Implementing Race-Neutral Measures in State Disadvantaged Business Enterprise Programs (2011) / Chapter Skim
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Appendix C - Sample Collateral Materials from State DBE Programs
Appendix C - Sample Collateral Materials from State DBE Programs
Pages 53-86
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From page 53... ...
Florida Department of Transportation "Disadvantaged Business Enterprise Program: Race Neutral Outreach Strategies" FDOT's Business Development Initiative: http://www.dot.state.fl.us/equalopportunityoffice/GeneralBDI.shtm. Idaho Transportation Department "Support Services Benefits for Idaho-Certified Disadvantaged Business Enterprises," from the state External EEO website: http://itd.idaho.gov/civil/external.htm New Jersey Department of Transportation "Emerging Small Business Enterprise Policy Statement" South Dakota Department of Transportation "Special Provision for Disadvantaged Business Enterprise" Vermont Agency of Transportation Disadvantaged Business Enterprise Program website: http://www.aot.state.vt.us/CivilRights/DBE.htm Electronic archive of DBE newsletters: http://www.aot.state.vt.us/CivilRights/DBE%20Newsletter.htm VTrans Prompt Pay Compliance webpage: http://www.aot.state.vt.us/CivilRights/DBEpromptpay.htm
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From page 54... ...
For each contractor and consultant, this report shows the number of contracts awarded, the total dollars awarded, and the percent of DBE participation.
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From page 55... ...
20. Creating a DBE Advisory Committee within the FTBA comprised of DBEs, prime contractors, and Department staff to discuss the DBE Program and improvement opportunities.
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From page 56... ...
3. Monitoring DBE participation of those contractors who received a Title VI Assessment over the last two years to determine if good faith efforts are made.
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From page 60... ...
NJDOT only counts DBE participation when reporting progress toward meeting DBE goals. ESBE participation is not counted.
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From page 61... ...
V ELIGIBILITY FOR ESBE CERTIFICATION In general, to be eligible for ESBE certification, the firm must be a small business according to SBA size standards and be 51% owned and controlled by one or more economically disadvantaged individuals whose personal net worth does not exceed $750,000.
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From page 62... ...
Except as provided in this paragraph, no securities or assets held in trust, or by any guardian for a minor, are considered as held by economically disadvantaged persons in determining the ownership of the applicant business. However, securities or assets held in trust, or by any guardian for a minor, are considered as held by an economically disadvantaged individual for purposes of determining ownership under the following circumstances: i.
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From page 63... ...
d. The contributions of capital or expertise by the economically disadvantaged owners to acquire their ownership interests must be real and substantial.
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From page 64... ...
The gift or transfer was made for reasons other than obtaining ESBE certification, and ii. The economically disadvantaged individual actually controls the management, policy and operations of the business, notwithstanding the continuing participation of the noneconomically disadvantaged individual who provided the gift or transfer.
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From page 65... ...
that prevent the economically disadvantaged owners, without the cooperation or vote of any non-economically disadvantaged individual, from making any business decision of the business. This paragraph does not preclude a spousal cosignature on financial, real estate or banking documents as may be required.
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From page 66... ...
f. The economically disadvantaged owners of the business may delegate various areas of the management, policymaking, or daily operations of the business to other participants in the business, regardless of whether these participants are economically disadvantaged individuals.
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From page 67... ...
In a case where a non-economically disadvantaged individual formerly controlled the applicant business, and an economically disadvantaged individual now controls it, the Department may consider differences in salary of the former and current owner of the applicant firm as a factor in determining who controls the firm, particularly when the non-economically disadvantaged individual remains involved with the business and continues to receive greater compensation than the economically disadvantaged individual.
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From page 68... ...
However, the Department shall not determine that a firm is not controlled by economically disadvantaged individuals solely 69
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From page 69... ...
r. The economically disadvantaged individuals controlling a firm may use an employee leasing company.
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From page 70... ...
Not-for-profit organizations, even though controlled by economically disadvantaged individuals, are not eligible for ESBE certification.
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From page 71... ...
In the event a business is not certified by the Department, the complete certification application must be received by the Division of Civil Rights and Affirmative Action in accordance with the following schedule: i. A business that wants to be counted as an Emerging Small Business Enterprise for the purpose of meeting the established ESBE contract goals for a specific contract at the time of the award of that contract, shall submit its completed application at least 15 calendar days prior to the date for the receipt of bids for that contract.
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From page 72... ...
The certification shall be effective as of the date of approval and shall be valid for a three year period unless revoked by the Department. ESBE firms shall be required to provide update information and complete a "No Change Affidavit" each year, if applicable, for renewal of their Emerging Small Business Enterprise certification.
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From page 73... ...
The business shall be eligible to participate as an Emerging Small Business Enterprise in the ESBE goal program during the pendency of its appeal to the Department.
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From page 74... ...
Specified Goal: A DBE participation goal for a contract as indicated by a specific numerical percentage of the total dollar amount of the contract in the bidding documents.
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From page 75... ...
On contracts let with a specified DBE contract participation goal, where the low bidder has not met or exceeded that goal, the bidder must provide GFE documentation as indicated in Section III. On contracts let with a ‘Not Specified' DBE contract participation goal, the low bidder's commitment will be compared to the average commitment for all eligible bidders to determine whether the low bidder's commitment is at least eighty percent (80%)
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From page 76... ...
Section III provides information on the types of action bidders should take as part of their GFE to obtain DBE participation. The low bidder may submit documentation with the bidding files provided all pertinent information is included.
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From page 77... ...
The bidder must select contract work items to encourage DBE participation. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the bidder might otherwise prefer to perform these work items with its own forces.
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From page 78... ...
B Contracts let with a specified goal If a GFE package is requested on a contract with a specified goal, the low bidder must submit documentation of the low bidder's efforts to the Bid Letting Engineer.
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From page 79... ...
DBE participation will be counted for trucking services as follows: The bidder/Contractor will receive credit toward DBE participation for the total value of the transportation services the DBE provides on the contract using trucks the DBE owns, insures, and operates which are driven by drivers the DBE employs. A DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE.
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From page 80... ...
Any intended or actual subcontracting arrangement which is contrived to artificially inflate DBE participation is not allowed. This includes, but is not limited to, DBE middlemen which serve no commercially useful function, or arrangements where a DBE is acting essentially as a broker of goods or services, but has been counted as a manufacturer, regular dealer, or subcontractor.
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From page 81... ...
The Department may also investigate the form and substance of particular business arrangements between and among DBE and Contractors with regard to specific contracts. If, as a result of an investigation, the Department determines that a particular business arrangement is not allowable, the dollar amount of the unallowable DBE participation shall be subtracted from the Contractor's DBE participation on that project.
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From page 82... ...
B If a Contractor finds it impossible, for reasons beyond his control, to meet the contract commitment on Form 289R/C or 289R/N, the Contractor may, at any time prior to completion of the project, provide a written request to the DBE Compliance Officer for a complete or partial waiver of liquidated damages.
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From page 83... ...
The DBE Compliance Officer will enforce compliance with contract requirements regarding the use of DBE subcontractors and suppliers. The DBE Compliance Officer, or said officer's designee, may conduct compliance reviews on selected projects each year to verify compliance by Contractors.
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