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Agenda Packet 07 23 15 Cape Fear Public Transportation Authority A regularly scheduled meeting of the Cape Fear Public Transportation Authority will be held Thursday, July 23, 2015 at 12:00 pm in the Wave Transit Board Room at Forden Station, 505 Cando St., Wilmington, NC 28405. An agenda for the meeting is presented below. MEETING AGENDA 1)Call to Order 2)Moment of silence 3)Pledge of Allegiance 4)Public Comment Period 05 minutes 5)Consent agenda 05 minutes 1.Approval of minutes from the June 25, 2015 meeting (p. 3) 2.FY 2015 Audit Contract (p. 3.Agreement with UNCW for Transportation Services (p. 6)Maintenance issues update 20 minutes Mr. Larry Morris, Regional Vice President, First Transit Mr. Bill Harned, Area Vice President, First Transit Mr. Ben Herr, Director of Operations, First Transit 7)DBE Program update (p. 05 minutes Ms. Megan Matheny, Director of Planning & Development, Civil Rights Officer 8)Committee Reports 20 minutes Executive Committee, Mr. Jeff Petroff, Chairman Planning & Operations Committee, Mr. Andrew Koeppel, Chairman June 2015 Operating & Statistical reports (p. Finance & Budget Committee, Mr. William Bryden, Chairman June 2015 Financial Statement prepared with year end financials by auditor Facilities Committee, Mr. Jeff Petroff, Chairman Bus wash grating purchase order (p. taff report 10 minutes 9)S Ops Center update Sunsetting programs Benefits of Transit (p. 10)New business 05 minutes 11)Old business 05 minutes 12)Adjournment The next regular meeting of Cape Fear Public Transportation Authority is scheduled for Thursday, August 27, 2015 in the Forden Station Board Room located at 505 Cando Street, Wilmington, NC 28405. CFPTA Agenda Packet 07/23/20151 CONSENT AGENDA The following items are attached for consideration. A brief explanation and recommendation follows: 1)Approval of minutes from the June 25, 2015 meeting (p. 3) 2)Fiscal year 2015 audit contract (p. The engagement letter and proposed contract from McGladrey are included for consideration. The $19,500 fee for the annual A-133 audit and assistance in preparing the financial statements are included in the adopted budget. The audit will also include more detailed analysis of the Authority’s third party contract payroll provider to ensure the highest level of compliance. McGladrey has performed the annual audit for the past five years with positive reviews from oversight agencies and staff. Approval of the contract is recommended. 3) Agreement with UNCW for Transportation Services (p. The Authority contracts annually with UNCW to provide the Seahawk Shuttle service. The current agreement includes transportation costs of $49.54 per revenue hour. The rate includes $3.24 per revenue hour to be allocated as local matching funds for vehicle replacement. Other terms of the agreement are similar to the FY 2015 contract. Revenue provisions in the agreement are compliant with the adopted FY 2016 budget. Legal review was undertaken by Authority counsel. Approval of the agreement is recommended. CFPTA Agenda Packet 07/23/20152 Cape Fear Public Transportation Authority MINUTES OF THE CAPE FEAR PUBLIC TRANSPORTATION AUTHORITY June 25, 2015 Jeff Petroff, Chairman, Presiding MEMBERS PRESENT Mr. Jeff Petroff, Chairman Mr. Kevin O’Grady, Vice-Chairman Mr. Don Betz, Secretary Mr. Jonathan Barfield Mr. Bill Bryden Mr. Samuel Grundman Mr. Steven Kelly Mr. Andy Koeppel Ms. Anne K. Ryan MEMBERS ABSENT Mr. Rick Richards Mr. Beck Smith STAFF PRESENT Mr. Albert Eby, Executive Director Ms. Megan Matheny, Director of Planning & Development Mr. Joe Mininni, Director of Finance & Administration Ms. Kathy Williams, Board & Customer Relations Clerk CONTRACT MANAGEMENT STAFF PRESENT Ms. Noel Fox, Craige and Fox PLLC, Attorney Mr. Chris Greenman, Fixed Route Operations Manager GUESTS PRESENT Ms. Suraiya Rashid, WMPO Ms. Jackie McCullough, ATU Representative, Wilmington (Operator) Mr. Richard Johnson, ATU Member, Wilmington (Operator) Mr. Terrance Dewberry, ATU 1328 President, Raleigh Ms. Sherita McCullers, ATU 1328 Vice President, Raleigh Mr. Johnie Lewis, Citizen Mr. Stephen Bried, Citizen Mr. Henery Benjamin, Citizen CALL TO ORDER Mr. Petroff called the meeting to order at 12:05 pm The board meeting began with a moment of silence followed by the reciting of the Pledge of Allegiance Mr. Petroff presented outgoing board member, Mr. Grundman, with a plaque and thanked him for his service CFPTA Agenda Packet 07/23/20153 PUBLIC COMMENT Mr. Petroff opened the public comment period Mr. Lewis expressed concern about drivers being overheated Mr. Lewis stated that on June 17, 2015, the bus on Route 103 had no AC Mr. Lewis said he called the supervisor about another driver being washed down in sweat and he also called about the AC issues on the vehicles He said that buses have been overheating causing them to have to pull over to cool down which is resulting in the route being delayed Mr. Lewis submitted a petition requesting better bus service He said he spoke with Ms. Matheny and left messages with Ms. Smith to make them aware of the issue and only received one response from Ms. Smith Mr. Lewis stated the paratransit vehicle used for Route 209 does not have enough seating or space and he is concerned about safety Mr. Dewberry, ATU Local 1328 President from Raleigh, stated he was there to support the safety of the riders and drivers Mr. Dewberry stated the public deserves dependable, reliable and uninterrupted service Mr. Johnson stated he has been with the company 21 years and he has never seen the condition of the vehicles this bad He said drivers are operating paratransit vehicles on regular bus routes and drivers with health issues are operating buses with no air conditioning Mr. Bried proposed extending service hours from 9:00 pm to 11:00 pm with additional charges applying and extending the service area to cover more of the rural areas Mr. Bried stated he resides off of Enterprise Dr. and the closest bus stop to his residence is Trademark Dr. Mr. Bried said there is no sidewalk from his residence to the bus stop making it impossible for him to access the stop and use the bus He said there is also a bus stop across from Laney High School but the lack of sidewalks, benches or shelters makes it unsafe for anyone in a wheelchair Mr. Bried suggested that a bus stop be added at Da Vita Dialysis or Britthaven Nursing Home on Enterprise Drive to make it easier for riders with physical disabilities to access the bus Mr. Bried thanked the board for their time and interest Ms. Williams stated Wave Transit has the highest fare per ride in the state She stated most buses in other cities run every thirty minutes and have extended hours until 10:00 pm or 11:00 pm She said that most people that ride the buses are minimum wage earners and to charge $2.00 per ride and not offer extended hours is not feasible Ms. Williams proposed decreasing the price of a day pass from $5.00 for adults to $4.00 Mr. Petroff stated that individual questions would not be addressed but the board was scheduled to receive a briefing on the maintenance issues later in the meeting Hearing no further comments, Mr. Petroff closed the public comment period MAINTENANCE ISSUES DEBRIEF Mr. Betz made a motion to move the staff report related to maintenance issues to after the public comment period Mr. O’Grady seconded and the motion carried Mr. Petroff stated the board is aware that there have been some issues regarding vehicles and recognized Mr. Eby to provide an update Mr. Eby began with an apology to passengers and board members for the maintenance issues CFPTA Agenda Packet 07/23/20154 Mr. Eby confirmed that several complaints regarding vehicles without adequate air conditioning had been verified Mr. Eby stated a letter was sent to First Transit informing them that their failure to maintain fixed route vehicles to an acceptable standard constituted a breach of the management agreement First Transit Senior Vice President Mr. Rick Dunning traveled to Wilmington to investigate the issues and meet with the Authority Mr. Eby stated that the situation was serious but not critical and safety of employees and passengers was priority one of the Authority and First Transit He stated that the maintenance issues were the result of many factors including fleet age, unprecedented heat, poor maintenance, high mechanic turnover, moving to a new operations center and other factors Mr. Eby said that First Transit will remain in breach of the agreement until all maintenance issues are resolved to the satisfaction of the Authority To date in June 2015, 1.4% of scheduled service has not been provided due to the maintenance issues Mr. Eby revealed that not all the maintenance issues have been related to air conditioning He said that preventive maintenance has been compliant according to the manufacture’s specifications, but major maintenance items failed to be addressed properly Mr. Eby stated major maintenance issues, such as vehicle engines, were only receiving a temporary fix instead of a long term repair Mr. Eby said that in response to the issues, the Authority authorized extended subcontracted work to return the fleet to its baseline The Authority continues to work with First Transit to normalize the situation Mr. Eby said the use of the paratransit vehicles on fixed routes was authorized to adhere to the establisher schedule and is far from an ideal situation Mr. Eby said that safety has not been compromised through the use of paratransit vehicles Mr. Eby said the situation surrounding maintenance forced the new CNG buses to be placed into service prior to being fully prepared for revenue service He stated that he has requested a daily AC update and over the past two days there have been no reports of vehicles operating without air conditioning Mr. Eby stated that once the situation has been resolved a full overview will be conducted to implement policies and procedures to prevent reoccurrence Mr. Eby stated five bus engines need immediate replacement requested approval of a purchase order to Superior Diesel Remanufacture in the amount of $66,487.68 for engine repair He revealed that funding will come from the maintenance budget or capital resources in FY 2016 Mr. Betz made a motion to accept the purchase order to Superior Diesel in the amount of $66,487.68 for engine repair Mr. O’Grady asked if getting the engines repaired would resolve the recent occurrence of issues Mr. Eby said the buses have exceeded their useful life of 500,000 miles and repairing the engines would lead to better reliability but all components of the vehicles were becoming more challenging to maintain due to their age Mr. O’Grady stated he was dissatisfied with Mr. Eby’s report He stated Mr. Eby was vague about the maintenance problems and requested a more detailed report regarding how the situation came about, why the response time was slow, how to prevent this from occurring again and how First Transit plans to reconcile this problem Mr. Koeppel said that approving the consent agenda should remain in order as presented Mr. Barfield inquired as to whether or not First Transit is responsible for the cost for the engine repair Mr. Eby stated this will be a point of discussion between First Transit and the Authority’s attorney He stated that since there are no provisions in the contract, Wave Transit has limited leverage CFPTA Agenda Packet 07/23/20155 Mr. Barfield said that in the future, language could be added to cover situations as such these Ms. Fox said the contract states that upon termination, if the Authority has to seek out others to fulfill the obligations of First Transit, First Transit can be held liable for fees accrued Mr. Koeppel seconded the motion for the Purchase Order to Superior Diesel Mr. O’Grady stated he would vote in favor of the PO but remained concerned that the situation was not being dealt with in the most economical and efficient manner The motion carried CONSENT AGENDA Mr. Petroff presented the June 2015 consent agenda for approval Mr. O’Grady and Mr. Koeppel requested to discuss items 2 and 4 of the June 2015 consent agenda Mr. Betz made a motion to accept items 1 and 3 of the June 2015 consent agenda Mr. O’Grady seconded the motion and the motion carried Mr. Petroff recognized Mr. O’Grady to discuss item 2 of the consent agenda Mr. O’Grady requested an explanation as to the meaning of the sentence in item 2, “10% of local matching funds are being provided through NHC DSS mileage reimbursements” Mr. Eby said the local matching cost of replacement vehicles is fully allocated and is included in the cost per mile Mr. O’Grady made a motion to accept item 2, purchase order for two paratransit vehicles Mr. Betz seconded the motion and the motion carried Mr. Petroff recognized Mr. Koeppel to discuss item 4 of the consent agenda Mr. Koeppel asked when an item is fully depreciated does it show as having zero value or is it appraised based upon the time it is fully depreciated and shown what its value would be and a new depreciation schedule is given Mr. Eby said that it continues to be included in inventory but has no value Mr. Mininni added that the method is the accepted accounting practice Mr. Koeppel made a motion to accept item 4, depreciation schedule modification Mr. Betz seconded the motion and the motion carried PUBLIC HEARING FISCAL YEAR 2015-16 BUDGET Mr. Petroff recognized Mr. Eby to provide the public hearing budget report for fiscal year 2015-16 Mr. Eby explained that all public notice guidelines were met Mr. Eby gave a brief description of the budget and stated that there was only one change, the correction to the spelling of Ms. Ryan’s name Mr. Petroff opened the public hearing for the fiscal year 2015-16 budget Hearing no comments, Mr. Petroff closed the public hearing for the fiscal year 2015-16 budget Mr. Bryden made a motion to accept the fiscal year 2015-16 budget as presented Ms. Ryan seconded the motion and the motion carried EXECUTIVE COMMITTEE Mr. Petroff recognized Mr. Eby to provide further insight on the Wilmington Multimodal Transportation Center Memorandum of Agreement Mr. Eby gave a brief history of the multimodal transportation center which has been ongoing for over fifteen years Mr. Eby stated that all properties have been obtained by NCDOT in the project area He stated the U-Haul building has been condemned by NCDOT and they are in the process of relocating storage unit holders CFPTA Agenda Packet 07/23/20156 Mr. Eby said the Authority would utilize the center to move the bus transfer location at Second and Princess off street where it was safer and more amenable to passengers Mr. O’Grady stated the Memorandum of Agreement presented is an agreement between the City of Wilmington, NCDOT and the Authority Mr. Koeppel and Mr. O’Grady stated the WMPO and the City of Wilmington both approved the Wilmington Multimodal Transportation Center Memorandum of Agreement Mr. Koeppel made a motion to accept the Wilmington Multimodal Transportation Center Memorandum of Agreement Mr. O’Grady seconded the motion and the motion carried NOMINATING COMMITTEE Mr. Petroff recognized Bryden to give the committee report Mr. Bryden thanked all the board members that responded when reached out to by the committee Mr. Bryden stated the recommendations from the committee are Mr. Petroff - Chairman, Mr. O’Grady - Vice-Chair and Mr. Betz - Secretary Hearing no further nominations from the floor, Mr. Petroff closed the nominations and called the question The nominating committee’s recommendations for officers was unanimous PLANNING AND OPERATIONS COMMITTEE Mr. Petroff recognized Mr. Koeppel to give the committee report Mr. Koeppel said that May ridership was down but year to date ridership is up just over 1.5% Mr. Barfield asked how ridership could grow Mr. Koeppel stated one strategy is to make the bus experience attractive to riders and perhaps expanding the routes Mr. Eby said attracting choice riders has always been a challenge Mr. O’Grady expressed concern about the ridership figures for the trolley as ridership has decreased by roughly 5% rd Mr. O’Grady said the trolley route needs to be revisited once the 3Street bridge is reopened Mr. Koeppel said a potential restructure of the Planning and Operations committee is still in discussion Mr. Koeppel said advertising revenue generated this calendar year is just over $20,000 Mr. Koeppel said the engineered designs for the 12 bus stop amenities under Phase I of the bus stop enhancement project have been completed and have transitioned to the permitting phase Mr. Koeppel said the Authority’s public relations firm was working to get the word out about the CNG buses FINANCE & BUDGET COMMITTEE Mr. Petroff recognized Mr. Bryden to give the committee report Mr. Bryden stated everything is compliant with respect to current year operating budget He said the paratransit billings continue to come in below the budgeted amount Mr. Bryden stated that fuel and lubricants continue to remain under budget and no budget adjustment is needed He stated that overall, the Authority is under budget for the fiscal year FACILITIES COMMITTEE Mr. Petroff stated that committee did not meet STAFF REPORT CFPTA Agenda Packet 07/23/20157 Mr. Petroff recognized Mr. Eby to give the report He said contractors are in the process of installing phone lines and that Monday, June 29, 2015 will be the first full day of operations at the Operations Center Mr. Eby stated that the North Carolina Department of Transportation Public Transportation Division (NCDOT-PTD) conducted a System Safety Plan Review of the Authority and there was one deficiency out of ninety-two sub sections reviewed Mr. Eby recognized Ms. Matheny to provide an update on the Authority’s social media efforts Ms. Matheny said the Authority’s social media efforts have been revamped with a revised Facebook page and the establishment of a Twitter page Ms. Ryan asked if the text messaging program could be used to notify riders when buses are down Ms. Matheny said that she would look into the texting option Mr. Petroff asked if the Authority is using social media to notify riders when a bus is late or broken down Ms. Matheny said that as soon as she receives a notification of this nature, she will push the information out to social media if she is available Mr. Petroff asked Mr. Eby for an update regarding the NHC non emergency transportation RFP Mr. Eby said that the Authority has replied to the RFP questions and are waiting on a response from the County Mr. Mininni stated the multiple awards would be awarded from the RFP and the impact to the Authority’s FY 2016 budget was not expected to be impacted NEW BUSINESS None OLD BUSINESS None ADJOURN Mr. Betz made a motion to adjourn the June 2015 board meeting Mr. Koeppel seconded the motion and the motion carried SCHEDULING OF NEXT MEETING The nest meeting of the Authority is scheduled for July 23, 2015 at 12:00 pm in the Forden Station Board Room Respectfully Submitted, Albert Eby Executive Director /kw/mm CFPTA Agenda Packet 07/23/20158 CFPTA Agenda Packet 07/23/20159 CFPTA Agenda Packet 07/23/201510 CFPTA Agenda Packet 07/23/201511 CFPTA Agenda Packet 07/23/201512 CFPTA Agenda Packet 07/23/201513 CFPTA Agenda Packet 07/23/201514 CFPTA Agenda Packet 07/23/201515 CFPTA Agenda Packet 07/23/201516 CFPTA Agenda Packet 07/23/201517 CFPTA Agenda Packet 07/23/201518 CFPTA Agenda Packet 07/23/201519 CFPTA Agenda Packet 07/23/201520 CFPTA Agenda Packet 07/23/201521 CFPTA Agenda Packet 07/23/201522 CFPTA Agenda Packet 07/23/201523 CFPTA Agenda Packet 07/23/201524 AGREEMENT FOR TRANSPORTATION SERVICES This Agreement made and entered into this the ______ day of _____________, 2015, by and between the University of North Carolina Wilmington, a constituent institution of the University of North Carolina ("UNCW") and the Cape Fear Public ; W I T N E S S E T H: WHEREAS, UNCW is authorized by G.S. 116-44.4 to regulate traffic and parking on university property and to utilize funds derived therefrom to provide bus service and other transportation systems and facilities serving university students, faculty or employees; and WHEREAS, on July 01, 2004, the Cape Fear Public Transportation Authority was created by joint resolution of the City of Wilmington and New Hanover County under North Carolina General Statutes 160A, Article 25, to provide public transportation services within New Hanover County, assuming the duties and responsibilities of the Wilmington Transit Authority (WTA) and New Hanover Transportation Services (NHTS) upon dissolution of each entity; and WHEREAS, UNCW and CFPTA entered into an agreement dated June 29, 2012 under which the CFPTA operated shuttle buses to apartment complexes and other areas near the university campus for the benefit of UNCW students; and WHEREAS, CFPTA has been providing the services detailed under the above agreement since July 01, 2012; and WHEREAS, the purpose of the agreement was to ease traffic congestion and parking concerns on campus; and WHEREAS, the agreement was extended for a one (1) year period commencing July 01, 2014 and terminating June 30, 2015; and WHEREAS, CFPTA has the legal authority to contract with UNCW for such purpose; and WHEREAS, UNCW has the legal authority to contract with CFPTA for such purpose; NOW, THEREFORE, for and in consideration of the premises and the terms and CFPTA/UNCW Contract 1of 10 Rev. 002 CFPTA Agenda Packet 07/23/201525 conditions set forth herein, the parties do hereby agree as follows: 1. Services to be Provided by CFPTA (a) CFPTA hereby agrees to provide shuttle bus services for the benefit of university students ("bus service"). The bus service shall operate between the UNCW campus and apartment complexes with large student populations located within the vicinity of the university. The bus service will also operate between satellite parking lots and campus. For the fee(s) outlined herein, CFPTA will provide an agreed upon number of revenue hours on established routes for each day UNCW is in session during the fall, spring and summer semesters. Service for the annual beach blast is also included in this agreement. It is intended that the bus service shall operate on days that UNCW is in session between the hours of 7:00 a.m. to 6:40 p.m. Any service to extend beyond 6:40 p.m. shall be at a rate to be agreed by the parties, but not to exceed $57.80 (fifty-seven dollars and eighty cents) per vehicle revenue hour (premium rate) plus or minus the fuel escalator/de-escalator outlined in Section 4(d) when applicable. The bus service routes and operating schedules may be modified upon agreement of the parties in order to maximize the use of the shuttle buses. Changes to the routes and or operating schedules by either party will require 30 day notice. (b) CFPTA will provide all vehicles and signage necessary for the operation of the bus service routes and shall maintain such vehicles in good operating condition and in accordance with all applicable state and federal rules, laws, statutes, regulations and safety standards for common carriers. UNCW recognizes their responsibility to assist the CFPTA in addressing the current and future capital costs of vehicle replacement for the UNCW shuttle buses. For fiscal year 2015-2016, UNCW agrees to provide the 20% funding to replace two (2) shuttle buses. The current estimate to replace a vehicle is $140,000 (one-hundred forty thousand dollars). The UNCW contribution of 20% equals $28,000 (twenty-eight thousand dollars) per vehicle for a total of $56,000 (fifty-six thousand dollars). This cost will be included in the hourly rate at $3.24 (three dollars and twenty four cents) per hour, based on 17,300 of vehicle revenue hours of service. CFPTA will be responsible for locating both Federal and State funds for vehicle replacement. Federal and State CFPTA/UNCW Contract 2of 10 Rev. 002 CFPTA Agenda Packet 07/23/201526 funding opportunities vary from year to year. Based on Federal and State funding opp intent to replace 10 vehicles as follows: 2015 (2); 2016 (3); 2017 (3); 2018 (2). In the event federal funding is not available based on this replacement total. Shuttle buses used predominately on UNCW routes are branded with a mutually agreed upon UNCW decal on the window(s) located at the rear of the vehicle. The above mentioned shuttle buses will be modified with increased UNCW branding. Brand design and placement location on the vehicle will be mutually agreed upon by both parties. UNCW agrees to pay for 100% of the branding costs and replacement costs for any decal that has been damaged beyond repair. (c) CFPTA shall provide all necessary personnel for the operation of the bus service, and drivers shall be properly and currently licensed. During the term of this Agreement, CFPTA will maintain records on ridership of the bus service. Ridership data for off campus bus service will be recorded and provided to UNCW on a monthly basis. Ridership data for on campus bus service will be recorded on an hourly basis and presented to UNCW on a monthly basis. With recognition that the successful performance of this contract is dependent on favorable response from the users, CFPTA shall meet bi-annually, at a minimum, with the appropriate campus authority to effect adjustments in operations and shall cooperate at all times to maintain maximum efficiency and reliability and good public relations with students, faculty, and staff. 2. Eligibility The bus service is open to members of the public who pay the established fare. Any user, including UNCW students and faculty, requesting to utilize the bus service at no cost must present the appropriate eligibility requirement to operations staff when boarding the shuttle bus. 3. Term st This Agreement shall be effective on the 1 day of July, 2015 and shall extend until June 30, 2016, unless sooner terminated as provided herein. UNCW shall have the option to extend this agreement by providing CFPTA written notice of the exercise of each option at least sixty (60) days prior to the commencement of the one year CFPTA/UNCW Contract 3of 10 Rev. 002 CFPTA Agenda Packet 07/23/201527 extension term. Any extension shall be on the same terms and conditions as set forth herein. Extension pricing, if exercised, shall be by mutual agreement of the parties. 4. Payment for Services For the services provided herein, UNCW shall pay CFPTA the following amounts: (a) For the period of July 1, 2015 through June 30, 2016, UNCW agrees to pay CFPTA the amount of$49.54 (forty nine dollars and fifty four cents) per vehicle revenue hours comprised of $46.30 (forty six dollars and thirty cents) (base rate), per vehicle revenue hour for the mutually agreed upon 17,300 of service hours, plus $3.24 (three dollars and twenty four cents) per vehicle revenue hour for capital replacement This rate applies to vehicle revenue hours of no less than 17,000 and up to 18,600, plus or minus the fuel escalator/de-escalator outlined in Section 4d. Revenue hours in excess of 18,600 vehicle revenue hours will be billed as outlined in Section 4(c) of this agreement. (b) Should the parties agree to exercise any extension that exceeds 18,600 in vehicle revenue hours as indicated in 4(a), the rate will be at a mutually agreed upon amount per revenue hour. On or before March 1 of each year of any extension of this Agreement, CFPTA shall provide UNCW with an estimate of UNCW's share of the cost of the bus service for the upcoming year. Upon agreement, such amount shall be set forth in a written amendment to this Agreement prior to the commencement of the extension term. The agreed upon amount shall be paid as set forth herein. In the event that UNCW and CFPTA do not reach agreement on the amount of UNCW's payment for the bus service by June 30, this Agreement shall not be extended. A retainer of $150,000 payable on August 1, 2015 by UNCW is a requirement of this agreement. The retainer will be used to assist in meeting the operating cash flow needs of the Authority related to UNCW services, from August 2015 through June 2016. The $150,000 retainer will be used to offset any billings for the months of April 2016 through June 2016, with UNCW making up any shortage after applying the retainer towards these billings. Any unused retainer will be returned to UNCW along CFPTA/UNCW Contract 4of 10 Rev. 002 CFPTA Agenda Packet 07/23/201528 with the final June 2016 billing. All bills are due and payable twenty (20) days after the bill date with a late payment fee of .02%. One waiver will be granted on any past due bill. CFPTA shall bill UNCW prior to the payment due date at the rate of $1.00 per ride based on the ridership data for the period since the last billing date. Any difference between the billed amount based on ridership and the amount due shall be paid by UNCW as a program subsidy. (c) This agreement is for a minimum of 17,000 and a maximum of 18,600 vehicle revenue hours at the base rate detailed in Section 4(a) for the period beginning July 01, 2015 and ending June 30, 2016. Service in excess of 18,600 vehicle revenue hours will be billed at a rate of $57.80 (fifty-seven dollars and eighty cents) per vehicle revenue hour (premium rate) plus or minus the fuel escalator/de-escalator outlined in Section 4(d) when applicable. Any service exceeding 18,600 vehicle revenue hours must be requested in writing two weeks prior to the date the service is needed. Fuel Escalator/De-escalator (d) . The base rate includes all costs for the service including fuel up to $3.00 per gallon. Fuel costs above $3.00 per gallon will result in an additional charge to the base rate of twenty-eight point three cents ($0.283) per hour for every ten cents ($0.10) over three dollars thirty cents ($3.00) per gallon of ultra-low sulfur diesel fuel as determined by the North Carolina Department of Administration Purchasing and Contract Division daily fuel pricing contract number 405Q for ultra-low sulfur diesel fuel. The fuel escalator will be determined on the first day of the month for the month billed (i.e. July 01 for invoicing due July 30). The URL for contract 405Q at the time of this agreement is: http://www.doa.nc.gov/pandc/405q.pdf. Fuel costs below three dollars and thirty cents ($3.00) per gallon of ultra-low sulfur diesel fuel will result in a credit to the base rate of twenty-eight point three cents ($0.283) per hour for every ten cents ($0.10) below three dollars thirty cents ($3.00) per gallon of fuel as determined by the North Carolina Department of Administration Purchasing and Contract Division daily fuel pricing contract number 405Q for ultra-low sulfur diesel fuel. The fuel de-escalator will be determined on the first day of the month for the month billed (i.e. July 01 for invoicing due July 30). The URL for contract CFPTA/UNCW Contract 5of 10 Rev. 002 CFPTA Agenda Packet 07/23/201529 405Q at the time of this agreement is: http://www.doa.nc.gov/pandc/405q.pdf. (e) A Customer Service Bonus of 1% shall be paid to CFPTA upon invoice, when all of the following customer service standards have been met. The CFPTA will maintain the following customer service standards: (i) On-time performance will be measured and documented on a monthly basis and said documentation supplied to the UNCW within 10 calendar days following the close of each month. An on-time performance rate of 90% or higher for all UNCW routes will be considered satisfactory. (ii) 95% of customer complaints responded to within 24 hours, or one full business day, of acknowledged receipt. (iii) The AVL bus tracking system shall be fully operational 95% of the time. 5. Inclement Weather In the event classes and bus service must be cancelled as a result of inclement weather, UNCW must notify the CFPTA in writing by the close of business, no later than 5:00 pm, the day prior to the service cancellation to avoid any incurred operational charges. Any service cancellation notifications provided in writing after the 5:00 pm time frame shall be subject to the appropriate operational charges should any be incurred. In the event classes and bus service is cancelled, UNCW may request bus service be provided during scheduled make-up hours. Bus service make-up hours must be requested in writing two weeks prior to the date the service is needed. Make-up hours conducted Monday thru Friday will be billed at a rate of $49.54 (base rate) per vehicle revenue hour. Make-up service hours conducted on Saturday or Sunday will be billed at a rate of $57.80 (premium rate) per vehicle revenue hour. The CFPTA reserves the right to cancel service at its sole discretion when conditions warrant. 6. Insurance CFPTA shall provide insurance as required by State laws or regulations for the protection of vehicles, passengers and personnel. All insurance claims or inquiries shall be handled directly through CFPTA. 7. Advertising Advertising on the exterior of the shuttle buses used predominately on UNCW CFPTA/UNCW Contract 6of 10 Rev. 002 CFPTA Agenda Packet 07/23/201530 Advertising Policy. UNCW shall be provided the same advertising opportunities as federal regulations prohibit the CFPTA from exclusive advertising. 7. Compliance with Law CFPTA shall comply with all applicable laws, ordinances, codes, rules and regulations in performing the services called for in this agreement. In connection with the performance of this agreement, CFPTA agrees not to discriminate against the beneficiary or recipient of the services provided by this agreement, or against any employee or applicant for employment on the basis of race, color, creed, national origin, age, ethnic background, sex or disability. 8. No Liability for Failure It is understood and agreed that CFPTA shall not have any liability to adequately or properly perform its obligations under this agreement based on any of the following events or occurrences: (a) Adverse weather conditions that would create hazardous driving conditions; (b) Shortages of fuels or lubricants beyond the control of CFPTA; (c) Interruptions to service caused by labor dispute; or (d) War, riot, revolution, or Act of God. (e) Loss of funding from FTA, NCDOT or City of Wilmington 9. No Agency or Employment This is an agreement for the provision of transit services to UNCW. Nothing herein shall be construed to make either party the agent or employer of the other or to make employees of either party the employees or agents of the other for any purpose. 10. Termination (a) This agreement may be terminated by either party without cause upon ninety (90) days written notice to the other party. (b) If either party fails to keep and perform each and all of the covenants contained herein, then and in that event, the other party, after notifying the non- conforming party not less than thirty (30) days in advance and upon the failure of the CFPTA/UNCW Contract 7of 10 Rev. 002 CFPTA Agenda Packet 07/23/201531 other party to comply within such period, may at its option either terminate this agreement or maintain an action in a court of competent jurisdiction for damages, specific performance or injunctive relief. It is agreed that either party's failure to insist upon the strict performance of any provision of this agreement or to exercise any right based upon a breach thereof, or the acceptance of any performance during such breach, shall not constitute a waiver of any rights under this agreement. 11. Entire Agreement; Amendment This agreement constitutes the entire understanding of the parties. This agreement may be amended or modified upon mutual agreement of the respective parties, provided that any such amendment shall be reduced to writing and executed by both parties. 12. Binding Effect This agreement shall be binding upon the heirs, successors, assigns, agents, officials, employees, independent contractors, and subcontractors of the parties. 13. Continuing obligation The parties will make and execute all further instruments and documents to further the purposes and intent of this agreement. 14. Reference and interpretation Use of the masculine herein includes the feminine and neuter; singular includes plural; and captions and headings are inserted for convenience of reference and do not define, describe, extend or limit the scope or intent of the agreement. All of the terms and conditions contained herein shall be interpreted in accordance with the laws of the State of North Carolina. In the event of a conflict between the various terms and conditions contained herein or between these terms and other applicable provisions, then the more particular shall prevail over the general and the more stringent or higher standard shall prevail over the less stringent or lower standard. 15. Saving If any section, subsection, paragraph, sentence, clause, phrase or portion of this agreement is for any reason held invalid, unlawful, or unconstitutional by any court of competent jurisdiction, shall portions shall be deemed severable and such holdings shall not affect the validity of the remaining portions hereof. CFPTA/UNCW Contract 8of 10 Rev. 002 CFPTA Agenda Packet 07/23/201532 IN WITNESS WHEREOF, UNCW has caused this agreement to be duly executed in its name by its Chancellor and the Cape Fear Public Transportation Authority has caused this agreement to be duly executed in its name and behalf through its Chairman and its name affixed and attested to. University of North Carolina at Wilmington ____________________________________ By: Title: seal) ( ATTEST: _____________________________________ Name: Title: Cape Fear Public Transportation Authority _______________________________ Jeff Petroff Chairman seal) ( ATTEST: _____________________________________ Don Betz Secretary APPROVED AS TO FORM: _____________________________________ Charlotte Noel Fox Attorney, CFPTA CFPTA/UNCW Contract 9of 10 Rev. 002 CFPTA Agenda Packet 07/23/201533 This instrument has been pre-audited in the manner required by the Local Government Budget and Fiscal Control Act. _____________________________________ Joseph Mininni, CPA Director of Finance and Administration, CFPTA STATE OF NORTH CAROLINA COUNTY OF NEW HANOVER I, the undersigned Notary Public, do hereby certify that ____________________ personally came before me this day and acknowledged he/she is ___________________ of the University of North Carolina at Wilmington and that, by authority duly given and as the act of the constituent institution, the foregoing instrument was signed in its name by its Chancellor. WITNESS my hand and notarial seal, this the ______day or _______________, 20 ____. _____________________________________ Notary Public My Commission Expires: _____________________________________ STATE OF NORTH CAROLINA COUNTY OF NEW HANOVER I, the undersigned Notary Public, do hereby certify that David Scheu personally came before me this day and acknowledged he is Secretary of the Cape Fear Public Transportation Authority and that, by authority duly given and as the act of the constituent institution, the foregoing instrument was signed in its name by its Chairman. WITNESS my hand and notarial seal, this the ______day or _______________, 20 ____. _____________________________________ Notary Public My Commission Expires: __________________________________ CFPTA/UNCW Contract 10of 10 Rev. 002 CFPTA Agenda Packet 07/23/201534 ______________________________________________________ DISADVANTAGED BUSINESS ENTERPRISE PROGRAM Cape Fear Public Transportation Authority for Wave Transit July 2015 ______________________________________________________ CFPTA Agenda Packet 07/23/201535 TABLE of CONTENTS POLICY STATEMENT 3 Section 26.1, 26.23 Objectives/Policy Statement 3 SUBPART A GENERAL REQUIREMENTS 4 Section 26.1 Objectives 4 Section 26.3 Applicability 4 Section 26.5 Definitions 4 Section 26.7 Non-discrimination Requirements 4 Section 26.11Record Keeping Requirements 4 Section 26.13Federal Financial Assistance Agreement 5 SUBPART B - ADMINISTRATIVE REQUIREMENTS 6 Section 26.21DBE Program Updates 6 Section 26.23Policy Statement 6 Section 26.25DBE Liaison Officer (DBELO) 6 Section 26.27DBE Financial Institutions 7 Section 26.29Prompt Payment Mechanisms 7 Section 26.31Directory 7 Section 26.33Overconcentration 7 Section 26.35Business Development Programs 7 Section 26.37Monitoring and Enforcement Mechanisms 8 Section 26.39 Fostering Small Business Participation 8 SUBPART C GOALS, GOOD FAITH EFFORTS, AND COUNTING 9 Section 26.43Set-asides or Quotas 9 Section 26.45Overall Goals 9 Section 26.47 Goal Setting and Accountability 9 Section 26.49Transit Vehicle Manufacturers Goals 10 Section 26.51(a-c)Breakout of Estimated Race-Neutral & Race-Conscious Participation 10 Section 26.51(d-g)Contract Goals 10 Section 26.53Good Faith Efforts Procedures 10 Section 26.55Counting DBE Participation 13 SUBPART D CERTIFICATION STANDARDS 13 Section 26.61 26.73 Certification Process 13 SUBPART E CERTIFICATION PROCEDURES 14 Section 26.81Unified Certification Programs 14 Section 26.83Procedures for Certification Decisions 14 Section 26.85Interstate Certification 15 Section 26.87 15 Section 26.89Certification Appeals 15 SUBPART F COMPLIANCE AND ENFORCEMENT 16 Section 26.109Information, Confidentiality, Cooperation 16 ATTACHMENTS 16 2 CFPTA Agenda Packet 07/23/201536 UNITED STATES DEPARTMENT OF TRANSPORTATION DBE PROGRAM 49 CFR PART 26 Cape Fear Public Transportation Authority for Wave Transit Wilmington NC POLICY STATEMENT Section 26.1, 26.23 Objectives/Policy Statement The Cape Fear Public Transportation Authority Wave Transit) has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (USDOT) 49 CFR Part 26. Wave Transit has received Federal financial assistance from USDOT, and as a condition of receiving this assistance, Wave Transit has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of Wave Transit to ensure that DBEs, as defined in 49 CFR Part 26, have an equal opportunity to receive and participate in USDOTassisted contracts. It is also the policy: 1.To ensure nondiscrimination in the award and administration of USDOT-assisted contracts; 2.To create a level playing field on which DBEs can compete fairly for USDOT-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 USDOT assisted contracts; 6.To assist the development of firms that can compete successfully in the market place outside the DBE Program. Megan Matheny, Director of Planning and Development, Wave Transit, 505 Cando Drive Wilmington, NC 28405, (910)-202-2057has been designated as the DBE Liaison Officer (DBELO). In that capacity, the Director of Planning and Development 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 Wave Transit in their financial assistance agreements with the US Department of Transportation. Wave Transit has disseminated this policy statement to its board members and all of the components of the organization. Wave Transit will distribute this statement to DBE and non-DBE business communities that perform work for Wave Transit on USDOT-assisted contracts in the following manner: 1. This Policy statement will be made available at pre-bid conferences, and/or outreach meetings conducted by Wave Transit. 2. Copies of the Policy statement will be mailed to all of the agencies/organizations consulted during the development of the DBE goal methodology. This will make Wave Transits policy available to additional small, minority, and women business development agencies. ______________________________ ________________ Jeffrey Petroff, Chairman Date Cape Fear Public Transportation Authority, Board of Directors 3 CFPTA Agenda Packet 07/23/201537 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 Wave Transit is a recipient of federal transit funds authorized by 49 U.S.C. 47101, et seq. Section 26.5 Definitions Wave Transit will adopt the definitions contained in Section 26.5 for this program. Section 26.7 Non-discrimination Requirements Wave Transit 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, Wave Transit 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 USDOT: 26.11(b) Wave Transit will report DBE participation to USDOT as follows: Wave Transit will submit semi-annually the Uniform Report of DBE Awards or Commitments and Payments, as modified for use by FTA recipients. Bidders List: 26.11(c) Wave Transit will create and maintain a bidders list, consisting of information about all DBE and non-DBE firms that bid or quote on USDOT-assisted contracts. The purpose of this list will include the name, address, DBE non-DBE status, age, and annual gross receipts of firms. Wave Transit will collect this information in the following ways: 4 CFPTA Agenda Packet 07/23/201538 Include a contract clause requiring prime bidders to report the names/addresses, and a. possibly other information, of all firms who quote to them on subcontracts. Include a notice in all solicitations, and otherwise widely disseminated, request to firms b. quoting on subcontracts to report the approved information directly to the DBELO for inclusion in the b Request the above information from all potential bidders who contact Wave Transit seeking c. bid information, and/or who attend pre-bid meetings, conferences, etc., at Wave Transit. Section 26.13 Federal Financial Assistance Agreement Wave Transit has signed the following assurances, applicable to all USDOT-assisted contracts and their administration: Assurance: 26.13(a) The Cape Fear Public Transportation Authority Wave Transitshall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any USDOT-assisted contract; or in the administration of its DBE Program or the requirements of 49 CFR Part 26. Wave Transit shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of USDOT assisted contracts. Wave Transit Program, as required by 49 CFR Part 26 and as approved by USDOT, 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 Wave Transit of its failure to carry out its approved program, the Department may impose sanction as provided for under 49 CFR 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 Wave Transit will ensure that the following clause is placed in every USDOT-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 USDOT 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. 5 CFPTA Agenda Packet 07/23/201539 SUBPART B - ADMINISTRATIVE REQUIREMENTS Section 26.21 DBE Program Updates Wave Transit will continue to carry out this program until all funds from USDOT financial assistance have been expended, and will provide to USDOT 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) Wave Transit has designated the following individual as its DBE Liaison Officer: Megan Matheny, Director of Planning and Development, Wave Transit, 505 Cando Drive Wilmington, NC 28405, (910)-202-2057 In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that Wave Transit complies with all provisions of 49 CFR Part 26. The DBELO has direct, independent access to Wave Transit concerning DBE program matters. An organization Attachment 1 to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO will administer the program. The duties and responsibilities include the following: 1.Gathers and reports statistical data and other information as required by USDOT. 2.Reviews third party contracts and purchase requisitions for compliance with this program. 3.Works with all departments to set overall triennial 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 Wave Transitinment and identifies ways to improve progress. 7.Participates in pre-bid meetings. 8.Advises Wave Transit on DBE matters and achievement. 9.Chairs the DBE Advisory Committee (when formed). 10.Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 11.Plans and participates in DBE training seminars. 12.Provides outreach to DBEs and community organizations to advise them of opportunities. 6 CFPTA Agenda Packet 07/23/201540 Section 26.27 DBE Financial Institutions It is the policy of Wave Transit to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, and to make reasonable efforts to use these institutions. Section 26.29 Prompt Payment Mechanisms Wave Transit will include the following clause in each USDOT-assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than thirty (30) days from the receipt of each payment the prime contract receives from Wave Transit. The prime contractor agrees further to return retainage payments to each subcontractor within thirty (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 Wave Transit. This clause applies to both DBE and non-DBE subcontracts. Section 26.31 Directory Wave Transit uses the North Carolina Unified Certification Program (NC UCP) DBE Directory, maintained by the North Carolina Department of Transportation (NCDOT). The Directory lists he type of work the firm has been certified to perform as a DBE. In addition, the Directory lists each type of work for which a firm is eligible to be certified by using the most specific NAICS code available to describe each type of work. The North Carolina Department of Transportation updates the Directory at least annually, and periodically, as necessary. The Directory is available for review by contacting: Megan Matheny, Director of Planning and Development, Wave Transit, 505 Cando Drive Wilmington, NC 28405, (910)-202-2057 has. The Directory may be found at . https://partner.ncdot.gov/VendorDirectory/default.html Section 26.33 Overconcentration Wave Transit has not identified that overconcentration exists in the types of work that DBEs perform. Section 26.35 Business Development Programs Wave Transit has not established a business development program. 7 CFPTA Agenda Packet 07/23/201541 Section 26.37 Monitoring and Enforcement Mechanisms Wave Transit will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26: 1.Wave Transit will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that USDOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the USDOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. 2.Wave Transit will consider similar action under its own legal authorities, including responsibility determinations in future contracts. Attachment 3 lists the regulations, provisions, and contract remedies available to Wave Transit in the event of non-compliance with the DBE regulations by a participant in procurement activities. 3.Wave Transit will also provide a monitoring and enforcement mechanism to verify that work committed to DBEs at contract award is actually performed by DBEs. This will be accomplished by the following means: a.Review bid package documentation thoroughly, obtaining clarification, if necessary. b.Review monthly reports regarding employment as well as DBE participation to ensure adherence to plan as represented in bid documents and as stipulated in this program. c.Monitor progress of payments to DBEs through monthly reports from prime contractors. d.Monitor progress of DBEs work through on-site visits and communication with DBEs. 4.Wave Transit will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. Section 26.39 Fostering Small Business Participation Wave Transit has created an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors. This element has been submitted to the FTA. The program element is included as Attachment 9. Wave Transit will actively implement the program elements to foster small business participation. Doing so is a requirement of good faith implementation of our DBE program. 8 CFPTA Agenda Packet 07/23/201542 SUBPART C GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 26.43 Set-asides or Quotas Wave Transit does not use quotas in any way in the administration of this DBE program. Section 26.45 Overall Goals A description of the methodology to calculate the overall goal and the goal calculation(s) can be found in Attachment 4 to this program. This section of the program will be updated on at least a triennial basis. In accordance with Section 26.45(f), Wave Transit will submit its triennial overall goal to USDOT on August 1 of each goal year. Before establishing its overall goal, Wave Transit will consult with minority, women's and general contractor groups, community organizations, and other officials or organizations to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and Wave Transit Following this consultation, Wave Transit will publish a notice of the proposed overall goals, informing the public that the proposed goal and its rational are available for inspection and comment during normal business hours at Wave Transit for 30 days following the date of the notice, Normally, Wave Transit will issue this notice by June 1 of the reporting period of the goal. The notice must include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. Wave Transits overall goal submission to USDOT will include a summary of information and comments received during this public participation process and responses, if any comments are received. Wave Transit will begin using the overall goal on October 1 of the reporting period, unless it has received other instructions from USDOT. If Wave Transit establishes a goal on a project basis, it will begin using the goal by the time of the first solicitation for a USDOT-assisted contract for the project. Section 26.47 Goal Setting and Accountability If the awards and commitments shown on Wave Transit Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall applicable to that fiscal year, Wave Transit will: 1.Analyze in detail the reason for the difference between the overall goal and the actual awards/commitments; 9 CFPTA Agenda Packet 07/23/201543 2.Establish specific steps and milestones to correct the problems identified in the analysis; an 3.Maintain a copy of the plan on file for at least three (3) years. Section 26.49 Transit Vehicle Manufacturers Goals Wave Transit will require each transit vehicle manufacturer (TVM), as a condition of being authorized to bid on DOT/FTA assisted transit vehicle procurements, to certify that they have complied with the requirements of this section. Alternatively, Wave Transit 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 TVM complying with this element of the program. Section 26.51(a-c) Breakout of Estimated Race-Neutral & Race-Conscious Participation The breakout of estimated race-neutral and race-conscious participation can be found in Attachment 4 to this program as part of Wave Transit. This section of the program will be updated when the goal calculation is updated. Section 26.51(d-g) Contract Goals Wave Transit will use contract goals to meet any portion of the overall goal it does not project being able to meet using race-neutral means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the overall goal that is not projected to be met through the use of race-neutral means. Wave Transit will establish contract goals only on those USDOT-assisted contracts that have subcontracting possibilities. Wave Transit 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). Wave Transit will express their contract goals as a percentage of the federal share of a USDOT- assisted contract. Section 26.53 Good Faith Efforts Procedures Demonstration of good faith efforts (26.53(a) & (c)) The obligation of the bidder is to make good faith efforts to meet the DBE goal. The bidder 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 49 CFR Part 26. The DBELO is responsible for determining whether a bidder who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive. 10 CFPTA Agenda Packet 07/23/201544 Wave Transit will ensure that all information is complete and accurate and adequately documents the bidders before it commits to the performance of the contract by the bidder. Information to be submitted (26.53(b)) Wave Transit treats responsiveness. Each solicitation for which a contract goal has been established will require the bidders 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. This information will be collected using the forms found in Attachment 5. Administrative reconsideration (26.53(d)) Within five (5) days of being informed by Wave Transit that it is not responsive because it has not documented sufficient good faith efforts, a bidder may request administrative reconsideration. Bidders should make this request in writing to the following reconsideration official: Albert Eby, Executive Director, Wave Transit, 505 Cando Drive Wilmington, NC 28405, (910)-343-0106. The reconsideration official will not have played any role in the original determination that the bidder did not document sufficient good faith efforts. As part of this reconsideration, the bidder 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 will have the opportunity to meet in person with Wave Transit administrative reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. Wave Transit will send the bidder 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 US Department of Transportation. 11 CFPTA Agenda Packet 07/23/201545 Good Faith Efforts when a DBE is replaced on a contract (26.53(f)) Wave Transit requires that prime contractors not terminate a DBE subcontractor listed on a bid/contract with a DBE contract goal without Wave Transit prior written consent. Prior termination of the DBE firm, as established by Section 26.53(f)(3) of the DBE regulation. Before transmitting to Wave Transit its request to terminate, the prime contractor must give notice in writing to the DBE of its intent to do so. A copy of this notice must be provided to Wave Transit prior to consideration of the request to terminate. The DBE will then have five (5) days to respond and advise Wave Transit of why it objects to the proposed termination. Wave Transit will require the prime 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. Wave Transit will require the prime contractor to notify the DBE Liaison O and provide reasonable documentation. In this situation, Wave Transit will require the prime contractor to obtain 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, Wave Transit 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 the Cape Fear Public Transportation Authority, as owner of Wave Transit, 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, including those who qualify as a DBE. A DBE contract goal of ____ percent has been established for this contract. The bidder shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26, to meet the contract goal for DBE participation in the performance of this contract. The bidder will be required to submit the following information: (1) The names and addresses of DBE firms that will participate in the contract; 12 CFPTA Agenda Packet 07/23/201546 (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 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); (6) If the contract goal is not met, evidence of good faith efforts. Section 26.55 Counting DBE Participation Wave Transit will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. SUBPART D CERTIFICATION STANDARDS Section 26.61 26.73 Certification Process Wave Transit will refer all matters pertaining to certification to the North Carolina Department of Transportation in accordance with the North Carolina UCP program. The North Carolina Department of Transportation will use the certification standards of Subpart D of Part 26 to determine the eligibility of firms to participate as DBEs in USDOT-assisted contracts. To be certified as a DBE, a firm must meet all certification eligibility standards. The North Carolina Department of Transportation will make all certification decisions based on the facts as a whole. For information about the certification process or to apply for certification, firms should contact: North Carolina Department of Transportation Contractual Services Unit 1509 Mail Service Center Raleigh, NC 27699 (919) 733-5616 http://www.ncdot.gov/business/ocs/dbe/ The certification application forms and documentation requirements are found in Attachment 6 to this program. 13 CFPTA Agenda Packet 07/23/201547 SUBPART E CERTIFICATION PROCEDURES Section 26.81 Unified Certification Programs Wave Transit is a member of the North Carolina Unified Certification Program (UCP) administered by the North Carolina Department of Transportation. The UCP will meet all of the requirements of this section. North CarolinaUCP program uses the 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 USDOT/FTA-assisted contracts. Under the North Carolina UCP Program, only North Carolina Department of Transportation will conduct DBE certifications. To be certified as a DBE, a firm must meet all certification eligibility standards. Section 26.83 Procedures for Certification Decisions Re-certifications 26.83(a) & (c) Under the North Carolina UCP, the North Carolina Department of Transportation will review the eligibility of DBEs every three years, on a case-by-case basis, to make sure that they meet the standards of Subpart D of Part 26. Under the UCP, the North Carolina Department of Transportation requires all DBEs, every year on the anniversary of the date of certification, to inform them, in a written affidavit, of any change in its circumstances affecting its ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26 or of any material changes in the information prov The North Carolina Department of Transportation also requires all DBEs it has certified to requirements of 26.83(j). The text of this affidavit is below: I swear (or affirm) that there have been no changes in the circumstances of [name of DBE firm] affecting its ability to meet the size, disadvantaged status, ownership, or control requirements of 49 CFR part 26. There have been no material changes in the information provided with [name of DBE application for certification, except for any changes about which you have provided written notice to the North Carolina UCP under 26.83(j). [Name of firm] meets Small Business Administration (SBA) criteria for being a small business concern and its average annual gross receipts (as defined by SBA 22.41 million. The North Carolina Department of Transportation requires DBEs to submit with this affidavit 14 CFPTA Agenda Packet 07/23/201548 The North Carolina Department of Transportation will notify all currently certified DBE firms of these obligations prior to their renewal by mail. This notification will inform DBEs that to knows or should know that he or she, or the firm, fails to meet a Part 26 eligibility requirement (e.g. personal net worth), the obligation to submit a notice of change applies. Section 26.85 Interstate Certification As of January 1, 2012, the North Carolina Department of Transportation will accept DBE certifications obtained by DBEs in their home states, unless it finds good cause not to accept them. If the North Carolina Department of Transportation finds good cause not to accept the certification of a DBE in its home state, the North Carolina Department of Transportation will follow the procedures as outlined in Section 26.85. Section 26.87 In the event the Wave Transit proposes Wave Transit will follow procedures consistent with 26.87. Attachment 7 to this program sets forth these procedures in detail. To ensure separation of functions in a de-certification, Wave Transit has determined that the North Carolina Department of Transportation will serve as the decision-maker in de- certification proceedings. Wave Transit has that the North Carolina Department of Transportation will not have participated in any way in the de-certification proceeding against the firm (including in the decision to initiate such a proceeding). Section 26.89 Certification Appeals Any firm or complainant may appeal the decision in a certification matter to USDOT. Such appeals may be sent to: US Department of Transportation Office of Civil Rights Certification Appeals Branch 1200 New Jersey Ave. SE West Building, 7th Floor Washington DC 20590 The North Carolina UCP will promptly implement any USDOT certification appeal decisions affecting the eligibility of DBEs for USDOT-assisted contracting. 15 CFPTA Agenda Packet 07/23/201549 SUBPART F COMPLIANCE AND ENFORCEMENT Section 26.109 Information, Confidentiality, Cooperation Wave Transit will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. Notwithstanding any contrary provisions of state or local law, Wave Transit will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than USDOT) without the written consent of the submitter. Monitoring Payments to DBEs Wave Transit will require prime contractors to maintain records and documents of payments to DBEs for three (3) years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of Wave Transit or USDOT. This reporting requirement also extends to any certified DBE subcontractor. Wave Transit 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 states in the schedule of DBE participation. ATTACHMENTS Attachment 1 Organizational Chart Attachment 2 DBE Directory Attachment 3 Monitoring and Enforcement Mechanisms Attachment 4 Overall Goal Calculation; Breakout of Estimated Race-Neutral & Race-Conscious Participation Attachment 5 Form 1 & 2 for Demonstration of Good Faith Efforts Attachment 6 Certification Application Forms Attachment 7 Attachment 8 Regulations: 49 CFR Part 26 Attachment 9 Fostering Small Business Participation 16 CFPTA Agenda Packet 07/23/201550 Attachment 1 Organizational Chart CFPTA Agenda Packet 07/23/201551 Cape Fear Public Transportation Authority Wave Transit Wilmington, North Carolina Organizational Chart Cape Fear Public Transporation Authority Executive Director Director of Planning and Development DBELO CFPTA Agenda Packet 07/23/201552 Attachment 2 DBE Directory CFPTA Agenda Packet 07/23/201553 https://partner.ncdot.gov/VendorDirectory/default.html CFPTA Agenda Packet 07/23/201554 Attachment 3 Monitoring and Enforcement Mechanisms CFPTA Agenda Packet 07/23/201555 Cape Fear Public Transportation Authority 1.All participants are hereby notified that pursuant to Title 49 Code of Federal Regulations, United States Department of Transportation, Part 26 and the Disadvantaged Business Enterprise Participation Program for the Cape Fear Public Transportation Authority Wave Transit, they must affirmatively ensure that, in any contract entered into with the Cape Fear Public Transportation Authority, DBEs will be afforded equal opportunity to participate in subcontracting activities. It is the policy of Wave Transit to ensure that DBEs, as defined in Part 26, have an equal opportunity to receive and participate in USDOT-assisted contracts. It is further the policy of Wave Transit to ensure nondiscrimination in the award and administration of USDOT-assisted contracts. 2.All contracts between Wave Transit and a Contractor shall contain an appropriate provision to the effect that failure by the Contractor to comply with Wave Transit DBE Program shall constitute a breach of contract, exposing the Contractor to a potential termination of the contract or other appropriate remedy, including withholding of funds, until such time as the contractor complies with all the DBE requirements of this program. Under authority granted by North Carolina law, Wave Transit may impose liquidated damages, contract suspension, or even contract termination. 3.All documentation submitted at time of bid, as well as additional data provided by the successful bidder, is considered part of the contract documents. Any alterations, substitutions, deletions, etc., to data provided at time of submission of bid must have prior approval of Wave Transit DBE Liaison Officer. 4.Should a DBE firm not certified by the North Carolina Unified Certification Program be proposed by a potential contractor as a part of his/her DBE plan efforts, review and certification procedures consistent with 49 CFR Part 26 must be conducted prior to award of any contract. 5.In contracts with DBE contract goals, bids submitted which do not meet the DBE contract goals, and which do not show that a meaningful good faith effort was made to achieve the stated goals, will be considered non responsive bids, and bidders will be notified of the deficiency and given opportunity to appeal to the Administrative Reconsideration Official (49 CFR 26.53). The bidder will not be eligible for award of the contract until the appeal procedures are complete. The Administrative Reconsideration Official will make the determination on the sufficiency of the good faith efforts. 6.Wave Transit reserves the right to reject any or all bids, or to re-advertise for bids. Award, if made, will be to the lowest responsive and qualified bidder. A bid will not be considered responsive unless the bidder complies with Title 49 Code of the Federal Regulations, Part 26, and the Disadvantaged Business Enterprise Program of Wave Transit. CFPTA Agenda Packet 07/23/201556 7.Wave Transit shall require contractors to make good faith efforts to replace a DBE subcontractor that is terminated, or fails to complete its work on the contract for any reason, with another DBE subcontractor. If a DBE subcontractor is terminated, or fails to complete its work on the contract for any reason, the Contractor must notify Wave Transit immediately. These good faith efforts shall be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the established contract goal. Wave Transit shall approve all substitutions prior to contract award and during contract performance in order to ensure that the substitute firms are eligible DBEs. Additional information on Wave Transit Disadvantaged Business Enterprise Program can be obtained from the DBE Liaison Officer, Megan Matheny, Director of Planning and . Development, Wave Transit, 505 Cando Drive Wilmington, NC 28405, (910)-202-2057 8.Wave Transit will also implement a monitoring and enforcement mechanism to ensure that will provide for a running tally of actual DBE attainments (e.g., payments actually made to DBE firms), including a means of comparing these attainments to commitments. These mechanisms will include, but not be limited to, the following: a.Review bid package documentation thoroughly, obtaining clarification, if necessary. b.Review monthly reports regarding employment as well as DBE participation to ensure adherence to plan as represented in bid documents and as stipulated in this program. c.Monitor progress of payments to DBEs through monthly reports from prime contractors. d.Monitor progress of DBEs work through on-site visits and communication with DBEs. 9.Wave Transit will bring to the attention of the US Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that USDOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the USDOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. 10.Wave Transit also will consider similar action under its own legal authorities, including responsibility determinations in future contracts. In addition, Wave Transit will apply legal and contract remedies under state and local law. This includes, for example, applying liquidated damages, withholding payments, etc. 11.In its reports of DBE participation to the USDOT, Wave Transit will show both commitments and attainments, as required by the USDOT reporting form. Attachment 8 contains a link to 49 CFR Part 26, which describes federal regulations, provisions, and contract remedies available to Wave Transit in the event of non-compliance by a participant. 2 CFPTA Agenda Packet 07/23/201557 Attachment 4 Overall Goal Calculation CFPTA Agenda Packet 07/23/201558 #°∞• &•°≤ 0µ¢¨©£ 4≤°Æ≥∞Ø≤¥°¥©ØÆ 4 CFPTA Agenda Packet 07/23/201559 d/b/a -- I. A. - - - - B. County Bidders Percent Cumberland 1 3.0% Martin 1 3.0% Mecklenburg 2 6.1% Nash 1 3.0% .•∑ (°ÆØ∂•≤ 11 33.3% Wake 3 9.1% Market 19 57.6% Other 14 42.4% Total 33 100.0% CFPTA Agenda Packet 07/23/201560 C. - &)3#!, 9%!2 PROJECT ACTIVITY NAICS 0¨°ÆÆ©Æß !≥≥©≥¥°Æ£• Engineering 541330 "µ≥ 3¥Ø∞ !≠•Æ©¥©•≥ Concrete 238110 Engineering 541330 Services )4 - #µ≥¥Ø≠ #Ø≠∞µ¥•≤ 0≤Øß≤°≠≠©Æß 3•≤∂©£•≥ 541511 -Ø¥Ø≤ 6•®©£¨• 3µ∞∞¨©•≥ °Æ§ .•∑ 0°≤¥≥ &9 3®Ø∞ ≥µ∞∞¨©•≥ -•≤£®°Æ¥ 7®Ø¨•≥°¨•≤≥ 423120 -°≤´•¥©Æß #ØÆ≥µ¨¥©Æß 541613 -°≤´•¥©Æß °Æ§ Publishing -•§©° ≤•∞≤•≥•Æ¥°¥©∂•≥ 541840 3¥°¥©ØÆ•≤ /¶¶©£• 3µ∞∞¨©•≥ Wholesalers 424120 Pl°ÆÆ©Æß !≥≥©≥¥°Æ£• Engineering 541330 "µ≥ 3¥Ø∞ !≠•Æ©¥©•≥ Concrete 238110 Engineering 541330 Services )4 - #µ≥¥Ø≠ #Ø≠∞µ¥•≤ 0≤Øß≤°≠≠©Æß 3•≤∂©£•≥ 541511 -Ø¥Ø≤ 6•®©£¨• 3µ∞∞¨©•≥ °Æ§ .•∑ 0°≤¥≥ &9 3®Ø∞ ≥µ∞∞¨©•≥ -•≤£®°Æ¥ 7®Ø¨•≥°¨•≤≥ 423120 -°≤´•¥©Æß #ØÆ≥µ¨¥©Æß 541613 -°≤´•¥©Æß °Æ§ Publishing -•§©° ≤•∞≤•≥•Æ¥°¥©∂•≥ 541840 3¥°¥©ØÆ•≤ /¶¶©£• 3µ∞∞¨©•≥ Wholesalers 424120 0¨°ÆÆ©Æß !≥≥©≥¥°Æ£• Engineering 541330 "µ≥ 3¥Ø∞ !≠•Æ©¥©•≥ Concrete 238110 Engineering 541330 Services )4 - #µ≥¥Ø≠ #Ø≠∞µ¥•≤ 0≤Øß≤°≠≠©Æß 3•≤∂©£•≥ 541511 -Ø¥Ø≤ 6•®©£¨• 3µ∞∞¨©•≥ °Æ§ .•∑ 0°≤¥≥ &9 3®Ø∞ ≥µ∞∞¨©•≥ -•≤£®°Æ¥ 7®Ø¨•≥°¨•≤≥ 423120 -°≤´•¥©Æß #ØÆ≥µ¨¥©Æß 541613 -°≤´•¥©Æß °Æ§ Publishing -•§©° ≤•∞≤•≥•Æ¥°¥©∂•≥ 541840 3¥°¥©ØÆ•≤Æ§ /¶¶©£• 3µ∞∞¨©•≥ -•≤£®°Æ¥ /¶¶©£• 3µ∞∞¨©•≥ Wholesalers 424120 2 CFPTA Agenda Packet 07/23/201561 D. 238110 14 105 13.3% 10.6% 1.4% 423120 1 111 0.9% 3.9% 0.0% 424120 0 60 0.0% 16.5% 0.0% 541330 67 799 8.4% 29.6% 2.5% 541511 8 861 0.9% 19.8% 0.2% 541613 11 467 2.4% 9.7% 0.2% 541840 1 18 5.6% 9.7% 0.5% 1. 2. 238110 14 105 13.3% 4.8% 0.6% 423120 1 111 0.9% 4.2% 0.0% 424120 0 60 0.0% 17.7% 0.0% 541330 67 799 8.4% 31.4% 2.6% 541511 8 861 0.9% 21.2% 0.2% 541613 11 467 2.4% 10.4% 0.2% 541840 1 18 5.6% 10.4% 0.6% 238110 14 105 13.3% 4.8% 0.6% 1. 2. 2 CFPTA Agenda Packet 07/23/201562 238110 14 105 13.3% 4.7% 0.6% 423120 1 111 0.9% 4.2% 0.0% 424120 0 60 0.0% 17.4% 0.0% 541330 67 799 8.4% 31.4% 2.6% 541511 8 861 0.9% 21.3% 0.2% 541613 11 467 2.4% 10.5% 0.2% 541840 1 18 5.6% 10.5% 0.6% 1. 2. E. II. 2 CFPTA Agenda Packet 07/23/201563 A. - &9 6.23% 2.50% -3.73% &9 6.23% 8.60% 2.37% &9 6.23% 0.50% -5.73% &9 6.00% 10.40% 4.40% &9 6.00% 11.10% 5.10% Median 6.23% 8.60% 2.37% B. 7°∂• 4≤°Æ≥©¥ ®•¨§ ° ∞µ¢¨©£ ≠••¥©Æß ØÆ *µ¨ ∑°≥ ¥Ø ≥Ø¨©£©¥ ©Æ¶Ø≤≠°¥©ØÆ ¶≤Ø≠ ©Æ¥•≤•≥¥•§ ≥¥°´•®Ø¨§•≤≥ °¢Øµ¥ ¥®• §≤°¶¥ ßØ°¨Ẅ °≥ ∑•¨¨ °≥ ¥®• °∂°©¨°¢©¨©¥ Ø∞∞Ø≤¥µÆ©¥©•≥ ¶Ø≤ $"%≥Ẅ °Æ§ 7°∂• 4≤°Æ≥©¥©∞°¥©ØÆỳ 0¨•°≥• ≥•• ¥®• !∞∞•Æ§©∏ " ¶Ø≤ ¥®• ≠••¥©Æß °¥¥•Æ§•• ¨©≥¥ °Æ§ £Ø≠≠•Æ¥≥ỳ C.- 2 CFPTA Agenda Packet 07/23/201564 4°¢¨• &9 &9 &9 4.9% N/A 4.9% $12,504 &9 4.3% N/A 4.3% $10,481 &9 4.3% N/A 4.3% $10,622 4.5% $745,979 $33,608 - - III. ≠©ÆØ≤©¥ ∑Ø≠•Æی≥ °Æ§ ß•Æ•≤°¨ £ØÆ¥≤°£¥Ø≤ ß≤Øµ∞≥Ẅ £Ø≠≠µÆ©¥ Ø≤ Ø≤ß°Æ©∫°¥©ØÆ≥ - - 2 CFPTA Agenda Packet 07/23/201565 IV.-- - - 1. 2. -- - -- -- - - - - 2 CFPTA Agenda Packet 07/23/201566 - 2 CFPTA Agenda Packet 07/23/201567 A. 1. 2. 3.5Æ©¶Ø≤≠ 2•∞Ø≤¥ Ø¶ $"% #Ø≠≠©¥≠•Æ¥≥Κ!∑°≤§≥ °Æ§ 0° 2 CFPTA Agenda Packet 07/23/201568 !∞∞•Æ§©∏ "Ỳ 3¥°´•®Ø¨§•≤ -••¥©Æß -••¥©Æß ®•¨§ ØÆ *µly 15Ẅ Room. 7°∂• 4≤°Æ≥©¥ 3¥°´•®Ø¨§•≤ -••¥©Æß !¥¥•Æ§•• ,©≥¥ Name Organization/Company #®•≤ 5Æ©∂•≤≥©¥ $°≤ '≤•°¥•≤ !≥®•∂©¨¨• 2•ß©ØÆ°¨ !©≤∞Ø≤¥ !µ¥®Ø≤©¥ -•ß°Æ -°¥®•Æ 7°∂• 4≤°Æ≥©¥ Wilf≤•§ .©∏ØÆ +•Æ 7••§•Æ Ĩ !≥≥Ø£©°¥•≥ 1µ•≥¥©ØÆ≥Κ#Ø≠≠•Æ¥≥ 1.(Ø∑ §Ø•≥ 7°∂• 4≤°Æ≥©¥ ≤•°£® Øµ¥ ¥Ø $"%≥⅝ 7°∂• 4≤°Æ≥©¥ ∞µ¢¨©≥®•≥ ∞≤Ø™•£¥ ≥Ø¨©£©¥°¥©ØÆ≥ ©Æ ¨Ø£°¨ ≠°©Æ≥¥≤•°≠ °Æ§ ≠©ÆØ≤©¥ Æ•∑≥∞°∞•≤≥ỳ 2.Wh .!)3# £Ø§•≥ °≤• µ≥•§ ¢•£°µ≥• ¥®©≥ ©≥ ®Ø∑ ¥®• 53 #•Æ≥µ≥ "µ≤•°µ °Æ§ $"% §©≤•£¥Ø≤©•≥ classify ∑Ø≤´ °£¥©∂©¥©•≥ ¶Ø≤ $"%≥ °Æ§ °¨¨ ¶©≤≠≥ỳ 3.$Ø•≥ 7°∂• 4≤°Æ≥©¥ ≥•¥ ßØ°¨≥ ¶Ø≤ ©Æ§©∂©§µ°¨ ∞≤Ø™•£¥≥⅝ 7°∂• 4≤°Æ≥©¥ ≥•¥≥ ßØ°¨≥ ¶Ø≤ ©Æ§©∂©§µ°¨ ∞≤Ø™•£¥≥ ¢°≥•§ ØÆ °∂°©¨°¢©¨©¥ ©¥≥ £µ≤≤•Æ¥ ßØ°¨ỳ 4.)¶ ∞≤©≠• £ØÆ¥≤°£¥Ø≤≥ §Ø ÆØ¥ ≠••¥ ¥®• £ØÆ¥≤°£¥ ßØ°¨ °≤• ¥®• ¶°©¥® •¶¶Ø≤¥≥⅝ 9•≥Ẅ 7°∂• 4≤°Æ≥©¥ ≤•±µ©≤•≥ ∞≤©≠• £ØÆ¥≤°£¥Ø≤≥ ¥Ø ∞≤Ø∂©§• ßØØ§ ¶°©¥® •¶¶Ø≤¥ §Ø£µ≠•Æ¥°¥©ØÆ ∑©¥® ¥®•©≤ ¢©§ ¢°≥•§ ØÆ ≤•≥∞ØÆ≥©¢©¨©¥ 2 CFPTA Agenda Packet 07/23/201569 Attachment 5 Form 1 & 2 for Demonstration of Good Faith Efforts 2 CFPTA Agenda Packet 07/23/201570 #°∞• &•°≤ 0µ¢¨©£ 4≤°Æ≥∞Ø≤¥°¥©ØÆ !µ¥®Ø≤©¥ FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION The undersigned bidder has satisfied the requirements of the bid specification in the following manner (please check the appropriate space): _____ The bidder is committed to a minimum of ____% DBE utilization on this contract. _____ The bidder (if unable to meet the DBE goal of ____%) is committed to a minimum of ____% DBE utilization on this contract and has submitted documentation demonstrating good faith efforts. State Registration No. ____________________ By ___________________________________ ______________________ (Signature) Title CFPTA Agenda Packet 07/23/201571 #°∞• &•°≤ 0µ¢¨©£ 4≤°Æ≥∞Ø≤¥°¥©ØÆ !µ¥®Ø≤©¥ FORM 2: LETTER OF INTENT Address: ________________________________________________ City: _____________________________ State: _______ Zip: ______ Name of DBE firm: ________________________________________ Address: _________________________________________________ City: ________________________________State: _______ Zip: _____ Telephone: ___________________ Description of work to be performed by DBE firm: - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - The bidder 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 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.) CFPTA Agenda Packet 07/23/201572 Attachment 6 Certification Application Forms https://connect.ncdot.gov/business/SmallBusiness/Pages/default.aspx CFPTA Agenda Packet 07/23/201573 Attachment 7 Procedures for Removal of a CFPTA Agenda Packet 07/23/201574 I.Procedures for removing a DBE's eligibility. A.Ineligibility complaints. 1.Any person may file with the North Carolina Unified Certification Program (NC UCP) a written complaint alleging that a currently-certified firm is ineligible and specifying the alleged reasons why the firm is ineligible. Confidentiality of complainants' identities will be protected. However, general allegations or anonymous complaints will not be accepted. 2.NC UCP will review its records concerning the firm, any material provided by the firm and the complainant, and other available information. The NC UCP may request additional information from the firm or conduct any other investigation that it deems necessary. 3.If the NC UCP determines, based on this review, that there is reasonable cause to believe that the firm is ineligible, it will provide written notice to the firm that the NC UCP proposes to find the firm ineligible, setting forth the reasons for the proposed determination. If the NC UCP determines that such reasonable cause does not exist, it will notify the complainant and the firm in writing of this determination and the reasons for it. All statements of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the record on which each reason is based. B.NC UCP-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other information that comes to your attention, the NC UCP determines that there is reasonable cause to believe that a currently certified firm is ineligible, the NC UCP will provide written notice to the firm that it proposes to find the firm ineligible, setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable cause will specifically reference the evidence in the record on which each reason is based. C.Hearing. When the NC UCP notifies a firm that there is reasonable cause to remove its eligibility, as provided in paragraph (A) or (B) of this section, the NC UCP will give the firm an opportunity for an informal hearing, at which the firm may respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it should remain certified. 1.The NC UCP will maintain a complete record of the hearing, by any means acceptable under state law for the retention of a verbatim record of an administrative hearing. 2.The firm may elect to present information and arguments in writing, without going to a hearing. CFPTA Agenda Packet 07/23/201575 D.Separation of functions. The NC UCP will ensure that the decision in a proceeding to remove a firm's eligibility is made by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the firm's eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in these actions. 1.NC UCP's method of implementing this requirement will be made part of its DBE program. 2.The decision-maker will be an individual who is knowledgeable about the certification requirements of your DBE program and this part. E.Grounds for decision. The NC UCP will not base a decision to remove eligibility on a reinterpretation or changed opinion of information available to the NC UCP at the time of its certification of the firm. Rather, such decision will be based on one or more of the following: 1.Changes in the firm's circumstances since the certification of the firm by the NC UCP that render the firm unable to meet the eligibility standards of this part; 2.Information or evidence not available to the NC UCP at the time the firm was certified; 3.Information that was concealed or misrepresented by the firm in previous certification actions by the NC UCP; 4.A change in the NC UCP's certification standards or requirements since the firm was certified; or 5.A documented finding that the NC UCP's determination to certify the firm was factually erroneous. F.Notice of decision. Following the NC UCP decision, the NC UCP will provide the firm written notice of the decision and the reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The notice must inform the firm of the consequences of the NC UCP's decision and of the availability of an appeal to the United States Department of Transportation shown below in Section II. The NC UCP will send copies of the notice to the complainant in an ineligibility complaint. 2 CFPTA Agenda Packet 07/23/201576 G.Status of firm during proceeding. 1.A firm remains an eligible DBE during the pendency of your proceeding to remove its eligibility. 2.The firm does not become ineligible until the issuance of the notice provided for in paragraph (F) of this section. H.Effects of removal of eligibility. When the NC UCP removes a firm's eligibility, the NC UCP will take the following action: 1.When a prime contractor has made a commitment to using the ineligible firm, or Wave Transit has made a commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before the NC UCP will issue the decertification notice provided for in paragraph (F) of this section, the ineligible firm does not count toward the contract goal or overall goal. Prime contractor are directed to meet the contract goal with an eligible DBE firm or demonstrate to Wave Transit that it has made a good faith effort to do so. 2.If a prime contractor has executed a subcontract with the firm before the NC UCP has notified the firm of its ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal for the firm's work. In this case, or in a case where you have let a prime contract to the DBE that was later ruled ineligible, the portion of the ineligible firm's performance of the contract remaining after the NC UCP issued the notice of its ineligibility shall not count toward Wave Transit's overall goal, but may count toward the contract goal. 3.Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the performance of the contract, Wave Transit may continue to count its participation on that contract toward overall and contract goals. I.Availability of appeal. When the NC UCP makes an administratively final removal of a firm's eligibility under this section, the firm may appeal the removal to the United States Department of Transportation in accordance with Section II of this document. II.USDOT Certification Appeals Process A.If you are a firm which is denied certification or whose eligibility is removed by the NC UCP, you may make an administrative appeal to the USDOT. B.If you are a complainant in an ineligibility complaint to the NC UCP (including the concerned operating administration in the circumstances provided in paragraph (C), you may appeal to the USDOT if the NC UCP does not find reasonable cause to propose 3 CFPTA Agenda Packet 07/23/201577 removing the firm's eligibility or, following a removal of eligibility proceeding, determines that the firm is eligible. C.Send appeals to the following address: United States Department of Transportation Office of Civil Rights 400 7th Street SW, Room 2401 Washington DC 20590 4 CFPTA Agenda Packet 07/23/201578 Attachment 8 Regulations: 49 CFR Part 26 CFPTA Agenda Packet 07/23/201579 http://www.ecfr.gov/cgi-bin/text- idx?region=DIV1;type=boolean;c=ecfr;cc=ecfr;sid=14e071f96d5d61cb9d2410ed56c59d3d;q1=dbe;rgn1= Section%20Heading;op2=and;rgn2=Section;op3=and;rgn3=Section;view=text;idno=49;node=49%3A1.0.1 .1.20;rgn=div5 6 CFPTA Agenda Packet 07/23/201580 Attachment 9 Fostering Small Business Participation (26.39) CFPTA Agenda Packet 07/23/201581 Small Business Participation Plan (§26.39) 1. Small Business Element Strategies Wave Transit will actively make a good faith effort to implement program elements to foster small business participation. Wave include an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors. business participation: 1. Wave Transit may establish small business set-asides (based solely on business size) for prime contracts under a stated amount. 2. In multi-year design-build contracts or other large contracts, Wave Transit may require bidders on the prime contract to specify elements of the contract or specific subcontractors that are of a size that small businesses, including DBEs, can reasonably perform. 3. On prime contracts not having DBE contract goals, Wave Transit may require 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. 4. Wave Transit may identify alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts. race neutral measures, Wave Transit may ensure that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. 6. As a method to verify business size, Wave Transit will use the SBA definition found on the Federal Transportation Administration website. The link to the definition is as follows: http://www.fta.dot.gov/12326 14267.html. This element was included to facilitate competition by and expand opportunities for small businesses. Wave Transit is committed to taking all reasonable steps to eliminate obstacles to small businesses that may preclude their participation in procurements as prime contractors or subcontractors. Wave Transit will meet objectives using a combination of the above methods and strategies. Wave Transit will implement its small business program ninety (90) days following FTA approval of its DBE program. 2. Small Business Participation and Outreach activities. These outreach activities include active, effective steps to increase small business participation such as: soliciting bids/proposals from small businesses, responding to requests for information, CFPTA Agenda Packet 07/23/201582 participating at pre-bid and pre-proposal meetings and participating at outreach and training events for small businesses. As time and resources allow, Wave Transit staff will sponsor and/or participate in outreach and training opportunities for small businesses in conjunction with other DOT recipients, federal agencies, or local organizations. These business outreach training opportunities are designed to introduce small businesses to government procurement processes and provide information on how to do business with Wave Transit. Additionally, Wave Transit advertises contracting opportunities through various outlets, including: local newspapers, minority based publications and trade publications and email-blasts to its certified small business firms. As Wave Transit implements this element of its DBE plan, it is anticipated that other methods and strategies to facilitate competition by small business may be developed and implemented. 9 CFPTA Agenda Packet 07/23/201583 Monthly Passenger Summary June 2015 Total Passengers Fixed Route 180,000120,000 160,000 100,000 140,000 80,000 120,000 100,000 60,000 80,000 40,000 60,000 40,000 20,000 20,000 0 0 JulAugSepOctNovDecJanFebMarAprMayJun JulAugSepOctNovDecJanFebMarAprMayJun 2013/2014 90,75899,47898,451101,71190,79990,69578,84585,30393,67996,03297,70292,893 2013/2014 96,540124,927153,473159,527138,395110,281108,585133,034133,577143,641109,52898,291 2014/2015 88,831101,34101,21109,9687,56692,74089,21181,11995,07491,39489,79491,675 2014/2015 94,390128,37164,49168,39133,92112,25130,19130,97136,85136,50100,7997,783 Change-2.12%1.88%2.81%8.12%-3.56%2.25%13.15%-4.90%1.49%-4.83%-8.09%-1.31% Change-2.23%2.76%7.18%5.56%-3.23%1.79%19.90%-1.55%2.45%-4.97%-7.98%-0.52% Seahawk Shuttle Paratransit 70,000 6,000 60,000 5,000 - 50,000 4,000 40,000 3,000 30,000 2,000 20,000 1,000 10,000 0 0 JulAugSepOctNovDecJanFebMarAprMayJun JulAugSepOctNovDecJanFebMarAprMayJun 2013/20144,9595,0204,5895,4814,3764,2133,7593,9454,7434,3344,5564,600 2013/2014 82320,42950,43352,33543,22015,37325,98143,78635,15543,2757,270798 2014/2015 5,1064,8695,0445,2224,3844,4814,6494,4965,1355,3554,4774,944 2014/2015 45322,16358,23553,20441,97415,03736,33545,35536,64439,7556,5191,164 Change 2.96%-3.01%9.92%-4.73%0.18%6.36%23.68%13.97%8.26%23.56%-1.73%7.48% Change-44.96%8.49%15.47%1.66%-2.88%-2.19%39.85%3.58%4.24%-8.13%-10.33%45.86% CFPTA Agenda Packet 07/23/201584 Passengers by Route June 2015 Fixed Route No. NamePassengersTransfers 101Princess Place15,4672,187 103Oleander East6,117975 104Northeast5,331880 105Medical Center7,125920 106Shipyard Blvd5,761721 107College Road2,709298 108Market Street5,965844 201Carolina Beach Road10,7401,036 202Monkey Junction7,043675 203Trolley5,037 204Brunswick Connector2,508299 205Longleaf Park6,724724 207North3,394429 209Independence6,356624 301Pleasure Island1,398 TOTAL 91,67510,612 UNCW 701Blue 712Teal 702Green 703Red 704Yellow 711Yellow Express 705Loop753 706Point to Point 707Red Express 709Loop Express 411 UNCW Total 1,164 Para-Transit Services ADA Passengers 1,365 Non-ADA Passengers 3,579 Para-Transit Total 4,944 TOTAL PASSENGERS 97,783 CFPTA Agenda Packet 07/23/201585 FIXED ROUTEMONTHLYFiscal Year to Date This Month % Change Ridership Statistics Current% ChangeCurrentPrior Last Year Total Bus Passenger Trips 86,638 87,595-1.09% 1,068,421 1,062,2130.58% Total Trolley Passenger Trips 5,037 5,298-4.93% 51,514 54,133-4.84% Total UNCW Passenger Trips 1,164 79845.86% 356,838 338,8785.30% Total Fixed Route Passenger Trips 92,839 93,691 -0.91% 1,476,773 1,455,2241.48% Average Weekday Passenger Trips 3,629 3,796-4.40% Average Saturday Passenger Trips 2,071 2,161-4.16% Average Sunday Passenger Trips 1,178 1,06610.51% Operating Statistics - Fixed Route Total Revenue Miles 91,399 92,495-1.18% 1,225,100 1,216,2170.73% Total Revenue Hours 6,172 6,240-1.08% 86,981 86,6350.40% Accidents Non Preventable1 2-50.00% 17 23 -26.09% Accidents Preventable 100.00%151136.36% Passenger Trips/Revenue Mile 1.02 1.010.28%1.211.200.74% Passenger Trips/Revenue Hour 15.04 15.010.18%16.9816.801.08% Operator Overtime0.32%0.92%-64.78% Farebox Revenue and Pass Sales$ 83,695$ 97,233-13.92%$1,007,417$991,8961.56% Average Fare per Bus Passenger$ 0.91$ 1.05-12.78%$0.90$0.891.24% PARATRANSITMONTHLYFiscal Year to Date This Month % ChangeCurrentPrior% Change Ridership Statistics Current Last Year Total ADA Passenger Trips1,3651,2925.65%17,01515,7697.90% Total Non ADA Passenger Trips3,5793,3088.19%41,14738,8066.03% Total Paratransit Passenger Trips4,9444,6007.48%58,16254,5756.57% Average Weekday Passenger Trips203222-8.56% Average Saturday Passenger Trips6834100.00% Average Sunday Passenger Trips175240.00% Operating Statistics - Paratransit Total Revenue Miles39,94233,76618.29%436,671393,71910.91% Total Revenue Hours2,1381,81018.12%22,86019,23418.85% Accidents Non Preventable10100.00%7616.67% Accidents Preventable110.00%10911.11% Passenger Trips/Revenue Mile0.120.140.00%0.130.14-3.91% Passenger Trips/Revenue Hour2.312.54-9.01%2.542.84-10.33% Operator Overtime3.37%5.40%-37.59% WavePool Passengers63643845.21%7,4085,29639.88% Revenue Miles5,1624,7309.13%72,65356,64728.26% Revenue Hours948017.50%1,31691144.46% Special Services Greyhound Ticket Revenue$7,581$1,787324.23%$41,698$31,96130.47% Amtrak Passengers36427432.85%2,5061,90331.69% Horizon Revenue$683N/AN/A$9,768N/AN/A CFPTA Agenda Packet 07/23/201586 CFPTA Agenda Packet 07/23/201587 Cape Fear Public Transportation Authority PO Box 12630 Wilmington, NC 28405 910-343-0106 Fax: 910-343-8317 Purchase Order Vendor Structural Systems, Inc. 5215 Junction Circle, Suite 200 Wilmington, NC 28412 910-763-7311 Date:17-Jul-15PO #:16-0100 Ship To:Bill To: Cape Fear Public Transportation AuthorityCape Fear Public Transportation Authority 1480 Castle Hayne RdPO Box 12630 Wilmington, NC 28401Wilmington, NC 28405 910-343-0106 For:Grating - Bus Wash Pit Quotation Dated 7/9/2015 QtyPart #DescriptionUnit CostExt cost 1Install heavy duty grating in bus $10,914.00$10,914.00 washer per quotation. Total cost$10,914.00 GL NumberAmountDivisionGrant Code% $ $ $ Accrued Sales Tax 21400 $ Sales Tax 12600 AuthorizedEntered This instrument has been preaudited in the manner required by the Local Government Budget and Fiscal Control Act Jean M. SmithDate Director of Operations CFPTA Agenda Packet 07/23/201588 BENEFITS OF TRANSIT PROVIDED BY Cape Fear Public Transportation Authority - WAVE Transit NCDOT Public Transportation Division, 2015 • www.ncdot.gov/nctransit 1.5 MILLION TRIPS PROVIDED IN 2014 $18 MILLION STATEWIDE BUSINESS OUTPUT $14.4 MILLION ANNUAL BENEFIT OF HAVING A TRANSIT OPTION IN THIS COMMUNITY PUBLIC TRANSPORTATION = PROVIDES TRANSIT FUNDING REDUCES 178JOBS Approximately are supported by transit system operations and capital investments which results in $6.58 MILLION in wages CFPTA Agenda Packet 07/23/201589