goals is too small to estimate at this point in time and there is no history of either race-neutral or race-conscious DBE participation in FTA-funded projects in Chemung County. Further there is no past history of race conscious participation.

Attachment 6

Forms 1 & 2 for Demonstration of Good Faith Efforts

[Forms 1 and 2 should be provided as part of the solicitation documents.] 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 a submits documentation demonstrating good faith efforts.

Name of bidder/offeror’s firm: ______________________________________ State Registration No. ____________________ By ___________________________________ ______________________ (Signature) Title

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FORM 2: LETTER OF INTENT

Name of bidder/offeror’s firm: _______________________________ Address: ________________________________________________ City: _____________________________ State: _______ Zip: ______

Name of DBE firm: ________________________________________ 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.)

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Attachment 7

Regulations: 49 CFR Part 26

Attachment 7: U.S Department of Transportation regulations 49 CFR Part 26 In lieu of Attachment 7, an electronic copy may be reviewed at: http://osdbu.dot.gov/OSDBUSERVICES/DBEPROGRAM/tabid/75/Default.aspx

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PUBLIC NOTICE

Public Notice is Hereby Given, that C TRAN, formerly known as the Chemung

County Transit System, intends to update its Federal Transit Administration

Disadvantaged Business Enterprise program and to set its 2013-2016 goal at 0.03%.

Persons interested in making a public comment on the DBE Program may obtain more

information about the DBE Program from: Tina Hager, Transit Specialist, Chemung

County Commerce Center, 400 East Church Street, P.O. Box 588, Elmira, New York

14902-0588. Written public comments will be accepted until November 15, 2013.

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Resolution extending agreement with First Transit (operation of the Chemung County Transit System, C TRAN)

Resolution #: 04

Slip Type: CONTRACT

SEQRA status


Chemung County approves a two year contract extension with First Transit for operation of the County transit system,

C TRAN, at no cost to the County for the fixed-route transit services and a pre-school transportation rate per trip the

same as for 2013.

To be a two year extension on the existing contract, with next RFP going out in mid-2015 for January 1, 2016 start.

In 2014, federal transit funding will cover $1,216,318 plus $100,000 available in JARC reimbursement. In 2014, there

will be a total of $140,688 offered for fleet rehabilitation.

In 2015, federal transit funding will cover $1,011,000, an unknown amount of rural 5311 funds, and $100,000 available

in JARC reimbursement. In 2015, there are no funds offered for rehab.

The NEMT (Non-emergency Medicaid Transportation) rate will be $80 per trip.

The pre-school rate will be $50.53 per trip.

Vendor/Provider First Transit

Term Jan. 1, 2014-

Dec. 31, 2015

Total Amount $1,216,318

estimated per

year

Prior Amount

Local Share 0 State Share STOA, amount

varies

Federal Share $1,216,318

Project Budgeted?


CREATION:


11/12/2013 3:22:35 PM Transit System

APPROVALS:


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ATTACHMENTS:


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Resolution authorizing agreement with Hunt Engineers, Architects, and Land Surveyors on behalf of the Chemung

County Transit System (C TRAN fuel station canopy design)

Resolution #: 05

Slip Type: CONTRACT

SEQRA status


Fuel Station Canopy: Chemung County, on behalf of its transit system, C TRAN, authorizes acceptance of the proposal

and authorizes execution of contract with Hunt Engineers for the design of a Fuel Station Canopy at the bus garage site,

1201 Clemens Center Parkway.

Other information: Design costs are estimated at $10,900. With site work, foundations, fire suppression, and design the

entire project budget is projected at $25,000-50,000. The majority of cost (80%) will be paid out of $300,000 in Garage

Enhancements previously approved by the Chemung County Legislature and covered by Federal Transit

Administration grant #NY04-0072-00. The State will fund 10% and the County will be responsible for 10% or $1,090.

Vendor/Provider Hunt Engineers

Term complete in

2014

Total Amount $10,900 Prior Amount

Local Share $1,090 State Share $1,090 Federal Share $8,720

Project Budgeted?


CREATION:



APPROVALS:





ATTACHMENTS:


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Resolution authorizing advertisement for bids for one 40' bus on behalf of the Chemung County Transit System (C

TRAN)

Resolution #: 06

Slip Type: OTHER

SEQRA status


One 40’ bus bid with one option: Chemung County, operating the C TRAN system, seeks to request bids for the

purchase of one diesel powered rear engine 40’ transit bus.

Other information: The bus will be ordered for arrival in 2015, and the seating capacity is needed for Elmira-Ithaca,

Elmira-Corning (end destination CCC), Mall Express, and Grand Central runs. The majority (80%) of cost will be paid

for by Federal Transit Administration grant #NY04-0072-00 ($425,000 budgeted in grant). The State will fund 10%

and the County will be responsible for 10% or $ 42,500 in 2015.

CREATION:



APPROVALS:





ATTACHMENTS:


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i. communications ii. resolutions, motions and notices

Documents