DBE Manual

PUB 404 (12/15)

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Table of Contents

Introduction ................................................................................................................................. 1

SUBPART A – GENERAL REQUIREMENTS ........................................................................ 1

Section 26.1

Objectives .......................................................................................................... 1

Section 26.3

Applicability ...................................................................................................... 2

Section 26.5

Definitions ......................................................................................................... 2

Section 26.7

Non-discrimination Requirements ..................................................................... 2

Section 26.11

Recordkeeping Requirements ............................................................................ 3

Bureau of Project Delivery – Consultant Agreements ............................................................ 4

Bureau of Project Delivery – Highway Construction ............................................................. 4

Bureau of Aviation .................................................................................................................. 4

Bureau of Public Transportation ............................................................................................. 5

Bureau of Planning and Research ........................................................................................... 5

Bureau of Office Services ....................................................................................................... 5

Center for Program Development ........................................................................................... 5

PA Department of Conservation and Natural Resources ........................................................ 6

Section 26.13

Required DBE Contract Assurances .................................................................. 6

SUBPART B – ADMINISTRATIVE REQUIREMENTS ........................................................ 8

Section 26.21

DBE Program Requirements ............................................................................. 8

Section 26.23

Policy Statement ................................................................................................ 8

Section 26.25

DBE Liaison Officer .......................................................................................... 8

Deputy Secretary for Administration .................................................................................... 10

Bureau of Equal Opportunity ................................................................................................ 10

Office of Chief Counsel ........................................................................................................ 11

Bureau of Project Delivery ................................................................................................... 11

Bureau of Public Transportation ........................................................................................... 12

Bureau of Aviation ................................................................................................................ 12

Bureau of Planning and Research ......................................................................................... 13

Bureau of Office Services ..................................................................................................... 13

Center for Program Development ......................................................................................... 13

PA Department of Conservation and Natural Resources ...................................................... 13

Engineering Districts ............................................................................................................ 14

Section 26.27

DBE Financial Institutions .............................................................................. 14

Section 26.29

Prompt Payment Mechanisms ......................................................................... 14

Bureau of Project Delivery – Consultant Agreements .......................................................... 14

Bureau of Project Delivery – Highway Construction ........................................................... 15

Table of Contents Page i

Bureau of Aviation ................................................................................................................ 16

Bureau of Public Transportation ........................................................................................... 16

Bureau of Planning and Research ......................................................................................... 16

Bureau of Office Services ..................................................................................................... 16

Center for Program Development ......................................................................................... 16

PA Department of Conservation and Natural Resources ...................................................... 16

Section 26.31

DBE Directory ................................................................................................. 17

Section 26.33

Overconcentration ........................................................................................... 17

Section 26.35

Business Development Programs .................................................................... 18

DBE Business Development Program .................................................................................. 18

Department of Community and Economic Development Programs .................................... 19

Section 26.37

Monitoring and Enforcement Mechanisms ..................................................... 19

Bureau of Project Delivery – Consultant Agreements .......................................................... 20

Bureau of Project Delivery – Highway Construction ........................................................... 21

Bureau of Aviation ................................................................................................................ 21

Bureau of Public Transportation ........................................................................................... 22

Bureau of Planning and Research ......................................................................................... 22

Bureau of Office Services ..................................................................................................... 22

Center for Program Development ......................................................................................... 22

PA Department of Conservation and Natural Resources ...................................................... 22

Section 26.39

Small Business Enterprise Element ................................................................. 23

SUBPART C – GOALS, GOOD FAITH EFFORTS, AND COUNTING ............................. 24

Section 26.43

Set-Asides or Quotas ....................................................................................... 24

Section 26.45

Overall Goals ................................................................................................... 24

Section 26.47

Goal Attainment .............................................................................................. 24

Section 26.51

Breakout of Estimated Race-Neutral and Race-Conscious Participation ........ 24

Race-Neutral ......................................................................................................................... 25

Race-Conscious ..................................................................................................................... 29

Bureau of Project Delivery – Consultant Agreements .......................................................... 29

Bureau of Project Delivery – Highway Construction ........................................................... 29

Bureau of Planning and Research ......................................................................................... 29

Bureau of Office Services ..................................................................................................... 29

Section 26.53

DBE Good Faith Effort Procedures ................................................................. 30

Bureau of Project Delivery – Consultant Agreements .......................................................... 31

Bureau of Project Delivery – Highway Construction ........................................................... 31

Bureau of Aviation ................................................................................................................ 32

Bureau of Public Transportation ........................................................................................... 32

Bureau of Planning and Research ......................................................................................... 32

Table of Contents Page ii

Bureau of Office Services ..................................................................................................... 32

Center for Program Development ......................................................................................... 32

Section 26.55

Counting DBE Participation ............................................................................ 33

Bureau of Project Delivery – Consultant Agreements .......................................................... 33

Bureau of Project Delivery – Highway Construction ........................................................... 33

Bureau of Aviation ................................................................................................................ 33

Bureau of Public Transportation ........................................................................................... 34

Bureau of Planning and Research ......................................................................................... 34

Bureau of Office Services ..................................................................................................... 34

Center for Program Development ......................................................................................... 34

PA Department of Conservation and Natural Resources ...................................................... 34

SUBPART D – CERTIFICATION STANDARDS .................................................................. 35

Section 26.61 – 26.73

Certification Standards ....................................................................... 35

Section 26.65 Business Size Standards .................................................................................. 35

Section 26.67

Social and Economic Disadvantage Standards ................................................ 36

Section 26.73

Other Standards ............................................................................................... 36

SUBPART E – CERTIFICATION PROCEDURES ............................................................... 37

Section 26.81

Unified Certification Program ......................................................................... 37

Section 26.83

Procedures for Certification Decisions ............................................................ 37

Section 26.85

Interstate Certification ..................................................................................... 38

Section 26.86

Denials of Initial Requests for Certification .................................................... 38

Section 26.87

Removal of Eligibility ..................................................................................... 39

Section 26.88

Summary Suspension of Certification ............................................................. 39

Section 26.89

Certification Appeals to DOT.......................................................................... 39

Section 26.91

DOT Certification Appeals Decisions ............................................................. 40

SUBPART F - COMPLIANCE AND ENFORCEMENT ...................................................... 41

Section 26.101

Compliance Procedures for Recipients .......................................................... 41

Section 26.103

Enforcement Actions ..................................................................................... 41

Section 26.107

Enforcement Actions for Firms ..................................................................... 42

Section 26.109

Information, Confidentiality, Cooperation .................................................... 43

URL Summary List

Index by Bureau

Attachments

Table of Contents Page iii

Attachment A: DBE Requirements Contract Appendix

Attachment B: Master Grant Agreement

Attachment C: DBE and SBE Requirements for the Recreational Trails Program

(DCNR Exhibit A)

Attachment D: Program Center Awards, Commitments, and Payments Spreadsheet

Attachment E: DCNR Awards, Commitments, and Payments Spreadsheet

Attachment F: Workflows

Attachment G: PennDOT Organizational Chart

Attachment H: PennDOT Bureau of Equal Opportunity Organizational Chart

Attachment I: Aviation Checklist

Attachment J: PennDOT Bureau of Public Transportation Standard Terms and

Conditions for Grants

Attachment K: Good Faith Efforts for Service Agreements

Attachment L: Good Faith Efforts

Attachment M: Good Faith Efforts for Aviation

Attachment N: Good Faith Efforts for Public Transportation

Attachment O: Good Faith Efforts for the Program Center

Attachment P: PA UCP Standards and Procedures Manual

Table of Contents Page iv

Introduction

The Pennsylvania Department of Transportation (Department) submits this Disadvantaged

Business Enterprise (DBE) Program Plan to the United States Department of Transportation

(DOT), acting through the Federal Aviation Administration (FAA), Federal Highway

Administration (FHWA), and Federal Transit Administration (FTA) in accordance with 49 CFR

Part 26, as amended (Part 26).

The DBE Program described within this manual has been designed and implemented by the

Department to satisfy the DBE regulations codified at 49 CFR Part 26, as amended . The program also complies with 49 CFR Part 23, as amended , where applicable.

SUBPART A – GENERAL REQUIREMENTS

Section 26.1 Objectives

The Department’s DBE Program aims to achieve the following DBE regulatory objectives:

• To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department’s highway, transit, and airport financial assistance programs.

• To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts.

• To ensure that the Department’s DBE Program is narrowly-tailored in accordance with applicable law.

• To ensure that only firms that fully meet the eligibility standards of Part 26 are permitted to participate as DBEs.

• To help remove barriers to the participation of DBEs in DOT-assisted contracts.

• To promote the use of DBEs in all types of DOT-assisted contracts and procurement activities conducted by recipients.

• To assist the development of firms that can compete successfully in the marketplace outside the DBE Program.

Introduction Page 1

• To provide appropriate flexibility to recipients of federal financial assistance in establishing and providing opportunities for DBEs.

Section 26.3 Applicability

The DBE Program is applicable to the Department as a primary recipient of the federal funds noted in the three following paragraphs as well as any subrecipient to whom the Department extends federal financial assistance. The DBE program requirements do not apply to projects with no federal assistance.

The Department is the recipient of Federal-Aid highway funds authorized under Titles I (other than Part B) and V of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA),

Pub. L. 102-240, 105 Stat. 1914, or Titles I, III, and V of the Transportation Equity Act for the

21st Century (TEA-21), Pub. L. 105-178, 112 Stat. 107. Titles I, III, and V of the Safe,

Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-

LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405.

The Department is the recipient of federal transit funds authorized by Titles I, III, V and VI of

ISTEA, Pub. L. 102-240 or by Federal transit laws in Title 49, U.S. Code, or Titles I, III, and V of the TEA-21, Pub. L. 105-178. Titles I, III, and V of the Safe, Accountable, Flexible, Efficient

Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21),

Pub. L. 112-141, 126 Stat. 405.

The Department is the recipient of federal airport funds authorized by 49 U.S.C. 47101, et seq.

Section 26.5 Definitions

The Department uses the definitions contained in Part 26, Section 26.5, for this program. In addition, the following terms not included in Part 26, Section 26.5, will have the meanings provided.

Overconcentration – A situation in which DBE firms perform such a disproportionate share of a certain type of work as to unduly burden the opportunity of non-DBE firms to participate in this type of work.

Subrecipient – Any entity, public or private, to which the Department has extended DOT financial assistance in support of the programs of the FAA, FHWA, or FTA, or any entity that has applied for such assistance.

Section 26.7 Non-discrimination Requirements

The Department shall not 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 Part 26 on the basis of race, color, sex, or national origin.

In administering its DBE Program, the Department shall not, directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or

Section 26.3 Applicability Page 2

substantially impairing accomplishment of the objectives of the program with respect to individuals of a particular race, color, sex, or national origin.

Section 26.11 Recordkeeping Requirements

The Department reports DBE participation to DOT in accordance with Part 26 recordkeeping requirements and with additional requirements imposed by FAA, FHWA, and FTA in conformance with Part 26. The Department will continue to submit the Uniform Report of DBE

Awards or Commitments and Payments by the scheduled due dates.

Data used to populate the Uniform Report of DBE Awards or Commitments and Payments is collected by the Department either monthly (FHWA-funded contracts) or quarterly (FAA- and

FTA-funded contracts). The Department consolidates the collected data and uses it to complete the Uniform Report, which is then forwarded to DOT to meet the appropriate deadlines.

Vendors, consultants, and contractors outside of the Department report monthly DBE participation using either Form EO-402 – Monthly DBE/SBE Status Report, or by inputting the information into one of several information management systems used by the Department.

Examples are dotGrants

1

and the Engineering and Construction Management System (ECMS).

2

Bureaus and sections within the Department report DBE commitments using Form EO-401 –

DBE Awards and Commitments Report, or by running electronic reports from their database systems. The information is then forwarded to the Department’s Bureau of Equal Opportunity

(BEO).

The Department has developed and maintains information equivalent to a bidders list comprised of DBE and non-DBE firms that bid or quote on DOT-assisted contracts. The bidder list includes the name, address, DBE status, age, and annual gross receipts of the firms.

Using a survey method, the Department requests information by using its ECMS-registered business partner list, including, but not limited to, prequalified contractors and engineering consultants. Survey forms are sent on a triennial basis to obtain subcontracting solicitation and utilization activities. The information is maintained in a Department database.

The Department and subrecipients maintain all internal records relevant to DBE compliance, including, but not limited to commitments and awards, goal attainment, commercially useful function reviews, etc. for a minimum of three years. Various regulations and contract provisions similarly bind subcontractors and suppliers to maintain records related to DBE compliance for a minimum of three years.

1

dotGrants is a web-based grant management system to award and track grants that involve

DOT funding.

2

Engineering and Construction Management System (ECMS) is the web-based application used by the Department for project delivery and management.

Section 26.11 Recordkeeping Requirements Page 3

The Department will submit the report required under Part 26, Section 26.11 (e), on behalf of the

PA Uniform Certification Program (PA UCP) to the DOT Office of Civil Rights by January 1 of each year..

Details regarding recordkeeping requirements follow.

Bureau of Project Delivery – Consultant Agreements

Publication 93 , Section 5.4.3 – Records of DBE Participation, requires prime consultants to keep and maintain records of DBE participation and also provides for required reporting by the

Department’s Contract Management Section to BEO.

In addition, Publication 442 , Section 4.5 – Maintaining Records and Documentation, requires consultants and subconsultants/subcontractors to maintain all records supporting costs incurred during the project for seven years from the date of final payment.

DBE commitments, subcontracts, and actual attainments are captured in the Department’s ECMS system.

Projects completed by a Local Project Sponsor are governed by Publication 740 – Local Project

Delivery Manual. Section 3.11 of that document requires the retention of all records for three years from the date of submission of the final voucher to FHWA. For local projects, ECMS is used for consultant selection and engineering agreements, thus capturing DBE commitments electronically.

Bureau of Project Delivery – Highway Construction

The Department requires prime contractors to maintain records and documents of payments to

DBEs for three years following the receipt of final payment, as documented in Publication 408 ,

Section 112 – Project Records, and Appendix C – Designated Special Provisions 7 (DSP7).

Upon request, these records are available for inspection by any authorized representative of the

Department, FAA, FHWA, FTA, or the DOT. This reporting requirement also extends to any

DBE-certified subcontractor.

DBE commitments, subcontracts, and actual attainments are captured in the Department’s ECMS system.

For projects led by a Local Project Sponsor, Publication 740, Section 3.11, requires the retention of all records for three years from the date of submission of the final voucher to FHWA. ECMS is used for nearly all local construction projects, similar to Department-led projects, allowing for the capture of all necessary DBE data.

Bureau of Aviation

Publication 405 , Section 4.2.1 – Assurances and Obligations, requires airport sponsors to maintain all records related to a grant-funded project for three years after the date of the final project payment. The airport sponsor must make these records available to PennDOT for accounting or audit purposes.

Section 26.11 Recordkeeping Requirements Page 4

The Bureau of Aviation (BOA) uses the Department’s dotGrants to award and track grants that involve DOT funding. The dotGrants system requires grantees to provide a range of data used for reporting functions, including initial DBE participation and quarterly DBE status reporting. This requirement is included in Form AV-27 – DBE Project Compliance Review Checklist for

Airports. The DBE data is compiled from all data submitted by airport grantees by BEO and included in DBE participation reports submitted to FAA.

Separate from the dotGrants system, BOA maintains a list of all its Block Grant Airports, which serves as the equivalent of a bidder’s list for these projects.

Bureau of Public Transportation

The Bureau of Public Transportation’s (BPT) Standard Terms and Conditions for Public

Transportation Grants Using Federal Funds requires that project records, including those pertaining to DBE participation, be retained for three years after the grantee is notified by the

Department that the project has been closed out.

Separate from the dotGrants system, BPT maintains a list of all Pennsylvania transit agencies, which serves as the equivalent of a bidder’s list for these projects.

Bureau of Planning and Research

The DBE Requirements Contract Appendix that is attached to Bureau of Planning and Research

(BPR) contracts specifies that vendors must maintain records pertaining to DBE participation for

three years after final payment. See Attachment A: DBE Requirements Contract Appendix.

BPR maintains a listing of contractors, their DBE status, and the amount of work performed within their Research Program Management System (RPMS) database. Crystal Reports is used to query this database on a monthly basis to report DBE participation data to BEO. The RPMS system serves as the equivalent of a bidder’s list for these projects.

Bureau of Office Services

The DBE Requirements Contract Appendix that is attached to Bureau of Office Services (BOS) contracts specifies that vendors must maintain records for three years after final payment. See

Attachment A: DBE Requirements Contract Appendix.

BOS reports DBE commitments and attainments to BEO monthly.

BOS utilizes the Pennsylvania Department of General Services eMarketplace system to solicit and award contracts. The eMarketplace system collects a wide range of data on vendors and serves as the equivalent of a bidder’s list for these projects.

Center for Program Development

The Master Grant Agreement between the Department and the local metropolitan or regional planning organization specifies in Section 9 that the planning organization and its consultants

Section 26.11 Recordkeeping Requirements Page 5

and contractors must maintain records for three years from the date of submission of the final

voucher to FHWA. See Attachment B: Master Grant Agreement.

Local planning organizations are responsible for soliciting and awarding contracts issued against the master grant agreement. As such, these organizations are responsible for keeping detailed data in support of the bidders list. This requirement is contained in Exhibit S, Section V(a) of the

master grant agreement in Attachment B. This information is reported to the Program Center on

a quarterly basis in connection with requests for reimbursement using the spreadsheet in

Attachment D.

PA Department of Conservation and Natural Resources

The Pennsylvania Department of Conservation and Natural Resources (DCNR) utilizes standard

Grant Terms and Conditions for all Recreational Trails Projects (RTP). Article VII – Records;

Audits, of that document identifies the requirement to keep all records three years from final payment or, if an audit is subsequently performed, three years from the date of the audit. RTP grant agreements also include Exhibit A – DBE and SBE Requirements for the Recreational

Trails Program, which requires that records related to DBE and SBE participation be retained for

three years. See Attachment C for this exhibit.

DCNR maintains a listing of grantees, contractors, their DBE status, and the amount of work performed within a spreadsheet, provided in Attachment E. This information is forwarded to

BEO every six months. The spreadsheet serves as the equivalent of a bidder’s list for these projects.

Section 26.13 Required DBE Contract Assurances

The Department and its sub-recipients have signed the following assurance, which is applicable to all DOT-assisted contracts and their administration:

PennDOT shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract or in the administration of its DBE Program or the requirements of 49 CFR Part 26.

PennDOT shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. PennDOT’s DBE Program, as required by 49 CFR Part 26 and as approved by DOT, is incorporated by reference in this agreement.

Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to

PennDOT of its failure to carry out its approved program, the DOT may impose sanctions 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.).

Section 26.13 Required DBE Contract Assurances Page 6

Each DOT-assisted contract that the Department signs with a contractor and each subcontract the prime contractor signs with a subcontractor must include the following assurance:

The contractor, sub-recipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:

(1) Withholding progress payments;

(2) Assessing sanctions;

(3) Liquidated damages; and/or

(4) Disqualifying the contractor from future bidding as non-responsible.

Sub-recipients must similarly require that each DOT-assisted contract that is signed with a contractor (and each subcontract the prime contractor signs with a subcontractor) includes the above assurances.

Section 26.13 Required DBE Contract Assurances Page 7

SUBPART B – ADMINISTRATIVE REQUIREMENTS

Section 26.21 DBE Program Requirements

The Department, as a direct recipient of federal funds is required to establish a DBE program and must apply the DBE Program to all expenditures of federal highway, aviation, and transit funds.

These expenditures include construction contracts, professional services, management services, and research. The Department’s subrecipients, as indirect recipients of federal funds, must comply with the Department’s DBE program.

The Department administers its DBE Program as required and submits periodic updates to DOT regarding significant changes in its program. If a program update is required to comply with

DOT regulatory changes, the Department will undertake an update effort as documented in

Workflow 8 in Attachment F.

Section 26.23 Policy Statement

The Department’s DBE Policy Statement applies to the Department as well as its subrecipients.

It is disseminated each year Department-wide, to subrecipients, and to numerous minority and woman contractor associations along with general trade associations as a reminder of the

Department’s commitment to employing DBE firms on DOT-assisted projects. When updates are made to the DBE Program, notice is given to affected business units of the Department and subrecipients; information and training is provided as needed.

Section 26.25 DBE Liaison Officer

The Department has designated the following individual as the DBE Liaison Officer:

Deputy Secretary for Administration

Pennsylvania Department of Transportation

Commonwealth Keystone Building, 8 th

Floor

400 North Street

Harrisburg, PA 17101

(717) 787-5628

In this capacity, the Deputy Secretary or designee is responsible for directing all aspects of the

DBE Program and for ensuring that the Department complies with all provisions of Part 26.

This includes ensuring adequate staff to administer the program in compliance with Part 26. The

Deputy Secretary has direct independent access to the Pennsylvania Secretary of Transportation

concerning DBE Program matters. See Attachment G: PennDOT Organizational Chart. The

Director of the Department’s Bureau of Equal Opportunity and the Chief of the DBE/Title VI

Division support the DBE Liaison Officer in administering the DBE Program. The DBE/Title

VI Division consists of a Division Chief, five Equal Opportunity Specialists, and one Equal

Opportunity Assistant. See Attachment H: PennDOT Bureau of Equal Opportunity

Organizational Chart.

Section 26.21 DBE Program Requirements Page 8

Subrecipients have access to the DBE Liaison Officer through the BEO and its staff members.

On a yearly basis, subrecipients are notified of the DBE Liaison Officer and the methods of communicating with BEO and the DBE Liaison Officer for DBE-related questions and concerns.

The BEO Director and the DBE/Title VI Division Chief are responsible for administering and monitoring the DBE Program, in coordination with other appropriate personnel. Duties and responsibilities include but are not limited to the following:

• Gathering and reporting statistical data and other information required by DOT.

• Working with various Department bureaus to develop and submit the Department's FAA,

FHWA, and FTA DBE Methodologies and Goals.

• Managing the Department's DBE/SBE Supportive Services Program.

• Administering the approved Small Business Element.

• Ensuring that bid notices and requests for proposals are available to DBEs/SBEs in a timely manner.

• Assisting in identifying contracting opportunities for DBEs/SBEs.

• Analyzing the Department's progress toward goal attainment and identifying ways to improve progress.

• Advising the Department's Secretary and Deputy Secretary for Administration/DBE

Liaison Officer on DBE matters.

• Participating with Department Executives, the Bureau of Project Delivery (BOPD),

Districts, and the Department's Office of Chief Counsel in determining contractor compliance with good faith efforts.

• Working to resolve disputes between prime contractors and DBEs/SBEs.

• Providing DBEs/SBEs with information and assistance in preparing bids and obtaining bonding and insurance.

• Planning and participating in DBE/SBE training seminars, workshops, and networking sessions.

• Providing outreach to DBEs/SBEs and community organizations on how to do business with the Department and to promote contracting opportunities.

• Certifying DBEs in accordance with the criteria set by DOT and acting as a liaison to the

PA UCP.

• Assisting in maintaining and updating the statewide directory of certified PA UCP DBEs.

• Certifying SBEs in accordance with the criteria established by the Department

• Maintaining and updating the statewide directory of certified SBEs

Section 26.25 DBE Liaison Officer Page 9

The Department administers a bifurcated certification process (two Department organizations each have a separate role in the process) for DBEs. BEO is responsible for the distribution and administrative review of certification applications. The Office of Chief Counsel, Investigative

Section, is responsible for performing on-site reviews and recommending certification determinations. The Investigation Section is comprised of an Investigator-in-Charge, three special investigators, and a shared legal assistant.

The Department also has a designated legal adviser for DBE matters that provides guidance in all areas covered by Part 26.

Although chief responsibility for the administration of the DBE Program lies within BEO as bulleted above, multiple organizations fulfill a designated role in overall program administration.

The following summarizes the primary areas of responsibility for the organizations involved in developing, implementing, and enforcing the Department’s DBE Program.

Deputy Secretary for Administration

• Serves as DBE Liaison Officer

• Sets PennDOT policy in accordance with federal and state regulations

• Establishes general direction for implementing policy

• Participates as a voting member on both the Good Faith Effort Committee and the

Certification Appeal Committee

Bureau of Equal Opportunity

• Monitors the DBE Program

• Assists in assuring effective administration of the Pennsylvania Unified Certification

Program (PA UCP)

• Establishes DBE goal methodologies and triennial goals for federally funded projects

(FAA, FHWA, and FTA)

• Adjusts DBE goals mid-course as needed or as required by the impacted DOT operating administrations

• Assists potential DBEs and SBEs in understanding certification procedures

• Assists certified DBEs and SBEs in becoming business partner registered, prequalified, and/or consultant qualified

• Oversees DBE/SBE Supportive Services

• Reviews DBE/SBE certification and continuing eligibility applications, including

Affidavit of No Change and Notice of Change

• Assists in managing and updating the PA UCP DBE Directory

• Ensures compliance with reporting requirements

Section 26.25 DBE Liaison Officer Page 10

• Delivers training on DBE/SBE requirements to Districts

• Assists DBEs and SBEs in understanding program requirements and procedures

• Conducts compliance reviews

• Participates in the DBE Interdisciplinary Review Team (IRT) for analysis of Good Faith

Effort submissions

• Assures effective administration of the SBE Element

Office of Chief Counsel

• Conducts on-site reviews and investigations in support of DBE certification and continuing eligibility applications, including affidavit of change/no-change

• Handles application denials and removal of eligibility

• Conducts DBE fraud investigations

• Investigates ineligibility complaints

• Provides guidance on all aspects of federal DBE regulations

• Provides a legal adviser for the PA UCP Certification Appeals Committee

• Provides a legal adviser to the DBE Good Faith Effort Review Committee

• Provides legal representation for the PA UCP Oversight Committee

• Participates in compliance reviews

Bureau of Project Delivery

• Establishes project-specific DBE participation goals

• Monitors and reports on DBE goal attainment for construction/consultant agreements

• Reviews and approves proposed DBE project participation (original and revisions)

• Reviews and approves Good Faith Effort requests for revisions to DBE goals

• Establishes DBE participation special provisions, as appropriate

• Accepts or rejects bids, based in part on proposed DBE involvement

• Chairs the DBE Interdisciplinary Review Team (IRT) for analysis of Good Faith Effort submissions for highway construction contracts and consultant agreements

• Coordinates Good Faith Effort submissions, including data gathering

• Delivers ECMS training related to DBE data input, monitoring, and reporting

• Assists primes in identifying qualified DBEs

• Participates in prequalifying consultants and contractors, including DBEs

Section 26.25 DBE Liaison Officer Page 11

• Monitors prompt payment of DBE subconsultants

• Grants provisional prequalification approval for all firms seeking to expand their areas of service, including DBEs

• Approves proposed sub-subcontractor and joint venture arrangements

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

• Coordinates resolution of project-related problems involving DBE participation

• Delivers training to Districts on DBE involvement

• Imposes sanctions on contractors for failing to comply with DBE requirements

Bureau of Public Transportation

• Monitors DBE goals for specific projects

• Reports on DBE project goal attainment

• Reviews and approves proposed DBE project participation (original and revisions)

• Reviews and approves Good Faith Effort requests for revisions to DBE goals

• Chairs the DBE Interdisciplinary Review Team (IRT) for analysis of Good Faith Effort submissions for public transportation grants and contracts

• Coordinates Good Faith Effort submissions, including data-gathering

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

• Coordinates resolution of project-related problems involving DBE participation

Bureau of Aviation

• Monitors DBE goals for specific projects

• Reports on DBE project goal attainment

• Reviews and approves proposed DBE project participation (original and revisions)

• Reviews and approves Good Faith Effort requests for revisions to DBE goals

• Chairs the DBE Interdisciplinary Review Team (IRT) for analysis of Good Faith Effort submissions for aviation grants

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

Section 26.25 DBE Liaison Officer Page 12

• Provides ad hoc reports on DBE goals, commitments, and attainments

• Coordinates resolution of grant-related problems involving DBE participation

Bureau of Planning and Research

• Monitors DBE goals for specific projects

• Reports on DBE project goal attainment

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

Bureau of Office Services

• Monitors DBE goals for specific projects

• Reports on DBE project goal attainment

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

Center for Program Development

• Monitors DBE goals for specific projects

• Reports on DBE project goal attainment

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

PA Department of Conservation and Natural Resources

• Reports on DBE utilization

• Monitors prompt payment of DBE subcontractors

• Conducts quality assurance reviews

• Provides ad hoc reports on DBE goals, commitments, and attainments

Section 26.25 DBE Liaison Officer Page 13

Engineering Districts

• Monitors DBE participation on individual projects (District Executives, Assistant District

Executives, Project Inspectors, District EEO/DBE Coordinators)

• Verifies that DBE firms are performing a commercially useful function (CUF)

• Monitors prompt payment of DBE subcontractors

Section 26.27 DBE Financial Institutions

The Department adheres to Management Directive 305.8

– Commonwealth Bank Accounts and

Special Banking Services, established by the Governor’s Office. This document establishes policy, defines responsibilities for payment of banking services costs, provides uniform procedures for establishing bank accounts and procuring special banking services, and establishes reporting requirements.

The following financial institution has been identified as being owned and controlled by socially and economically disadvantaged individuals:

United Bank of Philadelphia

30 South 15 th

Street

Philadelphia PA 19102

215-351-4600

The Department and its DBE Supportive Services Consultant encourages and promotes use of this bank by consultants, contractors, and subrecipients.

Section 26.29 Prompt Payment Mechanisms

Prompt payment of subcontractors, suppliers, and/or dealers by a prime contractor is required by the Department. Requirements vary by Office and Bureau, but all requirements comply with the

30 days mandated by Part 26, Section 26.29. Subrecipients are also required to have a contract clause requiring prime contractors to pay subcontractors within 30 days of receipt of payment.

The Department and subrecipients do not require retainage for contracts with prime contractors.

Bureau of Project Delivery – Consultant Agreements

Publication 93 , Section 6.7.5, and Publication 442 , Section 4.4, both require that a prime consultant pay a subconsultant within 14 days of receipt of payment from the Department. These prompt payment terms and conditions are incorporated into all Department consultant agreements.

Projects sponsored by local public agencies are governed by Publication 740 – Local Project

Delivery Manual. Section 3.9 notes that reimbursement agreements generally require the Local

Project Sponsor to pay the consultant within 10 days after receiving payment from the

Department.

Section 26.27 DBE Financial Institutions Page 14

Bureau of Project Delivery – Highway Construction

Publication 408 , Section 110.05 - Current Estimate Payments, requires prime contractors to pay subcontractors their earned share of the payments, including all retainage, within seven calendar days of the receipt of current estimate and final payments. Section 110.06 requires the same of prime contractors for payments to providers of materials stored on-site.

The Bureau of Project Delivery (BOPD) is responsible for monitoring and enforcing the prompt payment process. BOPD monitors prompt payment of subcontractors by utilizing the

Subcontractor Past Performance Report (PPR) for every project. The form is completed by the

Inspector-in-Charge and reviewed and approved by the Assistant District Engineer for

Construction. For any PPR where a subcontractor indicates that they were not promptly paid, the

Prequalification Office and District personnel will investigate and review information supplied by the subcontractor.

If subcontractor’s claim is found to be valid, a letter of inquiry is sent to the prime contractor, who then has 10 days to demonstrate proof of prompt payment throughout all estimate periods and final payment, or provide an explanation of any delay in payment.

When a contractor fails to comply with the prompt payment requirement, sanction procedures are initiated similar to those described for major violations in Publication 2 , Section B.10 – Contract

Labor Compliance Guidelines and Responsibilities. Publication 2, commonly referred to as the

Project Office Manual or POM, provides that the contractor be notified of the violation in writing and given two weeks to make payment. If payment is not made within two weeks, an amount equal to that in question is withheld from the next payment to the contractor. If payment is not made within five weeks, all payments to the prime contractor are stopped until payment is made to the subcontractor.

Additionally, failure by the prime contractor to make prompt payment without justification is reported on its final PPR, which is used when evaluating the contractor’s prequalification status.

The BEO addresses prompt payment when performing its contract compliance reviews. The prime contractor’s procedures to ensure prompt payment of subcontractors are inspected during the compliance review. In addition, the following is included in the project questionnaires for the Inspector In-Charge, Project Superintendent, and EEO Officer:

• Are subcontractors, especially DBEs, being paid in a timely manner? Verify procedures to ensure prompt payment.

The following is included in the Construction Project Checklist under Subcontract Agreements as an item requiring review:

• ECMS “Minority Payment” Screen (DBE Payment Monitoring)

Any allegation of prompt payment anomalies are investigated by the Department’s

Prequalification Office in conjunction with the respective District’s personnel.

Projects sponsored by local public agencies are governed by Publication 740 – Local Project

Delivery Manual. Section 3.9 notes that reimbursement agreements generally require the Local

Section 26.29 Prompt Payment Mechanisms Page 15

Project Sponsor to pay the consultant within 10 days after receiving payment from the

Department.

Bureau of Aviation

Publication 405 , Section 4.1.4, requires that an airport sponsor pay all contractors within 30 days of receipt of payment by the Department. This requirement is also contained within the Bureau

of Aviation checklists in Attachment I and

Form AV-27 .

Bureau of Public Transportation

BPT requires compliance with the DBE provisions of Part 26 in its Standard Terms and

Conditions for Public Transportation Grants Using Federal Funds (Attachment J). These standard

terms and conditions are made part of all grant agreements with subrecipient transit agencies.

In addition, BPT ensures that recipients of FTA funding comply with this requirement by collecting and reviewing Form EO-402 – Monthly DBE/SBE Status Report. This form is completed and signed by the prime contractor, and lists the date on which the contractor and

DBE/SBE were paid.

Bureau of Planning and Research

The DBE Requirements Contract Appendix that is attached to all BPR contracts specifies that vendors must make payments to all subcontractors no later than 10 days after the vendor is paid

by the Department. See Attachment A: DBE Requirements Contract Appendix.

Bureau of Office Services

BOS follows the Commonwealth Procurement Code, 62 Pa.C.S. § 101. Chapter 21 of The

Procurement Code deals with Small and Disadvantaged Businesses. At 62 Pa.C.S. § 2108 , the

Commonwealth is required to comply with federal laws and regulations when a procurement involves federal funds.

Center for Program Development

The Program Center’s master agreement with planning organizations (Attachment B) specifies in

Sections 2 and 6 the conditions required for payment by the Department. Section 11.B on subcontracting requires that subcontracts contain the same provisions of the master agreement, including timeliness of payment.

PA Department of Conservation and Natural Resources

The DCNR standard Grant Terms and Conditions for all RTP in Appendix A specifies that

DCNR will retain 10 percent of the grant amount until the project is complete and all costs and payments are reviewed and approved via Form EO-402 .

Section 26.29 Prompt Payment Mechanisms Page 16

RTP grant agreements also include Exhibit A – DBE and SBE Requirements for the Recreational

Trails Program, which requires compliance with all DBE requirements of Part 26, including the

prompt payment requirements of Part 26, Section 26.29. See Attachment C for this exhibit.

Section 26.31 DBE Directory

The PA UCP maintains a shared database that produces the statewide directory of firms eligible to participate as DBEs on DOT-assisted contracts. The PA UCP database is electronic and updates to the directory occur in real time. For each firm, the PA UCP Directory lists the firm name, address, owner, phone number, fax number, e-mail, website, applicable North American

Industry Classification System (NAICS) codes, service category, and a description of work the

DBE has been certified to perform.

A searchable directory of certified DBEs can be viewed by visiting www.paucp.com

. The directory is available for free to all Department organizations, contractors, consultants, construction/consultant associations, minority, women and small business development entities, federal/state agencies, all interested bidders/proposers, and the general public.

On a quarterly basis, a hard copy of the PA UCP DBE Directory is printed and made available for free upon request by contacting the Department or any of the other four certifying participants in the PA UCP (the Southeastern Pennsylvania Transportation Authority (SEPTA), the Port Authority of Allegheny County, Philadelphia International Airport’s DBE Program

Office, and Allegheny County Department of MBE/WBE/DBE). See Section 26.61-26.73 for contact information.

Section 26.33 Overconcentration

The Department, working in tandem with its DBE Supportive Services consultant, has not currently identified the existence of overconcentration in the types of work that DBEs perform.

A contractor, however, may challenge that there is an area of DOT-assisted work in which there is an overconcentration of DBE firms, and that such concentration creates an undue burden for non-DBE firms in obtaining work in this area. Where such challenges are made, they shall be processed as follows:

The challenge must be submitted in writing to the Pennsylvania Department of Transportation,

Director, Bureau of Equal Opportunity, at either of the following addresses: or Pennsylvania Dept. of Transportation

Director, Bureau of Equal Opportunity

Commonwealth Keystone Building

5 th

Floor

400 North Street

Harrisburg, PA 17120

Pennsylvania Dept. of Transportation

Director, Bureau of Equal Opportunity

P.O. Box 3251

Harrisburg, PA 17105-3251

The written challenge must identify the challenging party, summarize the grounds for the challenge, and include all available information relevant to determining whether the challenge is valid. The Department will thoroughly review the information submitted.

Section 26.31 DBE Directory Page 17

Based on this information, the Department will conduct an inquiry. To assist in the inquiry, the

Department will use the information available within ECMS maintained by the Department.

ECMS contains project information regarding all subcontracting activity on highway construction projects. Information contained in the PA UCP database or other sources may also be used.

If the Department determines that there is no reason to believe the challenge is valid, the challenging party shall be informed in writing thereby terminating the challenge procedure.

If it is determined that there is reason to believe that the party has a valid claim, the Department will work with the concerned DOT operating administration on a determination of overconcentration and to devise measures to address it. The measures may include the use of incentives, technical assistance, business development programs, mentor-protégé programs, and other appropriate measures designed to assist DBEs in performing work outside of the specified field in which the Department determined that non-DBEs are unduly burdened. Once approved by DOT, the measures will become part of the DBE Program.

Section 26.35 Business Development Programs

Two separate business development programs offered by Pennsylvania are discussed below.

The Department has not established a mentor–protégé program. Subrecipients may, upon their own initiative and with approval by the Department, establish and operate a mentor–protégé program that complies with Part 26, Section 26.35.

DBE Business Development Program

The Department operates a comprehensive DBE Supportive Services Program aimed at enhancing the growth, development, and self-sufficiency of all DBE firms competing for DOTassisted contracts and subcontracts. That program is described in the Race-Neutral subsection of

Section 26.51. The Department also supports a Comprehensive Business Development Program

(BDP) that is made available to a limited number of DBE firms that are selected based on criteria including the firm’s commitment to the program. Both the DBE Supportive Services Program and the BDP are federally-funded.

The BDP assists these firms in developing a comprehensive business plan, which:

• Provides an analysis of the participating DBE’s market potential, the competitive environment, and other business analysis capable of estimating the prospects for profitable operation during the term of participation in and after graduation from the program.

• Provides an analysis of the firm’s strengths and weaknesses, with particular attention to the means of correcting any financial, managerial, technical, or labor conditions which could impede the participant from receiving contracts for work that historically has not been performed by DBEs.

• Sets specific targets, objectives, and goals for the business development of the participant

DBE during their participation in the BDP.

Section 26.35 Business Development Programs Page 18

• Provides estimates of contract awards from the DBE Program and from other sources needed to meet the objectives and goals for the period covered by the BDP.

• Includes a transition management plan that prepares the firm for graduation from the program when specified criteria are met.

The BDP and the DBE Supportive Services Program are operated by a single contractor chosen using a competitive procurement process. By awarding the contract for both programs to one vendor, the two similar and interrelated programs can be operated more efficiently and with better outcomes for the participating DBE firms.

Department of Community and Economic Development Programs

The Department refers DBEs/SBEs and potential applicants to the Pennsylvania Department of

Community and Economic Development (DCED), which offers various programs aimed at the successful expansion of businesses within Pennsylvania. DCED assists all businesses (both DBE and non-DBE) in writing business plans, obtaining financing, navigating tax laws, pursuing expansion, and an array of other activities. This assistance is best exemplified in the Starting and

Growing a Business in Pennsylvania website and Entrepreneur’s Guide .

Section 26.37 Monitoring and Enforcement Mechanisms

The Department utilizes the following monitoring and enforcement mechanisms to ensure compliance with Part 26.

The Department brings to the attention of the DOT any known activities that appear to be inconsistent with Part 26 of this program so that the DOT can take the steps provided in Part 26,

Section 26.107 (e.g., referral to the United States Department of Justice for criminal prosecution, referral to the DOT Inspector General and/or the Commonwealth’s Office of Inspector General, or action under suspension and debarment or Program Fraud and Civil Penalties rules).

The Department employs a number of standard forms used to collect DBE information for initial project setup and for ongoing monitoring of DBE participation:

Form AV-27 – DBE Project Compliance Review Checklist for Airports

Form PT-27 – DBE Project Compliance Review Checklist for Transit Systems

Form EO-354 – DBE Commercially Useful Function Report

Form EO-354AV – DBE Commercially Useful Function Report – Aviation

Form EO-354PT – DBE Commercially Useful Function Report – Public Transportation

Form EO-355 – DBE Regular Dealer Verification Form

Form EO-380 – DBE Participation for Federal Projects

Form EO-380PT – DBE Participation for Federal Projects (BPT)

Form EO-385 – DBE Participation for Federally Funded Service Agreements (BPR and

BOS)

Section 26.37 Monitoring and Enforcement Mechanisms Page 19

Form EO-401 – DBE Awards and Commitments Report

Form EO-402 – Monthly DBE/SBE Status Report

Form EO-402LP – Monthly DBE/SBE Status Report for Local Projects

The Bureau of Equal Opportunity conducts direct monitoring of DBE requirements via a number of methods. The DBE Field Agent conducts onsite compliance reviews of FHWA funded

Highway Construction projects. The DBE Field Agent reviews DBE subcontracts, payments, completed CUF reports, and evaluates any DBE firms working on the project during the date of the visit. The DBE Field Agent also reviews monthly progress reports submitted by individual

Engineering Districts which provide status on all FHWA funded projects. Based upon the comments included in the report and the progress of individual projects in meeting the goal, the

DBE Field Agent conducts follow up inquiries and provides technical assistance as needed.

Additionally, BEO’s Contract Compliance Division evaluates DBE requirements, including

CUF, as part of general compliance reviews of construction contractors.

In addition to the forms and the direct monitoring activities by BEO noted above, the Department also relies upon several electronic systems to assist in monitoring and enforcement. Highway construction and consultant agreement contract awards, commitments, and payments are all captured in the ECMS system. The EO-354 along with the field inspector’s journal is used to monitor performance. When final payments to DBE firms are entered, the system requires Good

Faith Effort documentation to be submitted for any shortfall in meeting the DBE goal. This documentation is evaluated in connection with project closeout. Aviation grants awards, commitments, and payments are captured in dotGrants. Airport sponsors (or their designee) complete the EO-354AV for all DBE firms performing on the grant. Airport sponsors must provide complete records, including DBE payments and any Good Faith Effort documentation, to the Department in order to receive the final grant reimbursement. Various other offline and online processes are utilized by other program areas as noted below. Regardless of the program area or system used, the Department signs off that the DBE requirements have been met as part of its larger contract closeout process.

Bureau of Project Delivery – Consultant Agreements

Publication 93 , Section 5.4.4 - Monitoring of DBE Consultants, provides for the monthly monitoring of DBE consultant participation and contains procedures if under-utilization of DBEs by a consultant occurs.

The Department’s ECMS tracks DBE commitments, DBE subcontracts, and DBE payments. The

Consultant Agreements Section also generates a monthly report showing projects awarded using federal dollars, which is submitted to BEO. This report includes a breakdown of DBE goals established for each project and the percentage of participation the prime consultant committed to as a condition of award.

For projects completed by a Local Project Sponsor, Publication 740 , Section 3.8, and Publication

93 , Section 1.1, require the use of ECMS for consultant selection and engineering agreements.

ECMS automatically captures DBE commitments. Invoicing for these local projects is done

Section 26.37 Monitoring and Enforcement Mechanisms Page 20

outside of ECMS. Therefore, DBE attainments for these projects are captured in a process

documented in Workflow 5a in Attachment F.

Bureau of Project Delivery – Highway Construction

The Department’s Publication 408 - DSP7, and Publication 2 – Project Office Manual, Section

B.11.6, provide a monitoring and enforcement mechanism to verify that work committed to

DBEs at contract award is actually performed by the DBEs. Publication 2 , Section B.11.5, is the

EEO Checklist for the project Inspector-in-Charge, which contains several items related to DBE monitoring. For projects led by a Local Project Sponsor, Publication 740 , Section 7.1.C, contains provisions for monitoring and enforcing DBE compliance. A few local projects are completed each year on paper, outside of ECMS. These projects rely on paper forms such as Form EO-380 to verify DBE participation and Form CS-4339R for subcontractor approval. DBE attainments

are captured using a process documented in Workflow 5a in Attachment F.

The Department’s ECMS is used to track DBE commitments, DBE subcontracts, and DBE payments. The Contract Awards Section also generates a monthly report showing projects awarded using federal dollars, which is submitted to BEO. This report includes a breakdown of

DBE goals established for each project and the percentage of participation the prime contractor committed to as a condition of award.

In addition, the Department utilizes a DBE Monthly Monitoring Report that assists in monitoring

DBE goal attainment on all DOT-assisted projects within each Engineering District. The

Districts submit monthly reports tracking goal attainment to date on active projects. That report also highlights potential issues or concerns. BEO submits a feedback report to the Districts based upon the review of District reports and independent monitoring conducted by BEO. The feedback report requests additional information and/or identifies additional actions the Districts

need to take related to DBE goals. Workflow 5, provided in Attachment F, details the process for

this monthly report.

The Department reviews payments made to DBEs as part of its contract compliance project reviews to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts listed in the approved DBE commitments.

Bureau of Aviation

The Bureau of Aviation utilizes the Department’s dotGrants to award and track aviation grants.

The dotGrants system requires grantees to provide a range of data used for reporting functions, including initial DBE commitment and ongoing DBE participation reporting. The data allows

BEO to confirm that actual DBE attainments are on track to meet DBE commitments and goals.

The dotGrants system is used to compile the individual reports into a statewide Monthly Grant

Administration Report of all aviation projects for analysis and for reporting to FAA.

The Bureau of Aviation employs the use of two checklists that aid airport sponsors and the BOA in properly administering projects and grants for DBE compliance. These checklists are in

Attachment I and

Form AV-27 .

Section 26.37 Monitoring and Enforcement Mechanisms Page 21

Bureau of Public Transportation

BPT requires Form PT-27 – DBE Project Compliance Checklist for Transit Systems to be completed for all projects with DBE participation. For projects on which BPT provides direct construction or project management, BPT’s construction manager will assist the sub-recipient with this information. For all other projects, BPT will review this information as part of an onsite compliance review process.

Bureau of Planning and Research

The DBE Requirements Contract Appendix that is attached to BPR contracts specifies that vendors must submit Form EO-385 with their bid to document DBE commitments. BPR uses the

EO-385 in combination with data from its RPMS to complete the EO-401 report. Vendors are further required to submit monthly reports on DBE attainment (typically done with Form EO-

402 – Monthly DBE/SBE Status Report). BPR runs Crystal Reports monthly against the RPMS database, which identifies contract awards containing federal dollars and DBE commitment information.

Bureau of Office Services

The DBE Requirements Contract Appendix that is attached to BOS contracts (Attachment A)

specifies that vendors must submit Form EO-385 with their bid to document DBE commitments.

The DBE commitment information along with overall contract information, including identification of the award date, vendor, and dollar amount, is used by BEO and individual purchasing agents to complete Form EO-401 . Vendors are further required to submit monthly reports on DBE attainment (typically done with Form EO-402 – Monthly DBE/SBE Status

Report).

Center for Program Development

The Program Center’s master agreement with planning organizations (Attachment B) specifies in

Section 14 that a status report on the DBE goal must be submitted to the Department quarterly.

The Program Center utilizes a spreadsheet to capture awards, commitments, and payments to

DBEs throughout the life of a project and forwards the spreadsheet to BEO quarterly. The

spreadsheet is Attachment D.

PA Department of Conservation and Natural Resources

DCNR’s RTP grant agreement includes Exhibit A – DBE and SBE Requirements for the

Recreational Trails Program (Attachment C). Section 6(b) of this exhibit requires project,

grantees to submit Form EO-402 – Monthly DBE/SBE Status Report during the project.

DCNR records data from that report in a DBE Awards, Commitments, and Payments Report

spreadsheet for reporting to BEO. The spreadsheet is shown in Attachment E.

Section 26.39 Small Business Enterprise Element Page 22

Section 26.39 Small Business Enterprise Element

The Department has implemented a Small Business Element of its Disadvantaged Business

Enterprise Program in accordance with Part 26, Section 26.39. The element is designed to foster and facilitate participation by Small Business Enterprises (SBE) on DOT-assisted projects and to overcome barriers or obstacles to their participation. The element incorporates a variety of strategies designed to meet the regulatory objective, which are described briefly below.

• Create an SBE certification to identify firms that meet the definition of a small business concern as contained in Part 26, Section 26.5.

• Collect data and produce reports on the level of participation by SBEs in the

Department’s DOT-assisted projects.

• Encourage prime contractors and consultants to use SBEs as subcontractors and actively market SBEs to primes to assist the SBEs in establishing business relationships.

• Create an SBE special provision for use in selected municipal bid packages where prequalified SBE subcontractors will be allowed to bid as primes.

• Support the Small Business Enterprise Supportive Services Center (The SBE SS Center) to assist all small businesses in acquiring skills and identifying resources that will contribute to their growth and eventual self-sufficiency.

• Maintain a list of prime contractors certified as SBEs by work class code and provide this list to District personnel for consideration for projects utilizing FHWA Emergency

Repair funding.

• Publicize the list of potential prime contractor bidders for Department projects to allow

SBEs to contact the bidders to offer quotes on portions of the work that will be subcontracted. BEO also provides ongoing monitoring of SBE involvement by prime contractors.

See Section 26.51 and the website www.pennsbess.com for more information on the SBE

Supportive Services Center.

The BEO reviews all bid documents used by subrecipients to verify that they include relevant references to SBE requirements. In addition, subrecipients are required to report SBE commitments and attainments to BEO on a monthly or quarterly basis, depending on the program area. The methods used are the same as those used for reporting DBE commitments and attainments.

Section 26.39 Small Business Enterprise Element Page 23

SUBPART C – GOALS, GOOD FAITH EFFORTS, AND COUNTING

Section 26.43 Set-Asides or Quotas

The Department and its subrecipients do not use set-asides or quotas in the administration of this

DBE Program.

Section 26.45 Overall Goals

The Department develops its overall DBE involvement goal consistent with Part 26, Section

26.45. The methodology used to develop the overall goal is available to the public electronically through the Department’s web site at www.padbegoals.org. Additionally, physical copies of the methodology are available upon request by contacting BEO at 800-468-4201 or 717-787-5891.

The Department’s methodologies are incorporated in the DBE Program by reference. The

Department has recently undertaken a Public-Private Partnership (P3) project for the replacement of 558 bridges throughout Pennsylvania. This project has necessitated the creation of a separate goal-setting for this project. The goal-setting methodology is detailed in a document at http://www.dot.state.pa.us/public/Bureaus/Press/P3/P3_RBR_DBE_Goal_Methodology.pdf

.

Subrecipients adopt the Department’s methodology and goals consistent with the subrecipient’s operating areas.

The Department submits its FAA, FHWA, and FTA methodologies and goals to the appropriate operating administration as required. Submittal is based upon the staggered three-year goal schedule established for federal highway, transit, and aviation funds. The Department implements the overall goal on October 1 of the appropriate fiscal year, unless it receives other instructions from the DOT.

Workflow 10 in Attachment F documents the DBE Methodology and Goal Development process

used by the Department.

Section 26.47 Goal Attainment

The Department constantly monitors attainment of DBE goals through the use of the various methods described in Section 26.11 – Recordkeeping Requirements and Section 26.37 –

Monitoring and Enforcement Mechanisms. If at the end of a fiscal year the Department has not attained the overall goal applicable for that year, the Department shall analyze the reasons for the shortfall and create a corrective action plan in accordance with Part 26, Section 26.47. The analysis and corrective action plan shall be submitted to FHWA, FAA, and FTA within 90 days of the end of the fiscal year.

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious

Participation

The breakout of estimated race-neutral and race-conscious participation is updated in the

Department’s methodology and goal-setting documents for each required DBE goal submission.

The Department monitors the race-neutral and race-conscious goal apportionment and makes

Section 26.43 Set-Asides or Quotas Page 24

adjustments up or down as supported by the most recent data available. The Department reviews monthly reports submitted by each market area defined in its methodology to ensure that appropriate DBE goals are set on contracts and that DBE commitments and attainments are monitored. Additionally, each District provides a detailed monthly report of DBE commitments and attainments on its highway construction contracts. This further assists the Department in identifying potential shortfalls early and also serves as a reminder to track DBE payments closely. Adjustments to the DBE contract goals are made as required based upon attainment within the appropriate market area and the overall goal. The DBE/Title VI Division Chief sends quarterly reports of goal attainment along with recommendations to adjust individual market area goals, if warranted.

Race-Neutral

The Department attempts to meet the maximum feasible portion of its overall goal using raceneutral means. Race-neutral credit is given for the dollar amount of a prime contract awarded to a DBE that exceeds the goal amount and is not subcontracted to a non-DBE, a DBE subcontract executed on a project that did not contain a DBE goal, or DBE commitment or payment dollar amounts exceeding the contract goal. Race-neutral means employed by the Department include, but are not limited to, the following programs.

DBE Supportive Services Center

One method used by the Department to improve its race-neutral performance is the establishment and operation of the federally-funded Disadvantaged Business Enterprise Supportive Services

Program. This program is intended to provide training, assistance, and services to DBE firms certified in the DBE Program to facilitate their development into viable self-sufficient organizations capable of competing for and performing on DOT-assisted highway projects on an equal basis with non-DBE firms.

The program is operated by a contractor as the DBE Supportive Services Center (The DBE SS

Center). The program’s objectives are to:

1. Build relationships and communication networks with available expertise at all government levels in addition to the private, non-profit, and academic sectors; maintain a database of these contacts.

2. Determine critical DBE needs relative to performance on PennDOT’s DOT-assisted highway projects within the areas of business, construction, consulting, and technology management.

3. Develop and deploy needs-based training for participating DBE firms.

4. Conduct direct consultative assistance to participating DBE firms concerning PennDOT’s

DOT-assisted highway projects.

5. Generate support services information through the collection, promotion, and dissemination of business, construction, consultant, and technical materials.

6. Spearhead, coordinate, and attend conferences, meetings, and symposia.

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious Participation Page 25

7. Evaluate and continuously improve the key supportive services activities by collecting, analyzing, and utilizing feedback from a variety of sources.

The DBE Supportive Services Center provides the following services, all of which are free of charge.

Continual Needs Assessment and Identification

The DBE SS Center conducts an annual formal Needs Assessment Survey of DBE firms and conducts ongoing informal needs assessments by means of face-to-face and telephone interviews, e-mails, and self-administered surveys. The objective of the needs assessments is to identify the barriers that DBEs face in competing with non-DBEs for DOT-assisted contracts and subcontracts, and determine what services would assist DBEs in overcoming those barriers. The results of both the formal and informal assessments are used to adjust processes and services provided by The DBE SS Center and the objectives of the DBE Supportive Services Program.

Training, Consulting, and Information Management

The DBE SS Center develops approaches to providing training, consulting, and information management. This includes a training reimbursement program to provide financial assistance to pre-screened DBEs for company-specific training. The DBE SS Center coordinates instructor-led training, computer-based training, and one-on-one consulting services. In addition, The DBE SS

Center continues to collect, promote, and disseminate information deemed relevant to the DBE community. The DBE SS Center bases the initial need for ongoing trainings on historical information, results of various needs assessments, and data available through the Department's

Bureau of Equal Opportunity. The DBE SS Center continually reevaluates and updates those needs based on feedback received from training evaluations, interaction with and requests from

DBE firms, and other relevant sources.

Outreach, Networking, and Communication

The DBE SS Center uses various methods of outreach to inform and encourage DBEs to use its services. These include:

• The DBE SS Center website www.PennsylvaniaDBE.com

• Newsletter articles

• Brochures and other promotional materials

• Direct mail (both U.S. mail and e-mail)

Networking methods include participating in meetings, preconstruction conferences and symposia (at which DBEs and the prime contracting community are likely to be present), as well as outreach to community, civic, ethnic, business, and construction organizations. In addition to the above outreach and communication methods, The DBE SS Center responds to individual written and telephone requests for assistance.

Continual Evaluation of Processes, Outcomes, and Effectiveness

The DBE SS Center uses personal interviews, online interviews, telephone follow-up, and selfadministered survey forms as part of its ongoing self-evaluation. The DBE SS Center utilizes a combination of qualitative and quantitative methods to analyze the data, as well as evaluation and measurement of the attainment of specific training objectives. The DBE SS Center maintains

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious Participation Page 26

a website that allows for the collection of formal and informal real-time data through online DBE interaction. Collection of the data assists in determining if changes need to be made to services or activities being delivered in subsequent fiscal years, and if so, what those changes should be.

SBE Supportive Services Center

The Department also operates a state-funded Small Business Enterprise Supportive Services

Program

,

executed by a Small Business Enterprise Supportive Services Center (The SBE SS

Center) that assists firms that meet the definition of a small business concern as defined in Part

26, Section 26.5. This designation is solely based on size and not on social disadvantage. The

SBE SS Center is operated by a contractor selected using a competitive procurement process. It provides statewide training and consulting services to enable SBEs to compete on an equal basis with non-SBEs for DOT-assisted Department contracts and subcontracts.

The SBE Supportive Services Center provides the following services, all free of charge.

Communication Channels Maintenance

The SBE SS Center maintains telephone, e-mail, website, and social media sites as a means of communicating with SBEs.

Training, Consulting, and Information Management

The SBE SS Center provides consulting services and training sessions to improve SBEs’ competitiveness on PennDOT’s DOT-assisted projects. It maintains databases and information on other relevant training, certifications, and workshops provided by the Commonwealth of

Pennsylvania and other qualified entities.

Marketing and Outreach

The SBE SS Center markets its services to SBEs and networks with potential business partners and other constituents in ways that are beneficial to SBEs competing for Department projects.

Outreach methods include:

• The SBE SS Center website www.pennsbess.com

• Newsletter articles

• Developed promotional materials, such as brochures

• Mailing lists (both e-mail and U.S. mail)

Performance Monitoring and Measurement

The SBE SS Center uses various tools, including surveys and training evaluation forms, to continually monitor its performance and outcomes.

Contractor Prequalification

The Department makes use of two types of contractor prequalification, but does not require prequalification as a condition for DBE certification, in accordance with Part 26, Section

26.73(g).

Provisional Prequalification

Provisional Prequalification can enable a prequalified contractor to become prequalified in an additional work classification. Provided both parties agree, the prime contractor provides

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious Participation Page 27

training and oversight to the subcontractor in the performance of the work classification. Upon completion of provisional subcontract work, the District files a Past Performance Report with the

Prequalification Officer which includes a recommendation to either revoke provisional approval, deem it unattainable (Inspector-in-Charge does not think a firm is capable of learning a given task regardless of additional training), continue provisional approval, require further training, or make approval permanent, with no further training required. Provisional prequalification approval is project-specific.

Conditional Prequalification

Conditional Prequalification can enable a prequalified contractor to become prequalified in an additional work classification or new contractor applicants to become prequalified based upon a superintendent’s prior work experience as a superintendent for another contractor. Conditional prequalification approval is not project-specific.

Provisional and Conditional Prequalification are specialized programs. Requests are evaluated on a case-by-case basis.

Designated Race-Neutral Programs and Contracts

In addition to the strategies noted above, the Department has deemed certain program areas and/or contracts to be race-neutral and no contract goals are established. In making such a determination, the Department considers a number of factors including subcontracting opportunities, dollar value, project type, location, and the availability of DBEs. Work that is performed intermittently or that deviates from what is generally performed by the Department is also considered.

As an example, the Department utilizes the DCNR Recreational Trails Program as a race-neutral component of its DBE Program. No DBE goals are established in connection with the

Recreational Trails Grants. Instead, language is included with the grants encouraging the utilization of DBEs, SBEs, and other small business concerns. Any DBE or SBE utilization is tracked by grantees and reported to DCNR quarterly. DNCR in turn reports all DBE and SBE attainment to BEO every six months.

The Department’s also utilizes Right-of-Way Demolition Contracts as a race-neutral component.

These contracts are small, often less than $10,000.00 and offer no subcontracting opportunities.

Individual Engineering Districts are required to notify DBE or SBE demolition contractors located in the subject County and surrounding counties where the work is to be performed.

Within ECMS Districts can search for DBEs and SBEs that have the work class code for

Building Demolition and thus are approved to do the work on Department projects.

No other program areas are currently race-neutral but the Department continues to evaluate potential opportunities based upon the criterial noted above.

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious Participation Page 28

Race-Conscious

The Department utilizes race-conscious or contract goals to attain a portion of its overall DBE participation goal. Contract goals are applied in order to meet the overall goal that is not projected to be met through the use of race-neutral means.

The Department does not establish a DBE goal on every federally-funded contract as Part 26 does not require that it do so. The Department establishes goals only on those contracts that lend themselves to subcontracting opportunities. Dollar value, project type, location, and the availability of DBEs to perform specific services are considered in setting an appropriate DBE goal on a given project, consistent with the Department’s approved DBE goal-setting methodology. If a subrecipient intends to offer a contract with a DBE goal, the goal is determined in consultation with the Department.

The Department expresses its contract goals as a percentage of the total dollar amount of a DOTassisted contract. The Department does not permit the use of rounding in determining DBE contract goal attainment.

Bureau of Project Delivery – Consultant Agreements

Publication 93 , Section 3.6.8, provides procedures for review and compliance with the advertised

DBE goal.

Bureau of Project Delivery – Highway Construction

Design-build projects include pay items for both design consultants and highway contractors on the design build project team. Design-build project DBE goals are developed through coordination of the design consultant and highway contractor portions of the overall design-build project. Publication 448 , Section 3.2.4.1, provides calculations for the DBE goal for designbuild projects.

Bureau of Planning and Research

BPR awards federally funded agreements infrequently. As such, when agreements containing federal funds are identified, BPR contacts BEO to determine whether a DBE goal should be established for the project. In order to make this determination BPR provides information including estimated cost, scope of work, length of contract, and other factors that could potentially impact the ability of DBE firms to participate on the project.

Bureau of Office Services

The Bureau of Office Services delegates some purchasing authority to individual purchasers that reside in District and County offices. Purchasers are instructed to contact BEO for DBE goalsetting purposes via the established End User Procedures whenever federal funds are involved.

Section 26.51 Breakout of Estimated Race-Neutral and Race-Conscious Participation Page 29

Section 26.53 DBE Good Faith Effort Procedures

For all DOT-assisted projects in any bureau of the Department, the obligation of the apparent low bidder is to make a good faith effort to meet the DBE goal. The low bidder must demonstrate that it has done so either by meeting the DBE contract goal or documenting good faith efforts taken in its effort to meet the goal.

The Department will ensure that all information is complete, consistent, and adequately demonstrates the low bidder’s good faith effort before the contact is awarded.

The Department treats bidders’ compliance with good faith effort requirements as a matter of responsiveness that requires serious consideration under Part 26. Each proposal for which a contract goal has been established requires the low bidder to submit the following information within seven days (to be reduced to five days beginning 1/1/2017) after the bid opening, using

Form EO-380 , Form EO-380PT , Form EO-385 , ECMS input, or the resource e-mail account [email protected]

.

• Names and contact persons for DBE firms that will participate in the contract.

• A description or list of work items that each DBE will perform. To count toward meeting a goal, each DBE firm must be certified in a NAICS code applicable to the kind of work the firm would perform on the contract.

• Dollar amount of each DBE’s participation.

• Written or electronic signature of a commitment to use a DBE subcontractor whose participation is being used to meet a contract goal.

• Written or electronic signature confirmation from the DBE that it is participating in the contract as provided in the prime contractor’s commitment.

• If the contract goal is not met, evidence of good faith efforts that meet the standards set forth in Part 26, Appendix A. The documentation of good faith efforts must include copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract.

If the contract goal is not met, the bidder’s good faith efforts are reviewed by the Department and may be approved or disapproved. If disapproved, the bidder may seek administrative reconsideration of the disapproval, which is conducted by persons other than those involved in the initial determination.

If a prime intends to terminate a DBE subcontractor, the prime must request approval from the

Department prior to termination. Additionally, the prime must provide the DBE firm notice in writing that it intends to terminate the DBE’s contract and state the reason for termination. DBE firms are to be given a minimum of five days from receipt of that notice to respond, agreeing or disagreeing with the prime’s intention, including reasons for disagreement.

If a DBE contractor is removed from a project or fails to complete its work on a project for any reason, the prime contractor is required to make a good faith effort to find another DBE subcontractor to replace the original DBE and perform an equivalent amount of work. Primes must have a minimum of seven days to provide their good faith effort documentation or identify

Section 26.53 DBE Good Faith Effort Procedures Page 30

substitute DBE firms. At the request of the prime, contracting entities may be afforded additional time if deemed appropriate by the Department. The prime may also submit the information early, before the seven-day deadline.

Bureau of Project Delivery – Consultant Agreements

Publication 93 contains five sections relevant to good faith efforts for consultant agreements.

Section 3.6.8, Review for DBE Goal Compliance, describes how a price proposal must be reviewed for compliance with the advertised DBE goal. Section 5.4.1 lists types of actions that should be considered as part of a consultant’s good faith efforts to obtain DBE participation.

Section 5.4.5, DBE Good Faith Effort Approval Process for Consultant Agreements, provides the actions considered to be a good faith effort and procedures for good faith effort review, appeal, and reconsideration in consultant agreements. Section 5.4.6, Evaluation of DBE Goal Attainment for Consultant Agreements, describes procedures for determining whether an agreement’s DBE goal has been met. Section 5.4.7, Good Faith Effort Sanctions, details the roles and procedures

when the good faith effort is not approved. See Attachment K: Good Faith Efforts for Service

Agreements.

For projects completed by a Local Project Sponsor, Publication 740 , Section 3.8, and Publication

93 , Section 1.1, require the use of ECMS for consultant selection and engineering agreements.

By using this procedure, all bids are reviewed for DBE goal compliance or good faith effort in the same manner as a Department-led project.

Bureau of Project Delivery – Highway Construction

Publication 408 , DSP 7, Sections VI and VII, describe the good faith efforts requirements for highway construction projects. These requirements have been written to strictly comply with

Section 26. Implementation of the requirements is clarified by Publication 2 , Section B.11.6, which discusses procedures District Office personnel must follow regarding the prime contractor’s documentation of good faith efforts. Sections C.1.5 and C.1.7 of Publication 2 contain additional information related to DBE subcontractor documentation. The good faith effort requirements of Publication 408 and Publication 2 also apply to projects completed by a

Local Project Sponsor, as documented in Publication 740, Section 7.0.

The Department requires that a contractor make a good faith effort to replace (with another certified DBE) any DBE-committed dollar amount from a DBE contract that is terminated or reduced due to project requirements or due to the DBE firm’s failure to complete its work on a contract, to the extent needed to meet the contract goal. Specific substitution requirements are documented in Publication 408 , DSP 7, Section VII.(d). The implementation of these

requirements is supported by other documents. Workflows 3A, 3B, and 3C in Attachment F

document the process for a prime contractor to remove and replace a DBE subcontractor.

Publication 2 , Section B.11.6.III.C, discusses procedures for documenting good faith efforts in

DBE replacement situations. Additionally, Workflows 2 and 4 in Attachment F have been

created to document the construction contract good faith efforts procedures both pre- and postaward.

Section 26.53 DBE Good Faith Effort Procedures Page 31

Attachment L provides a detailed description of the Good Faith Efforts Approval Process for

construction.

Design-Build: The Department establishes contract goals on design-build projects and utilizes the overall dollar amount of both the final design portion and construction cost estimate to determine the design-build DBE contract goal. The Department uses the same monitoring methods for design-build projects as it does for traditional project delivery. Publication 448 ,

Section 3.2.4.1, provides information on DBE goal calculation.

Bureau of Aviation

Publication 405 , Section 4.2.2, requires airport sponsors to adhere to the DBE requirements set forth in the grant conditions and assurances contained in each grant issued by the BOA. The

good faith efforts approval process for airport projects is contained in Attachment M: Good Faith

Efforts for Aviation.

Good faith efforts requirements are also noted in Attachment I: Aviation Checklist.

Bureau of Public Transportation

The Good Faith Efforts approval process for public transportation projects is contained in

Attachment N: Good Faith Efforts for Public Transportation.

Good faith efforts requirements are also noted in Form PT-27 – DBE Project Compliance

Review Checklist for Transit Systems.

Bureau of Planning and Research

The DBE Requirements Contract Appendix that is attached to BPR contracts specifies that vendors must submit a Form EO-385 with their bid to document DBE commitments. See

Attachment A: DBE Requirements Contract Appendix.

Attachment K provides a detailed description of the Good Faith Efforts Approval Process for

service agreements.

Bureau of Office Services

The DBE Requirements Contract Appendix that is attached to BOS contracts specifies that vendors must submit a Form EO-385 with their bid to document DBE commitments. See

Attachment A: DBE Requirements Contract Appendix.

Attachment K provides a detailed description of the Good Faith Efforts Approval Process for

service agreements.

Center for Program Development

Section 22 of the Program Center’s master grant agreement with planning organizations

(Attachment B) encourages the use of DBEs for any contracting or subcontracting needs. It also

Section 26.53 DBE Good Faith Effort Procedures Page 32

requires that if a DBE goal has been created, the organization must meet the DBE goal or to make a good faith effort to meet it. The master grant agreement includes Exhibit S containing the requirements to demonstrate good faith effort.

Attachment O provides a detailed description of the Good Faith Efforts Approval process for the

Program Center.

Section 26.55 Counting DBE Participation

The Department counts DBE participation toward overall and contract goals as described in Part

26, Section 26.55. The Department monitors its projects to ensure that DBEs are performing a commercially useful function (CUF). The results of the CUF evaluation are reported using Form

EO-354 – DBE Commercially Useful Function Report.

Bureau of Project Delivery – Consultant Agreements

The Department’s processes for monitoring the work of DBE consultants to be sure they are actually performing the work committed to is contained within Publication 93 . The document contains two sections related to counting DBE participation toward overall and contract goals.

Section 5.4.2 – DBE Certification, provides certification requirements that DBEs must meet for counting towards the DBE goal. Section 5.4.4 – Monitoring of DBE Consultants, describes the procedures for verifying that DBEs are performing a CUF on an agreement.

Bureau of Project Delivery – Highway Construction

Publication 408 , DSP7, Section III, contains requirements for counting DBE participation toward the DBE goal. This section contains provisions for counting the DBE percentage for prime contractors, subcontractors, materials and supplies, service providers, and trucking firms. Section

III(b) includes instruction for how to count materials and supplies purchased through DBE

Regular Dealers and DBE Transaction Expediters/Brokers. The determination of whether a DBE is acting as a regular dealer or an expeditor/broker will be made on a contract-by-contract basis.

Detailed provisions are included in Section III(d) for trucking firms, to ensure that DBE credit is only provided where approved by Part 26.

Publication 2 , Section B.11.6.III.E, discusses the procedures used by the Inspector-in-Charge to evaluate whether the DBE is performing a CUF. For projects completed by a Local Project

Sponsor, Publication 740 , Section 7.1.C.3, requires the Inspector-in-Charge to evaluate if the

DBE is performing a CUF.

Workflow 7 in Attachment F details the process for determining whether a DBE is performing a

CUF.

Bureau of Aviation

The Bureau of Aviation employs two checklists that aid airport sponsors and BOA in properly administering projects and grants for DBE compliance. These checklists are Form AV-27 and

Attachment I. Both include checklist items to verify that DBEs are performing a CUF and

Section 26.55 Counting DBE Participation Page 33

documenting such on Form EO-354AV – DBE Commercially Useful Function Report -

Aviation.

For some projects (generally larger projects), a consultant construction manager performs the

CUF evaluation. Smaller projects are generally overseen by airport employees, who perform the

CUF evaluation in those instances.

Bureau of Public Transportation

BPT uses a “DBE Project Compliance Review Checklist for Transit Systems.” The checklist aids transit systems and BPT in properly administering projects and grants for DBE compliance. As part of this checklist, transit systems are required to verify that DBEs are performing a CUF and document this action on Form EO-354PT – DBE Commercially Useful Function Report – Public

Transportation.

For some projects (generally larger projects), a consultant construction manager performs the

CUF evaluation. Smaller projects are generally overseen by transit system employees, who perform the CUF evaluation in those instances.

Bureau of Planning and Research

The DBE Requirements Contract Appendix (Attachment A) that is attached to BPR contracts

specifies that the Department will review the vendor’s DBE involvement efforts during the performance of the contract and will include a CUF analysis for all DBEs.

Bureau of Office Services

The DBE Requirements Contract Appendix (Attachment A) that is attached to BOS contracts

specifies that the Department will review the vendor’s DBE involvement efforts during the performance of the contract and will include a CUF analysis for all DBEs.

Center for Program Development

Section 14 of the Program Center’s master grant agreement with planning organizations

(Attachment B) requires compliance with all of Part 26, which includes Part 26, Section 26.55,

regarding the counting of DBE participation.

PA Department of Conservation and Natural Resources

DCNR’s RTP grant agreement Includes Exhibit A – DBE and SBE Requirements for the

Recreational Trails Program (Attachment C). Section 5 of this exhibit requires a CUF analysis

for all DBEs working on the grant-funded project.

Section 26.55 Counting DBE Participation Page 34

SUBPART D – CERTIFICATION STANDARDS

Section 26.61 – 26.73 Certification Standards

As a member of the PA UCP, the Department uses the certification standards of Part 26, Subpart

D, to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts.

Additionally, the Department utilizes 49 CFR Part 23, Subpart C, to determine the eligibility of airport concessionaries to participate as Airport Concessionaire DBEs (ACDBE) in DOTassisted contracts. To be certified as a DBE, a firm must meet all certification eligibility standards. The firm seeking certification has the burden of proving by a preponderance of the evidence that it meets the requirements concerning group membership or individual disadvantage, business size, ownership, and control. The Department will make certification decisions based on all the facts in the record as required by Parts 26 and 23.

For detailed information on applying for certification, the certification process, and certification standards, firms may contact Department at either of the following addresses or they may contact any certifying participant in the PA UCP by visiting www.paucp.com

. This website and the

Department’s main website are both ADA-compliant. or Pennsylvania Dept. of Transportation

Bureau of Equal Opportunity

DBE/Title VI Division

Commonwealth Keystone Building

5 th

Floor

400 North Street

Harrisburg, PA 17120

Pennsylvania Dept. of Transportation

Bureau of Equal Opportunity

DBE/Title VI Division

P.O. Box 3251

Harrisburg, PA, 17105-3251

717-787-5891

800-468-4201

717-772-4026 (fax) [email protected]

The Department follows a set of procedures for processing initial certification requests as

documented in Workflow 9A in Attachment F. DBE firms certified to perform certain types of

work (under certain NAICS codes) may request to become certified in additional areas of work.

The Department’s procedures for these requests are contained in Workflow 9C in Attachment F.

Section 26.65 Business Size Standards

To qualify for certification as a DBE, a firm must be an existing small business, as defined by federal Small Business Administration business size standards found in 13 CFR Part 121, and have had average annual gross receipts (as defined by SBA regulations in 13 CRF 121.402) for the firm’s three previous fiscal years less than the amount specified in Part 26, Section 26.65(b) and (c).

Section 26.61 – 26.73 Certification Standards Page 35

Section 26.67 Social and Economic Disadvantage Standards

Citizens of the United States and lawfully admitted permanent residents who are women, Black

Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent

Asian Americans, or other minorities found to be disadvantaged by the SBA are presumed to be socially and economically disadvantaged individuals. Applicants in one of these groups must submit a signed, notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically disadvantaged. In addition, each firm owner whose ownership and control are relied upon for DBE certification must certify that he or she has a personal net worth that does not exceed $1.32 million.

An individual’s presumption of disadvantage can be rebutted in one of two ways: (1) Having a net worth in excess of $1.23 million. (2) Demonstrating that the individual has the capacity to accumulate significant wealth. If the presumption is rebutted, that individual’s ownership interest cannot be counted toward meeting requirements for DBE certification. If the second method of rebuttal is used, a proceeding is required to present evidence in support of the rebuttal.

Individuals that are not presumed to be disadvantaged and those whose presumed disadvantage has been rebutted may apply for an individual determination of social and economic disadvantage. The individual determination shall include a proceeding where the firm has the burden of proving that the individuals who own and control it are socially and economically disadvantaged. Appendix E of Part 26 will be used in making these determinations.

Section 26.73 Other Standards

When making certification decisions, the Department may consider whether a firm has exhibited a pattern of conduct indicating its involvement in attempts to evade or subvert the intent or the requirements of the DBE program. In all other situations, the eligibility of the firm for certification will be evaluated only on present circumstances.

Section 26.67 Social and Economic Disadvantage Standards Page 36

SUBPART E – CERTIFICATION PROCEDURES

Section 26.81 Unified Certification Program

The Department is a member of the PA UCP and abides by the Cooperative Memorandum of

Agreement, as amended, having established a Unified DBE Certification Program between and among DOT recipients in the Commonwealth of Pennsylvania. The PA UCP received approval of the agreement from DOT on January 20, 2004. The PA UCP meets all of the requirements of

Part 26, Section 26.81.

Certifying participants in the PA UCP are Allegheny County Department of MBE/WBE/DBE, the Philadelphia International Airport’s DBE Program Office, the Port Authority of Allegheny

County, the Southeastern Pennsylvania Transportation Authority, and PennDOT.

The PA UCP uses its Standards and Procedures Manual (Procedures Manual), included in

Attachment P: PA UCP Standards and Procedures Manual, to ensure uniformity of practice in

the implementation of the DBE certification process. The Department amends its Procedures

Manual as corrective amendments to Parts 26 and 23 are issued that impact DBE certification standards and procedures.

The PA UCP utilizes the DOT’s Uniform Certification Application and is structured so that a

DBE applicant can submit its application to any certifying participant. However, upon receipt by a given certifying participant, the application will either be handled internally or forwarded to another certifying participant where a backlog or geographic considerations make it more costefficient for another certifying participant to evaluate the application. The certifying participants make all certification decisions on behalf of all DOT recipients in the Commonwealth. Once a

DBE applicant has been certified by any certifying participant, all other DOT recipients within the Commonwealth recognize the certification. This comports with the “one-stop shopping” component of Part 26, Section 26.81, and ensures that a prospective DBE applicant will need to apply only once for a DBE certification that will be honored by all recipients. If a certifying participant or other Pennsylvania recipient/signatory is unwilling to abide by a decision made by a PA UCP certifying participant, then the UCP Oversight Committee (OC) will be responsible for establishing remedial procedures to resolve. If the dispute cannot be resolved by the OC, the matter may be referred to a designated executive/official within the certifying participants’ organization for additional guidance. Should the OC or the designated official(s)/executive(s) require further guidance or reach an impasse, the OC may bring the matter to the attention of

DOT for intervention and possible conciliation.

Out-of-state firms seeking DBE certification in Pennsylvania must first be DBE-certified in their home state. The PA UCP has not formed regional reciprocity with other states at this time. See

Section 26.85.

Section 26.83 Procedures for Certification Decisions

The PA UCP reviewed the eligibility of DBEs that were certified under former Part 23 to ensure that each firm met the standards of Subparts D and E of Part 26.

Section 26.81 Unified Certification Program Page 37

DBEs that are found to be eligible in accordance with Part 26 are considered certified until they are removed from the program under procedures outlined under Part 26, Section 26.87.

Firms seeking initial certification as a DBE may do so through the www.paucp.com

website or by contacting any of the certifying participants directly, as noted on the website. Department procedures for processing initial certification requests are contained in Workflow 9A in

Attachment F. Workflow 9C details the procedures for DBE firms certified to perform certain

types of work (NAICS codes) to become certified in additional areas of work.

A DBE is required to submit a Notice of Change Affidavit for circumstances that may affect its ability to meet size, disadvantaged status, ownership, or control criteria of Part 26 or when there are any material changes to the information provided with DBE’s application for certification.

Department procedures related to this affidavit are in Workflow 9B in Attachment F.

A DBE is required to submit an annual Affidavit of No Change affirming that there have been no changes in the firm’s circumstances affecting its ability to meet size, disadvantaged status, ownership, or control criteria of Part 26 or of any material changed in the information provided with DBE’s application for certification. Approximately one month prior to the firm’s certification anniversary date, the DBE will be sent an Affidavit of No Change to be completed and returned to any certifying participant. Department procedures related to the processing of

this affidavit are in Workflow 9D in Attachment F.

A DBE may be required to provide additional information to determine continued eligibility for the program. Additionally, the Department reserves the right to revisit or investigate a firm if there is a reason to suspect that the firm is no longer eligible to participate as a DBE.

Section 26.85 Interstate Certification

A firm certified as a DBE in its home state may apply for certification in Pennsylvania. The

Department may, at its discretion, accept the home state’s certification and certify the firm without further procedure. To obtain certification in this manner, the firm shall provide the

Department with a copy of its certification notice from its home state and the Department will confirm the validity of the certification from the home state.

If the Department chooses not to accept the home state’s certification, the firm shall provide the information required by Part 26, Section 26.85(c)(1), to the Department, which shall make a determination of certification as required by Part 26, Section 26.85.

Section 26.86 Denials of Initial Requests for Certification

In the event of a denial of certification or an ineligibility determination, a firm may reapply for certification six months from the date the denial was issued. Firms are advised of the right to receive an informal administrative hearing/appeal before the PA UCP’s Certification Appeals

Committee (Committee) or to appeal a decision directly to the DOT. Department procedures

related to the Committee are contained in Workflow 9E in Attachment F.

Section 26.85 Interstate Certification Page 38

Section 26.87 Removal of Eligibility

In the event of removal of eligibility of a DBE, the procedures outlined in Part 26 are followed.

The firm may reapply for certification six months from the date removal of eligibility was issued.

Prior to removing eligibility, the DBE is notified of its right to an administrative due process hearing where a stenographer is present to create a verbatim transcript of the proceedings. When a DBE’s eligibility is removed, the firm is advised of its right to appeal the decision to the DOT.

To ensure separation of functions in a removal of eligibility proceeding, the Committee confirms that the initial decision-maker has not participated in any way in the earlier removal decision against the firm or the decision to initiate such proceeding.

Section 26.88 Summary Suspension of Certification

The Department shall immediately suspend a DBE’s certification if an owner whose ownership and control of the firm are necessary to the firm’s certification dies or is incarcerated. The PA

UCP may immediately suspend a DBE’s certification where there is adequate evidence that there has been a material change in circumstances that may affect the firm’s DBE eligibility or when the firm fails to notify the Department of a material change in circumstances or fails to file an annual Affidavit of No Change.

The suspension notice will be drafted by the Department’s Office of Chief Counsel and must be communicated to the firm immediately. The suspension takes effect when the DBE receives or is deemed to have received the notice. Following receipt of a notice suspension, a DBE that believes it is no longer eligible for the program may voluntarily withdraw from the program. If the DBE believes that its eligibility should be reinstated, it must provide to the Department information demonstrating its eligibility. The Department, within 30 days of receiving this information, must either lift the suspension and reinstate the DBE’s certification or commence a hearing under Section 26.87.

Section 26.89 Certification Appeals to DOT

Any firm denied certification or whose eligibility has been removed may appeal to DOT. Such appeals are sent to:

U.S. Department of Transportation

Departmental Office of Civil Rights

1200 New Jersey Avenue, SE W-35

Washington, DC 20590

Phone: 202-366-4754

TTY: 202-366-9696

Fax: 202-366-5575.

Section 26.87 Removal of Eligibility Page 39

Section 26.91 DOT Certification Appeals Decisions

Certification appeal decisions affecting the eligibility of DBEs are promptly implemented as required by Part 26.

If DOT determines the Department erroneously certified a firm as a DBE, the firm’s DBE status will be removed, effective on the date of receipt of DOT’s decision.

If DOT determines the Department erroneously failed to find reasonable cause to remove a firm’s eligibility, the Department will expeditiously begin proceedings to determine whether the firm’s eligibility should be removed.

If DOT determines that the Department erroneously declined to certify or removed the eligibility of a firm, the Department will certify the firm, effective on the date of receipt of DOT’s decision.

If DOT determines that the Department erroneously determined that the presumption of social and economic disadvantage either should or should not be deemed rebutted, the Department will take the corrective action stipulated by DOT.

If DOT affirms the Department’s determination, no further action will be taken.

All participants in the Department’s DBE program will cooperate with compliance reviews, investigations, and other actions triggered by DOT.

Section 26.91 DOT Certification Appeals Decisions Page 40

SUBPART F - COMPLIANCE AND ENFORCEMENT

Section 26.101 Compliance Procedures for Recipients

If the Department or any of its subrecipients fails to comply with requirements of Part 26, then the Department or the subrecipient may be subject to formal enforcement action which could result in the suspension or termination of federal funds or refusal to approve projects, grants, or contracts.

Section 26.103 Enforcement Actions

Non-compliance complaints: Any person who believes that the Department or a subrecipient has failed to comply with its obligations under this part may file a written complaint with the concerned operating administration’s Office of Civil Rights. The complainant must do so no later than 180 days after the date of the alleged violation or the date on which the complainant learned of a continuing course of conduct in violation of this part. In response to the written request, the Office of Civil Rights may extend the time for filing in the interest of justice, specifying in writing the reason for so doing. The Office of Civil Rights will protect the confidentiality of the complainant’s identity as provided in Part 26, Section 26.109(b).

Complaints under Part 26 are limited to allegations of violation of the provisions of Part 26.

Anyone wishing to file a complaint with the Federal Aviation Administration (FAA) may address it to:

Office of Civil Rights

Federal Aviation Administration

U.S. Department of Transportation

800 Independence Avenue

Washington, DC 20591

Anyone wishing to file a complaint with the Federal Highway Administration (FHWA) may address it to:

Office of Civil Rights

Federal Highway Administration

Pennsylvania Division Office

228 Walnut Street

Harrisburg, PA 17101-1720

Anyone wishing to file a complaint with the Federal Transit Administration (FTA) may address it to:

Office of Civil Rights

Federal Transit Administration

U.S. Department of Transportation

1200 New Jersey Avenue, SE

Washington, DC 20590

Section 26.101 Compliance Procedures for Recipients Page 41

If the Department has reason to believe that a subrecipient, contractor, consultant, supplier, or lessee on a DOT-assisted contract is not operating in compliance with the terms, conditions or requirements of the DBE program and the Department’s special provisions, the Department will commence an investigation by contacting the appropriate engineering district. Where necessary, the Department will send a contract compliance specialist to the job site for a preliminary assessment and report.

In the event that the report and the supporting evidence suggest that the contractor is not in compliance, the Department will issue a written “Show Cause Notice” to the party or parties. This Notice will contain a list of the specific infractions. The contractor will be required to submit a Corrective Action Plan and/or schedule a compliance conference with the

Department to negotiate the Plan within fifteen (15) days of receipt of the “Show Cause Notice”.

The Notice shall also state that failure to make corrections within the prescribed timeframe may result in the sanctions (i.e. withholding of all or part of payments; potential suspension of the contract and disqualification of the vendor from future bidding on the Department’s federal-aid projects).

If the contractor fails to respond to the notice and continues to be in non-compliance, the

Department, after consultation with its Office of Chief Counsel, will initiate the most appropriate sanctions contained in the Notice and take all necessary and reasonable actions under its authority to ensure that the DBE program requirements are enforced. The Department will send a copy of its written enforcement actions to the impacted operating administration (OA) of the

DOT for consideration of additional sanctions (action under suspension and debarment or, if necessary, referral to the Department of Justice or to the DOT’s Inspector General).

Section 26.107 Enforcement Actions for Firms

DOT may initiate suspension or debarment proceedings against any firm that does not meet the

DBE eligibility criteria and that attempts to participate in a DOT-assisted program as a DBE on the basis of false, fraudulent or deceitful statements or representations or circumstances indicating a serious lack of business integrity or honesty. Similarly, DOT may initiate suspension or debarment proceedings against any firm that in order to meet DBE contract goals or other

DBE program requirements, use or attempts to use another firm that does not meet the DBE eligibility criteria on the basis of false, fraudulent or deceitful statements or representations.

DOT may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, against any participant in the DBE program whose conduct is subject to such action. DOT may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other applicable provisions of law, any person who makes a false or fraudulent statement related to participation of a DBE in any DOT-assisted program or who otherwise violates applicable Federal statutes.

Additionally, if the Department has reason to believe that a contractor, consultant, supplier, or lessee on a DOT-assisted contract is not operating in compliance with the terms, conditions or requirements of the DBE program and the Department’s special provisions, the Department will refer the matter to the Office of Chief Counsel to determine the appropriate course of action which may include an investigation and a referral to the Office of Inspector General for the

Commonwealth.

Section 26.107 Enforcement Actions for Firms Page 42

Section 26.109 Information, Confidentiality, Cooperation

The Department safeguards from disclosure third-party information, including financial information, consistent with federal, state, and local law. The PA Right to Know Law (RTKL),

65 P.S. Sections 67.101-67.3104 contains an exception for trade secrets. It also prohibits disclosure where such disclosure is barred by state or federal law.

Notwithstanding any contrary provisions of state or local law, the Department will not release personal financial information submitted in response to the personal net worth requirement for

DBE certification to a third party (other than DOT) without the written consent of the applicant.

The Department’s contracts and agreements with subrecipients contain confidentiality clauses binding the subrecipient to confidentiality requirements.

Section 26.109 Information, Confidentiality, Cooperation Page 43

intentionally blank

Section 26.109 Information, Confidentiality, Cooperation Page 44

Entrepreneur’s

Guide

Form AV-27

Form EO-354

Form EO-354AV

Form EO-354PT

Form EO-355

Form EO-380

Form EO-380PT

Form EO-385

Form EO-401

Form EO-402

Form EO-402LP

Form PT-27

Grant Terms and

Conditions

Management

Directive 305.8

URL Summary List

The following hyperlinks appear in this report; full URLs are provided below.

Linked Text

49 CFR Part 23, as amended

URL

http://www.ecfr.gov/cgi-bin/textidx?SID=ae43b2b2e9cf3b7bf59563b68f74e401&node=pt49.1.23&rgn=d iv5

49 CFR Part 26, as amended http://www.ecfr.gov/cgi-bin/textidx?SID=df232feeac1a39e6f07b918bfe3e7c19&node=pt49.1.26&rgn=di v5

62 Pa.C.S. § 2108 http://www.legis.state.pa.us/cfdocs/legis/LI/consCheck.cfm?txtType=HT

M&ttl=62&div=0&chpt=21

DBE Policy

Statement

PA UCP http://www.penndot.gov/aboutus/EqualEmployment/Documents/DBE%20Policy%20Statement_%208-

31-15_%20LSR.pdf

http://newpa.com/business-assistance/small-businessassistance/entrepreneur-guide/ http://www.dot.state.pa.us/public/pubsforms/Forms/AV-27.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-354.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-354AV.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-354PT.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-355.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-380.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-380PT.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-385.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-401.xls

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-402.pdf

http://www.dot.state.pa.us/public/PubsForms/Forms/EO-402LP.xlsx

http://www.dot.state.pa.us/public/PubsForms/Forms/PT-27.pdf

http://www.dcnr.state.pa.us/cs/groups/public/documents/document/d_001

231.pdf

http://www.portal.state.pa.us/portal/server.pt/gateway/PTARGS_0_2_78

5_711_0_43/http%3B/pubcontent.state.pa.us/publishedcontent/publish/gl obal/files/management_directives/financial_management/305_8.pdf

http://www.paucp.com/

URL Summary List Page 45

Linked Text

PennDOT Bureau of

Equal Opportunity

Publication 2

URL

http://www.penndot.gov/about-us/EqualEmployment

Publication 405

Publication 408

Publication 442

Publication 448

Publication 740

Publication 93

US DOT Uniform

Certification

Application http://www.dot.state.pa.us/public/pdf/BOCM_MTD_LAB/PUBLICATIO

NS/POM/POMcover.pdf

http://www.dot.state.pa.us/public/PubsForms/Publications/PUB 405.pdf

http://www.dot.state.pa.us/public/bureaus/design/pub408/pub%20408-

2011.pdf

http://www.dot.state.pa.us/public/pubsforms/Publications/PUB 442.pdf

http://www.dot.state.pa.us/public/pubsforms/Publications/Pub%20448/Pu b%20448.pdf

http://www.dot.state.pa.us/public/pubsforms/Publications/PUB%20740.p

df http://www.dot.state.pa.us/public/PubsForms/Publications/PUB 93.pdf

http://www.dot.gov/osdbu/disadvantaged-business-enterprise/dbeuniform-certification-application

URL Summary List Page 46

Index by Bureau

Bureau of Aviation

Section 26.11 – Recordkeeping Requirements ........................................................................... 4

Section 26.25 – DBE Liaison Officer ....................................................................................... 12

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 21

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 32

Section 26.55 – Counting DBE Participation ........................................................................... 33

Bureau of Office Services

Section 26.11 – Recordkeeping Requirements ........................................................................... 5

Section 26.25 – DBE Liaison Officer ....................................................................................... 13

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 22

Section 26.51 – Breakout of Estimated Race-Neutral and Race-Conscious Participation ....... 29

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 32

Section 26.55 – Counting DBE Participation ........................................................................... 34

Bureau of Planning and Research

Section 26.11 – Recordkeeping Requirements ........................................................................... 5

Section 26.25 – DBE Liaison Officer ....................................................................................... 13

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 22

Section 26.51 – Breakout of Estimated Race-Neutral and Race-Conscious Participation ....... 29

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 32

Section 26.55 – Counting DBE Participation ........................................................................... 34

Bureau of Project Delivery

Section 26.25 – DBE Liaison Officer ....................................................................................... 11

Bureau of Project Delivery – Consultant Agreements

Section 26.11 – Recordkeeping Requirements ........................................................................... 4

Section 26.29 – Prompt Payment Mechanisms......................................................................... 14

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 20

Index by Bureau Page 47

Section 26.51 – Breakout of Estimated Race-Neutral and Race-Conscious Participation ....... 29

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 31

Section 26.55 – Counting DBE Participation ........................................................................... 33

Bureau of Project Delivery – Highway Construction

Section 26.11 – Recordkeeping Requirements ........................................................................... 4

Section 26.29 – Prompt Payment Mechanisms......................................................................... 15

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 21

Section 26.51 – Breakout of Estimated Race-Neutral and Race-Conscious Participation ....... 29

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 31

Section 26.55 – Counting DBE Participation ........................................................................... 33

Bureau of Public Transportation

Section 26.11 – Recordkeeping Requirements ........................................................................... 5

Section 26.25 – DBE Liaison Officer ....................................................................................... 12

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 22

Section 26.53 – DBE Good Faith Effort Procedures ................................................................ 32

Section 26.55 – Counting DBE Participation ........................................................................... 34

Center for Program Development

Section 26.11 – Recordkeeping Requirements ........................................................................... 5

Section 26.25 – DBE Liaison Officer ....................................................................................... 13

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 22

Section 26.55 – Counting DBE Participation ..................................................................... 32, 34

PA Department of Conservation and Natural Resources

Section 26.11 – Recordkeeping Requirements ........................................................................... 6

Section 26.25 – DBE Liaison Officer ....................................................................................... 13

Section 26.29 – Prompt Payment Mechanisms......................................................................... 16

Section 26.37 – Monitoring and Enforcement Mechanisms ..................................................... 22

Section 26.55 – Counting DBE Participation ........................................................................... 34

Index by Bureau Page 48

Attachment A: DBE Requirements Contract Appendix

Attachment B: Master Grant Agreement

Attachment C: DBE and SBE Requirements for the Recreational Trails Program

(DCNR Exhibit A)

Attachment D: Program Center Awards, Commitments, and Payments Spreadsheet

Attachment E: DCNR Awards, Commitments, and Payments Spreadsheet

Attachment F: Workflows

Attachment G: PennDOT Organizational Chart

Attachment H: PennDOT Bureau of Equal Opportunity Organizational Chart

Attachment I: Aviation Checklist

Attachment J: PennDOT Bureau of Public Transportation Standard Terms and

Conditions for Grants

Attachment K: Good Faith Efforts for Service Agreements

Attachment L: Good Faith Efforts

Attachment M: Good Faith Efforts for Aviation

Attachment N: Good Faith Efforts for Public Transportation

Attachment O: Good Faith Efforts for the Program Center

Attachment P: PA UCP Standards and Procedures Manual

Attachment A: DBE Requirements Contract Appendix

Revised 11/14

APPENDIX ____

DISADVANTAGED BUSINESS ENTERPRISE REQUIREMENTS

I. DBE GOAL—

The Pennsylvania Department of Transportation (Department) has established, in connection with this contract, a

Disadvantaged Business Enterprise (DBE) goal as specified in the Request for Proposal/Request for

Quote/Invitation for Bid for the utilization of for profit, small business concerns that are 51% owned and controlled by socially and economically disadvantaged (disadvantaged) individuals certified by the PA Unified Certification

Program (PA UCP) as DBEs.

For the purposes of this document, the term ‘bid’ refers to the response to a request for proposal, request for quote, or invitation for bid.

The DBE goal is stated in terms of total project cost and is based on the project’s potential for subcontracted work and the availability of DBEs to perform such work. If the

DBE goal is zero, the selected vendor will be required to make a DBE good faith effort (GFE) to identify, solicit, and utilize DBEs and Small Business Enterprises (SBEs). This DBE goal remains in effect for the life of the project.

The selected vendor shall include the following provisions (paragraphs a through d) in every subcontract. These provisions shall be binding upon the selected vendor as well each subcontractor, supplier, service provider or consultant.

(a) Policy for Federally-Funded Projects. It is the policy of the U.S. Department of Transportation (DOT) and the Department that DBEs, as defined in 49 CFR Part 26, (Part 26) and this specification, be afforded the opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this contract. Consequently, the DBE requirements of Part 26, apply to this contract.

(b) DBE Obligation. The selected vendor will take all necessary and reasonable steps to ensure that DBEs have the opportunity to compete for and to perform contracts. The selected vendor shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of the Department and

DOT - assisted contracts.

(c) Failure to Comply with DBE Requirements. Failure to carry out the requirements as specified constitutes a breach of contract and may result in termination of the contract, being barred from bidding on Department contracts for up to three (3) years, or any other remedy that the Department deems appropriate. Failure to comply with DBE requirements may include, but is not limited to, failure to submit DBE Participation information with the bid, failure to exert a reasonable Good Faith Effort to meet the established DBE goal, or failure to realize the approved DBE participation level set forth may result in the selected vendor being declared ineligible for the contract.

(d) Small Business Enterprise (SBE) Participation. The recruitment and utilization of certified SBEs serves as an additional requirement in addition to all other equal opportunity requirements of the contract.

There is no SBE goal for this contract.

II. DEFINITIONS—

The following definitions apply for terms used in this specification:

(a) Certified Disadvantaged Business Enterprise (DBE). A for-profit small business concern that meets the following requirements:

1. DBE certification from the Pennsylvania Unified Certification Program (PAUCP) as listed on www.paucp.com.

2. Meets the ownership and control requirements of the DBE certification program as set forth in Part 26.

3. Meets the Personal Net Worth requirements of the DBE certification program.

Page 1 of 8

Revised 11/14

(b) Certified Small Business Enterprise (SBE). A for-profit small business concern that meets the following requirements:

1. Obtains certification as an SBE by the Department as listed on www.dotsbe.pa.gov

.

2. Meets the ownership and control requirements of the SBE certification program.

3. Meets the Personal Net Worth requirements of the SBE certification program.

(c) Commercially Useful Function (CUF). A DBE performs a CUF when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, installing (where applicable), and paying for the material itself.

(d) Interdisciplinary Review Team (IRT). A team of three (3) individuals representing the Department’s

Bureaus of Equal Opportunity and representatives from the impacted business area(s) that performs the initial review of the GFE documentation and makes the recommendation to the Director of the Bureau of

Equal Opportunity.

(e) Committee. The GFE Review Committee.

(f) Director. Director, Bureau of Equal Opportunity.

(g) DBE Participation. The work performed by DBEs on the contract and counted toward the project’s

DBE goal. This information is to be submitted with the bid and if approved becomes a contractual obligation for the life of the contract.

(h) Revised DBE Participation. If, during the performance of the contract the DBE Participation requires revision, the selected vendor must request approval from the Department. If approved, the Revised DBE

Participation becomes a contractual obligation for the life of the contract.

(i) Supplier. A manufacturer, regular dealer, or transaction expeditor/broker.

1. Manufacturer. A DBE/SBE that operates or maintains a factory or establishment that produces on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

2. Regular Dealer. A DBE/SBE that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided above if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.

3. Transaction Expeditor/Broker. A DBE/SBE packager, broker, manufacturers' representatives, or other persons who arrange or expedite transactions and who arrange for material drop-shipments.

(j) Service Provider. A DBE/SBE that performs professional, technical consultant, or managerial services.

(k) Shortfall. The difference between the dollar amount on the approved DBE commitment and the amount of payments to the approved DBE entities.

III. COUNTING DBE PARTICIPATION

Utilization of certified DBEs is in addition to all other equal opportunity requirements of the contract.

Page 2 of 8

Revised 11/14

Count DBE Participation toward meeting the DBE Goal for federal projects as follows: If a firm is a certified

DBE contractor or subcontractor at the time of submission for the bid, the total dollar value of the contract awarded to the certified DBE is counted toward the applicable DBE goal as provided below. Any services to be performed by a DBE are required to be readily identifiable to the project.

(a) Construction.

1. Prime Contractor. The Department requires that all prime contractors including DBE prime contractors perform at least 50% of the work on a Department project. A DBE prime contractor will receive credit for all work performed with its own forces. The Department strongly encourages DBE prime contractors to make additional outreach efforts to solicit DBEs to perform subcontracting work on the project.

2. Subcontractor. When a DBE participates in a contract directly as a subcontractor or as a second- tier or lower-tier subcontractor, count only the value of the work actually performed by the DBE.

Count the entire amount of that portion of a contract that is performed by the DBE's own forces.

Include the cost of supplies and materials obtained by the DBE for the work of the subcontract, including supplies purchased or equipment leased by the DBE.

When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted only if the DBE's subcontractor is itself a DBE. Work that a

DBE subcontracts to a non-DBE firm does not count towards the contract’s DBE goal.

Count expenditures to a DBE contractor only if the DBE is performing a CUF on that contract.

(b) Materials and Supplies.

1. DBE Manufacturer. If the materials or supplies are obtained from a DBE manufacturer, count

100% of the cost of the materials or supplies.

2. DBE Regular Dealer. If the materials or supplies are purchased from a DBE regular dealer, count

60% of the cost of the materials or supplies.

3. DBE Transaction Expeditor/Broker. If the materials or supplies are purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, provided the fees are determined to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves.

(c) Service Providers. Count toward the DBE Goal 100% of expenditures of DBE services including, professional, technical, consultant, or managerial services. Count fees or commissions charged for providing any bonds or insurance specifically required for the performance the contract, provided the fee is reasonable and not excessive as compared with fees customarily allowed for similar services.

(d) Trucking Firms. Count 100% of trucking costs using the following factors to determine what can be counted:

1. Count if the DBE is responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.

2. Count if the DBE owns and operates at least one fully licensed, insured, and operational truck used on the contract.

Page 3 of 8

Revised 11/14

3. Count the total value of the transportation services the DBE provides on the contract using trucks it owns, insures, and operates using drivers it employs.

4. The DBE may lease trucks from another DBE firm, including an owner-operator who is a certified

DBE. If the DBE leases trucks from another DBE, count the total value of the transportation services the lessee DBE provides on the contract.

5. The DBE may also lease trucks from a non-DBE firm, including an owner-operator. If the DBE leases trucks from a non-DBE count only the fee or commission it paid as a result of the lease arrangement. Do not count the total value of the transportation services provided by the lessee, since these services are not provided by a DBE.

6. For purposes of this provision, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from being used for work for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE.

IV. COUNTING SBE PARTICIPATION

(a) Recruitment and utilization of certified SBEs is in addition to all other equal opportunity requirements of the contract.

(b) There is no SBE goal.

(c) Count SBE participation the same as DBE participation.

V. ACTIONS REQUIRED BY THE BIDDER AT THE BIDDING STAGE AND PRIOR TO AWARD FOR

PROJECTS WITH A DBE GOAL—

(a) Submission Requirements. The selected vendor must include its DBE Participation with the bid by completing Form EO-385. This submission must include the business name of the DBE firm with address, contact person, and phone number, a detailed narrative description of the service to be provided by the

DBE along with the corresponding North American Industry Classification System (NAICS) code(s), and the percent of the bid’s cost to be contractually allocated to the DBE in the bid submission. Do not request or include physical certification letters. The PA UCP database at www.paucp.com

is the only resource that should be used to verify DBE eligibility. In addition, please note that DBE certification does not expire and expiration dates should not be requested or included. As long as a firm remains visible in the PA UCP database they remain eligible to participate as a DBE on federally-assisted contracts.

When the DBE goal established by the Department is not met (the Department will not round), demonstrate a Good Faith Effort (GFE) to meet the contract’s DBE goal. Demonstrate that the efforts made were those that a vendor seeking to meet the DBE goal established by the Department would make, given all relevant circumstances. Failure to include GFE documentation with the submission, when the DBE goal is not met, will result in rejection of the bid.

(b) Good Faith Effort Requirements. In response to a bid, the vendor must make a ‘Good Faith Effort’ to subcontract a portion of the contract work to certified DBEs. The demonstration of GFE is accomplished by seeking out DBE participation in the contract given all relevant circumstances. If unable to meet the contracts established DBE Goal, the selected vendor must submit documentation of its GFE. The following illustrate the types of efforts that may be taken, but they are not deemed to be exclusive or exhaustive. The Director and/or Committee will consider other factors and types of efforts that may be relevant:

Page 4 of 8

Revised 11/14

• Efforts made to solicit through all reasonable and available means (e.g., use of the DBE Directory, attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The selected vendor must provide written notification, at least fifteen (15) calendar days prior to the bid due date, to allow the DBEs to respond to the solicitation. The selected vendor must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations.

• Efforts made to select portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goal will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the selected vendor might otherwise prefer to perform these work items with its own forces.

• Efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

• Efforts made to negotiate in good faith with interested DBEs. It is the selected vendor’s responsibility to make a portion of the contract work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. A vendor using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as contract DBE goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for a vendor’s failure to meet the contract’s DBE goal, as long as such costs are reasonable. Also, the ability or desire of the selected vendor to perform the work of a contract with its own work force does not relieve the vendor of the responsibility to make GFE. The selected vendor is not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. In situations where the selected vendor chooses to reject a DBE firm’s quote over a non-DBE firm solely due to cost, copies of the quotes received from both the DBE and non-DBE firm must be included in the GFE documentation.

• The selected vendor’s determination of a DBE as being unqualified without sound reasons based on a thorough investigation of their capabilities. The selected vendor’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or nonsolicitation of bids in the selected vendor’s efforts to meet the DBE contract goal.

• Efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance.

• Efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

• Efforts to effectively use the services of the Department's DBE and/or SBE Supportive Services

Centers, services of available minority/women community organizations; minority/women contractors' groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs.

VI. ACTIONS TO BE TAKEN BY THE DEPARTMENT BEFORE AWARD—

(a) Approval. If the selected vendor includes the DBE Participation with their bid, meets the contract’s

DBE goal, and all other contract requirements, the Department will approve the submission.

(b) Good Faith Effort Review. If the selected vendor includes the DBE Participation with their bid, but fails to meet the contract’s DBE goal, the Department will review the GFE documentation included with

Page 5 of 8

Revised 11/14 the bid. The selected vendor may not provide additional GFE documentation beyond what is included at the time of bid submission. However, if during the review of the vendor’s GFE information the reviewers have questions, the selected vendor may be contacted by the IRT Chairperson for clarification.

The GFE steps to be taken are as follows:

1. The IRT reviews and makes a recommendation to the

Director.

2. The Director will do one of the following:

a. Concur with the IRT recommendation that a GFE was made and the DBE Participation will be approved;

b. Concur with the IRT disapproval of the GFE submission. The selected vendor will be afforded the opportunity for administrative reconsideration as required by Part 26.

(i.) If the selected vendor requests administrative reconsideration, the Director forwards the GFE request to the Committee.

(ii.) If the selected vendor does not request administrative reconsideration, than the recommendation stands and the GFE is disapproved. The selected vendor must notify the

Department to this effect in writing. The bid will then be considered non-responsive and will be rejected.

c. Disagree with the IRT recommendation. If the Director determines that a GFE has been made, the

DBE Participation will be approved. If the Director determines that a GFE has not been made, the selected vendor will be afforded the administrative reconsideration process as described above.

3. If administrative reconsideration is requested, the Committee meets and makes the final determination.

If the Committee determines that the selected vendor made a GFE, the DBE Participation will be approved. If the Committee determines that the selected vendor has failed to make a GFE, the bid will be rejected and the selected vendor will be notified of the rejection. The Department will then review the next selected vendor’s DBE participation to determine if the DBE goal is met or if a GFE was made.

VII. ACTION TO BE TAKEN BY THE DEPARTMENT DURING PERFORMANCE OF THE CONTRACT—

To ensure that all obligations awarded to DBEs under this contract are met, the Department will review the selected vendor’s DBE involvement efforts during the performance of the contract whether or not the DBE is listed on the approved DBE Participation. The review will include a CUF review and analysis for all DBEs performing on the contract.

Sanctions. Upon completion of the work the Department will review the actual DBE participation and make a determination regarding the selected vendor’s compliance with the applicable requirements. Sanctions may be imposed for noncompliance or unwarranted shortfalls in the approved DBE goal.

VIII. ACTIONS REQUIRED BY THE SELECTED VENDOR DURING PERFORMANCE OF THE

CONTRACT—

(a) DBE Participation. When DBE Participation is approved in an amount less than the contract’s DBE goal, continue GFE toward meeting the contract’s DBE goal for the life of the contract. Ensure that the DBE

Participation is attained. Proof of attainment is provided by payments to DBEs and documented in monthly reports.

(b) DBE Revised Participation. Obtain written consent from the impacted business area before substituting a

DBE or making any change to the approved DBE Participation or any other DBE performing on the project. Immediately request substitution authorization from the impacted business area in writing who will contact the Bureau of Equal Opportunity. The request must include documentation supporting the substitution and written agreement from the DBE to the change. Include proof that a certified letter giving

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Revised 11/14 the DBE five (5) days to respond with acceptance or to notify the Department of non-acceptance.

Demonstrate that every effort has been made to allow the DBE to perform.

1. If the arrangement to be replaced is agreeable between the selected vendor and the DBE, document the following procedures:

• Make a GFE to subcontract the work with another DBE, or subcontract other work items to DBE firms, to make up the DBE shortfall. The selected vendor has seven (7) days from approval of its request to submit the GFE documentation. The selected vendor may request additional time by contacting the impacted business area in writing.

• When the substitution results in meeting the DBE goal, complete a Revised DBE Participation which includes letter(s) from the DBE(s) of their intent to perform on the contract. If the DBE being replaced or substituted has already performed on the contract, the Revised Participation request should include the total amount paid to the DBE prior to its substitution or replacement.

• When the substitution does not result in meeting the DBE goal, complete a Revised DBE

Participation with DBE acknowledgement and provide GFE documentation. If the DBE performed on the project, the Revised DBE Participation should include the total amount paid to the DBE prior to their substitution.

Good Faith Effort Review. The Department will review the GFE documentation for substitution.

If, during the review of the selected vendor’s GFE information and documentation, the reviewers have questions, the selected vendor may be contacted for clarification. The GFE steps to be taken are, as follows:

a. The impacted business area reviews and, if acceptable, approves the GFE and Revised DBE

Participation or recommends that the IRT make the determination.

b. The IRT either:

1. Approves recommendation that the GFE was met and the Revised DBE Participation will be approved, or

2. Disapproves the GFE resulting in a shortfall requiring the selected vendor to continue to fulfill its GFE obligation and commitment.

c. If forwarded to them by the impacted business area, the IRT makes a final determination.

Do not perform any of the DBE work included in the substitution request without prior wr i t t e n approval from the Department.

If the projected DBE participation meets or exceeds the DBE goal amount for the contract without replacing the DBE, then no contract shortfall exists. A Revised DBE Participation must be submitted to reflect the decreased dollar amount.

2. If the arrangement to be replaced is not agreeable between the selected vendor and the DBE, the following procedures are required:

• Until a determination is made, do not perform the DBE work without prior approval.

• The IRT will review and make a determination and the impacted business area will notify both the selected vendor and the DBE.

• The selected vendor or the DBE may request a meeting with the Department by contacting the impacted business area.

(e) SBE Participation. There is no goal for SBE participation. However, the utilization of SBE firms must be reported and documented in monthly reports with proof of payment consistent with the process for DBE firms.

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Revised 11/14

(f) Additional Work. When additional work is required for any classification of work which is identified on the DBE Participation to be performed by the DBE, at least (50%) of this additional work will be performed by the same DBE unless the DBE submits, in writing, that he/she cannot perform the work due to his/her own limitations.

(g) Progress Payments. Make payments to all subcontractors, suppliers, service providers, and consultants no later than ten (10) days after being reimbursed by the Department. Document all DBE and SBE progress payments via the Monthly DBE/SBE Status Report, EO-402. The form is to be submitted no later than ten (10) days following the start of the month for the proceeding month’s activity [email protected]

. Bring to the attention of the Department, in writing, any situation in which regularly scheduled progress payments are not made to DBE/SBE subcontractors, suppliers, service providers or consultants.

(h) Records and Reports. Keep such project records as are necessary to determine compliance with DBE

Requirements. These records can be used as GFE documentation. Design these records to indicate:

• The number of disadvantaged and non-disadvantaged subcontractors, small businesses, regular dealers, manufacturers, consultants, and service providers, and the type of work or services performed on or materials incorporated in this project.

• The progress and efforts made in seeking out DBE and SBE contractor organizations and individual DBEs and SBEs for work on this project.

• Documentation of all correspondence, personal contacts, telephone calls, etc., to obtain the services of

DBEs and SBEs for this project. Submit reports, as required by the Department. Certify that the amounts were actually paid to the DBE and SBE for work performed on the project and keep cancelled checks on file in the home office to reflect payment for the specific project and for inspection and audit by the Department. Enter the payment information on the monthly payment report which will include the following:

• The number of contracts awarded to DBEs and SBEs, noting the type of work and amount of each contract executed with each firm and including the execution date of each contract.

• The amount paid to each DBE and SBE during the month and the amount paid to date. If no payments are made to a DBE/SBE during the month, enter a zero ($0.00) payment.

• Paid invoices or a certification attesting to the actual amount paid to each firm, upon completion of the individual DBE's and SBE’s work. In the event the actual amount paid is less than the award amount, provide a complete explanation of the difference.

Maintain all such records for a period of three (3) years following acceptance of final payment. Make these records available for inspection by the Department and FHWA.

If DBE credit is being claimed for material costs included in a DBE subcontract or agreement, submit purchase orders for the material to [email protected]

on a monthly basis in conjunction with the monthly payment report.

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Attachment B: Master Grant Agreement

Agreement Number

Federal ID Number

SAP Vendor No

Fund Commitment No.

MASTER GRANT AGREEMENT

COMMONWEALTH OF PENNSYLVANIA

DEPARTMENT OF TRANSPORTATION

AND

THIS MASTER GRANT AGREEMENT, made this _____ day of ________, 201_ at

Harrisburg, Pennsylvania, between the Commonwealth of Pennsylvania, acting through the

DEPARTMENT OF TRANSPORTATION (“DEPARTMENT”), a n d

____ acting through its ________ (“GRANTEE”), its successors or assigns, a non-profit-making organization and/or political subdivision, acting through its proper officials, covering services in the field of transportation planning and/or programming for the __________.

WITNESSETH:

WHEREAS, transportation of people and goods is vital to the economic and social well-being of the Commonwealth of Pennsylvania; and

WHEREAS, general purpose local governments of the area served by GRANTEE; the

Commonwealth of Pennsylvania; and local, regional, state, and federal agencies have a strong common interest in coordinating and cooperating in performing transportation planning to meet local, regional, state, and federal goals and objectives; and

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WHEREAS, the transportation, air quality, environmental resource consumption, social equity, land use, urban growth, economic development, safety and security activities of public and private agencies within the area are of such magnitude and complexity and of such potential degrees of mutual impact, as to make necessary a formal, coordinated, comprehensive and continuing transportation planning process carried on cooperatively by local governments and agencies and the state; and

WHEREAS, Title 23 of the United States Code requires such a transportation planning and/or programming process; and

WHEREAS, GRANTEE is either a Metropolitan Planning Organization (MPO) or a Rural

Planning Organization (RPO) as defined in Title 23 and/or Title 49 of the United States Code, or an independent county or a Transportation Management Association that receives grants under the

Congestion Mitigation and Air Quality Improvement Program pursuant to Title 23 of the United

States Code and relevant Federal Highway Administration policies; and

WHEREAS, GRANTEE’s purpose is to act as an appropriate and effective forum to address comprehensive transportation planning and to promote cooperative transportation decision-making within their respective jurisdiction by local governments and local, regional, and state transportation agencies; and

WHEREAS, pursuant to federal regulations, GRANTEE has been designated as the entity responsible for developing and carrying out the transportation planning process specified in Title 23 and/or Title 49 of the United States Code for the area within its jurisdiction; and

WHEREAS, it is the purpose of this Agreement to provide funding for transportation planning and/or programming to be performed by GRANTEE pursuant to the terms and conditions set forth herein.

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NOW, THEREFORE, for and in consideration of the mutual promises set forth in this document, the PARTIES agree, with the intention of being legally bound, as follows:

1. Recitals

The foregoing recitals are incorporated by reference as a material part of this Agreement.

2. Agreement Provisions

A. Time of Performance. The terms of this Agreement shall begin July 1, 2016, and terminate on June 30, 2022. This term may be extended by letter amendment, signed by the authorized representatives of the GRANTEE and DEPARTMENT, for single or multi-year extensions, but in no event shall this Agreement continue past June 30, 2027.

B. Effective Date of Agreement. This Agreement and the authorizations granted in it shall be effective only after full execution and approval by all necessary Commonwealth officials as required by law. Following full execution, the DEPARTMENT will insert the effective date at the top of Page 1. The authorizations granted by this Agreement shall be further contingent upon written approval of the FHWA, if necessary.

C. Agreement Monitoring. The DEPARTMENT has the right to review and inspect all study activities. The DEPARTMENT and USDOT, in funding the GRANTEE’s planning activities, are governed by federal and state laws, regulations, and policies, which are set forth in various laws, regulations and rules. To ensure the GRANTEE’s conformance with such federal and state laws regulations and policies, the DEPARTMENT and FHWA/FTA shall monitor the GRANTEE’s work program, proposals and work in progress through periodic meetings. The DEPARTMENT shall have the prerogative of asking that work on any task be halted if, during the monitoring process, it appears that the work on it is inconsistent with federal and/or state laws, regulations or policies. In such

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event, the Executive Director of the GRANTEE shall halt staff work on the task until outstanding issues are resolved.

D. Agreement Amendment. During the existence of this Agreement, the DEPARTMENT agrees to pay the GRANTEE the actual costs incurred for the work outlined in Exhibit 1 to each

Work Order issued pursuant to this Agreement. It is understood that total actual costs shall include salary and fringe benefit costs, other direct costs, and overhead costs. Total costs pursuant to this

Agreement shall not exceed _____ dollars ($______). Any increase or decrease to the total cost of this Agreement shall be processed by letter amendment. A letter amendment shall not be effective until signed and dated by duly authorized representatives of the GRANTEE, the DEPARTMENT, the

Department’s Office of Chief Counsel, and the Office of the Comptroller. A sample letter of amendment is attached hereto as Exhibit F.

E. Termination of Agreement. The DEPARTMENT shall have the right to terminate this

Agreement at any time upon thirty (30) calendar days’ written notice to the GRANTEE in the event the study is to be abandoned for any reason, indefinitely postponed, or if GRANTEE’s becomes unable to perform the work. The GRANTEE shall be compensated for the actual cost of services satisfactorily rendered up to the date of termination specified in the notice.

Furthermore, the DEPARTMENT shall have the right to terminate GRANTEE’s services immediately when, in the judgment of the DEPARTMENT, such services are unsatisfactory, the GRANTEE has failed to abide in all respects by the conditions of this Agreement, or for the convenience of the DEPARTMENT if the DEPARTMENT determines termination to be in the best interest. In such event the GRANTEE shall be paid as hereinabove set forth. The DEPARTMENT may terminate this Agreement at any time if the funds for its purposes are unavailable.

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3.

Scope of Services

The Work Order’s Scope of Services is also known as the Unified Planning Work Program

(“UPWP”). The UPWP will be attached as Exhibit 1 and made part of each Work Order issued pursuant to this Agreement. The work items to be performed by GRANTEE shall include the scope of work set forth in Exhibit 1 to each work order. The scope of work identified in each work order and UPWP update will be consistent with the generic scope of work attached as Exhibit A to this

Agreement.

4.

Work Order Provisions

The GRANTEE shall develop and submit for DEPARTMENT approval a UPWP identifying services in the field of transportation planning and/or programming work items to be performed by the GRANTEE. The GRANTEE is required to submit the following materials in support of the proposed work order: Scope of Services (Exhibit 1), Purchase of Services Register (Exhibit 2), and

Staff Salary Schedule (Exhibit 3) prepared in accordance with referenced guidance. The scope of services and designated cost materials cover a two year period, to be updated every two years.

A. Approval Procedures. The GRANTEE shall submit biennial Work Program updates to the DEPARTMENT, which shall determine the projects and costs designated for the program period.

If the DEPARTMENT concurs with the scope and cost of the work and services set forth in the biennial update, a Work Order will be prepared and forwarded to the GRANTEE for approval. The

Work Order will be signed by the authorized representatives of the GRANTEE, the DEPARTMENT, and the Comptroller’s Office. Following execution of the Work Order, the DEPARTMENT shall give the GRANTEE a written Notice to Proceed. A sample Work Order is attached hereto as Exhibit

D-1.

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B. Notice To Proceed (NTP). Upon receipt of the DEPARTMENT’s written NTP for each Work Order, the GRANTEE may begin to incur costs for reimbursement for work performed in accordance with such Work Order. No expenditures incurred prior to the date of the

DEPARTMENT’s NTP are eligible for reimbursement.

C. Work Order Amendment (WOA). Any changes to an existing Work Order, including, but not limited to, increases or decreases in funding or changes in scope that effect the funding of a

Work Order, shall be made by a WOA. The WOA shall not take effect until it has been signed by the authorized representatives of the GRANTEE, the DEPARTMENT and the Comptroller’s Office. A sample WOA is attached hereto as Exhibit D-2.

D. Letter Adjustment. Minor changes in scope that do not affect the total funding for a

Work Order, or any extensions of time for a Work Order shall be effected by Letter Adjustment signed by the Grantee and the Department. A copy of such letter adjustment shall be provided to the

Department’s Comptroller. A sample letter adjustment is attached hereto as Exhibit E.

E. No new Work Orders will be executed during the six (6) months prior to this

Agreement’s expiration date but amendments to existing Work Orders may be executed during the last six (6) months of the Agreement period.

5.

Cost Provisions

A. Purchase of Services Register (PSR). The PSR shall be attached and made part of each Work Order as Work Order Exhibit 2. The PSR identified in each work order and UPWP update will be consistent with the sample PSR attached as Exhibit B to this Agreement.

B. Subcontracting and Specialized Services. The GRANTEE agrees that it shall perform work with its organization of not less than fifty (50%) percent of the total Agreement amount with the

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exception of specialized services. It is understood and agreed that the subcontracting and specialized services will be listed as line items in the PSR. i. The GRANTEE’s standard purchasing documents shall be utilized for these subcontracts and specialized services. ii. Any additional subcontracting or specialized services not included as line items in the PSR shall be subject to the prior written approval of the DEPARTMENT and, as appropriate, FHWA/FTA. iii. Any subcontract must also contain a provision that the subcontract may be terminated by the GRANTEE if the GRANTEE’s contract is terminated by the

DEPARTMENT for any reason.

C. Staff Salary Schedule (SSS). The Staff Salary Schedule shall be attached and made part of each Work Order as Work Order Exhibit 3. The SSS identified in each work order and UPWP update will be consistent with the sample schedule attached as Exhibit C to this Agreement. i. Overhead applied to direct salary shall be computed on the provisional rate used in preparing the GRANTEE’s budget for its UPWP, attached to each Work Order as

Exhibit 1, and/or the rate used in preparing the GRANTEE’s Staff Salary Schedule. Final determination of the actual overhead amount shall be based on an audit to be performed subsequent to the completion of this Agreement. ii. Changes in Staff or Pay Rates. It is understood and agreed that, prior to any invoicing, the GRANTEE shall apprise the DEPARTMENT in its monthly or quarterly progress/expenditure reports, as applicable, referenced in Paragraph 8, Reports, of this

Agreement, of any staff additions or deletions or pay rate increases or decreases that are applied or anticipated by the GRANTEE for that invoicing period. If the GRANTEE does not

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provide prior notification to the DEPARTMENT, the GRANTEE shall prepare invoices in accordance with the rates contained in the Staff Salary Schedule.

D. Actual Costs. During the existence of this Agreement, the DEPARTMENT agrees to pay the GRANTEE the actual costs incurred for the work outlined in Exhibit 1 to each Work Order issued pursuant to this Agreement. It is understood that total actual costs shall include salary and fringe benefit costs, other direct costs, and overhead costs. No expenditures incurred prior to the date of the DEPARTMENT’s NTP are eligible for reimbursement.

E. Statement of Expenditures (Invoice). The DEPARTMENT shall reimburse the

GRANTEE for costs incurred on a monthly/quarterly basis upon receipt of a certified, detailed statement of actual monthly/quarterly expenditures, to be submitted by the 30 th

of the month following each month or quarter, in a format prescribed by the DEPARTMENT, upon satisfactory completion of the work identified in each Work Order’s Exhibit 1.

F. Travel and Subsistence Allowance. As outlined in the Commonwealth’s Management

Directive 230.10 (Exhibit R), as amended from time to time, the GRANTEE agrees to adhere to the attached policies and procedures for travel, use of personal vehicles and the related record keeping.

Additionally, prior approval must be procured from the DEPARTMENT for any out-of-state travel to be paid out of Agreement funds.

G. All expenditures of DEPARTMENT and federal funds shall be made in accordance with the procedures and requirements of the Commonwealth of Pennsylvania and USDOT. Any expenditures not so made shall be disallowed and that amount refunded to the DEPARTMENT or

USDOT as appropriate.

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6. Funding

It is understood that the GRANTEE’s receipt of Motor License Fund monies to support the work in the UPWP is contingent upon appropriation to the DEPARTMENT by the Pennsylvania

General Assembly. It is further understood that other state funding may be contingent upon requirements and/or appropriation relevant to the source of such state funding. It is further understood that the GRANTEE’s receipt of FHWA monies (PL Funds), Statewide Planning &

Research Funds (SPR Funds) and/or FTA Planning Funds (FTAP Funds) and/or Congestion

Mitigation and Air Quality Funds (CMAQ Funds) or other federal funds is conditioned upon the respective authorization by FHWA and FTA for the expenditure of such funds as defined in each

Work Order’s Exhibit 1. If the federal approval for any of these four sources of funds is delayed, invoices may still be submitted and processed for the other approved funds.

7. Payments

A. Payments to the GRANTEE shall be made by the DEPARTMENT conditioned upon the DEPARTMENT’s receipt from the GRANTEE of all progress/expenditure reports referenced in

Paragraph 8, Reports, of this Agreement. The GRANTEE’s failure to provide the DEPARTMENT with quarterly progress/expenditure reports by the 30 th

of the month following each month or quarter shall be cause for the DEPARTMENT to withhold payment due the GRANTEE until such time as the

GRANTEE submits a plan for executive action to take corrective steps and demonstrates corrective action through on time performance for three consecutive months.

B. The GRANTEE agrees to comply with the Pennsylvania Electronic Payment Program

(“PEPP”) Provision attached to this Agreement as Exhibit G and contained in Management Directive

310.30.

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8.

Reports

The GRANTEE shall provide the DEPARTMENT with the following reports:

A. Monthly/Quarterly reports of expenditures and progress on individual transportation work tasks, on or before the 30 th

of the month following each quarter, in accordance with the requirements and format prescribed in writing by the DEPARTMENT.

B. Final product of individual work tasks, submitted as work tasks are completed in accordance with the schedule in Exhibit 1 to each Work Order. The GRANTEE understands and agrees that it may not publish any reports, results of findings or studies, or other material required or developed under this Agreement without the prior written approval of the DEPARTMENT. If the

DEPARTMENT approves publication, a statement giving credit to the supporting State agency(s) and the USDOT must be included along with the standard disclaimer clauses required by these agencies.

C. Additional reports may be required in Exhibit M (Federal Nondiscrimination and

Equal Employment Opportunity Clauses).

9. Records

The GRANTEE shall maintain, and it shall require its consultants and contractors to maintain, all books, documents, papers, records, supporting cost proposals, accounting records, employees' time cards, payroll records and other evidence pertaining to costs incurred in the Project and shall make such materials available at all reasonable times during the contract period and for three (3) years from the date of submission of the final voucher to FHWA, for inspection and/or audit by the

DEPARTMENT, the FHWA or any other authorized representatives of the state or federal government; and copies shall be furnished, if requested. Time records for personnel performing any work shall account for direct labor performed on the Project as well as the time of any personnel included in the computation of overhead costs. In addition, a complete record of time shall be kept

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for personnel assigned part-time to the Project. A record of time limited to only their work on this

Project will not be acceptable. Additional provisions for record-keeping are included in Exhibit M

(Federal Nondiscrimination and Equal Employment Opportunity Clauses).

10. Audit Requirements

A. As specified by the Office of Management and Budget (OMB), the GRANTEE agrees to satisfy the audit requirements contained in the 2 CFR Uniform Administrative Requirements, Cost

Principles, and Audit Requirements for Federal Awards, and, for this purpose, to comply with the

Audit Clause to be used in Agreements with entities receiving Federal Awards from the

Commonwealth, dated December 26, 2014, which is incorporated into this Agreement by reference as though physically attached. Also, refer to Exhibit U (Management Directive 325.9-Processing Audits of Federal Pass-Through Funds). As used in the Audit Clause, the term "Subrecipient" means the

GRANTEE.

B. Any audit work undertaken by the GRANTEE, or subcontractors of the GRANTEE, shall be based upon a cost allocation plan as specified in the current OMB Circular found at 2 C.F.R. 200 subpart F, and related plans approved beforehand by the designated federal cognizant agency.

11.

Compliance with Rules and Regulations - General

A. The GRANTEE shall comply with all federal, state and local laws, regulations, and policies, including, but not limited to OMB Circulars, applicable to its work and shall procure at its expense all licenses and all permits necessary for the fulfillment of its obligations under this

Agreement.

B. The GRANTEE shall ensure that any subcontracts contain all the required provisions in this Agreement. Any subcontract must also contain a provision that the subcontract may be

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terminated by the GRANTEE if the GRANTEE’s contract is terminated by the DEPARTMENT for any reason.

12. Compliance with Rules and Regulations - Specified

The GRANTEE shall comply with the following legal and regulatory provisions and ensure that all subcontracts contain the provisions identified in this paragraph. Additional specified references identified in Exhibit M (Federal Nondiscrimination and Equal Employment Opportunity

Clauses); and Exhibit S (Disadvantaged Business Enterprise Requirements for Planning Partners

Policy) are also part of the legal and regulatory provisions that GRANTEES are required to follow and include in their subcontracts.

A. Liability. The GRANTEE shall indemnify and hold harmless and, if requested, defend the DEPARTMENT and, when applicable, FHWA/FTA from any and all claims, suits, actions, liabilities and costs of any kind arising out of or in connection with the performance of its work under the terms of this Agreement.

B. Ownership of Data. All data or recorded information collected under this Agreement including, but not limited to, graphs, tapes, summaries and charts derived therefrom shall be properly catalogued and become the property of the DEPARTMENT. This data cannot be furnished to any other parties without written permission of the DEPARTMENT and shall be delivered to the

DEPARTMENT prior to final payment. GRANTEE shall have a non-exclusive license to use such data in furtherance of the purposes of this Agreement.

C. Ownership of Equipment. Nonexpendable items of equipment, instrumentation, or component parts purchased from monies paid under this Agreement shall become the property of the

DEPARTMENT. Said equipment, instrumentation or component parts hereinabove referred to may

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be leased or rented through the expenditure of FHWA and FTA funds provided, subject to the following conditions: i. In no event shall the aggregate rental of leasing charges exceed the initial cost of the equipment, and ii. The equipment shall remain at the exclusive disposal of the highway and transit planning portion of the work for its entire useful life.

D. Proprietary Rights. If patentable discoveries, inventions, or other creative product protected by applicable law should result from work performed under this Agreement, all rights accruing from such discoveries or inventions shall be the sole property of the GRANTEE. However, the GRANTEE agrees the DEPARTMENT and all State Highway and/or Transportation

DEPARTMENT’s and the United States Government shall have an irrevocable, nonexclusive, nontransferable and royalty-free license to such creative product in the manufacture, use and disposition, according to law, of any article or material, and in the use of any method that may be developed as a part of the work under this Agreement.

E. Use of Confidential Information Provided by the DEPARTMENT i. Accident data, information and reports are considered confidential under 75 Pa.

C.S. Section 3754 and 23 U.S.C. Section 409. ii. The DEPARTMENT is committed to routinely providing such information to the GRANTEE for traffic safety related transportation planning and/or programming purposes

(long range planning, CMS and IMS planning, TIP development, corridor/subarea studies, etc.) iii. Pursuant to subparagraphs (a) and (b) above, any publication, reproduction, release or discussion of this information, as well as the use of or reliance upon the information

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for any purpose other than stated above, is expressly prohibited without the specific written consent of the DEPARTMENT. iv. No modification, amendment, rescission, waiver or other change shall be binding unless agreed to in writing by the DEPARTMENT.

F. Responsibility for the Replacement of DEPARTMENT Equipment. The GRANTEE will be responsible for the replacement, in kind, of any equipment which is provided to it by the

DEPARTMENT, whether or not said equipment is being utilized to carry out work tasks outlined in this contract, in the event said equipment is lost, stolen, vandalized or otherwise destroyed to the point which the equipment is no longer capable, at the sole discretion of the DEPARTMENT, of performing the functions it was designed for, except in normal wear and/or aging of the equipment.

The cost of any replacement equipment will be determined by the manufacturer’s current list price and will be the sole responsibility of the GRANTEE. In the event said equipment is obsolete or no longer manufactured, the GRANTEE will be responsible for replacing said equipment with a similar device to the satisfaction of the DEPARTMENT. Title to any such replacement equipment purchased by the GRANTEE shall be held by and vest in the DEPARTMENT.

G. Digital Copies. The Commonwealth of Pennsylvania requests that a digital copy of all digital orthophotography images, in native georeferenced format (GeoTIFF, etc.) as well as any mosaicked and compressed, georeferenced image file formats (MrSID, etc.), FGDC-compliant metadata, Digital Elevation Model data (including gridded data, surveyed control points, breaklines and mass points), etc., that are delivered by the GRANTEE or its selected contractor/vendor be provided to the DCNR PAMAP Program Office in the Bureau of Topographic and Geologic Survey

(BTGS), for use by all GT users in the Commonwealth and to fulfill the DEPARTMENT’s public access mission for all Commonwealth digital orthophotography and derived products.

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Questions may be addressed to:

Director, DCNR/BGTS

3240 Schoolhouse Road

Middletown, PA 17057

(717) 702-2053

H. Safety. Protective devices and personal protective equipment, such as hard hats and reflector vests, must be utilized when GRANTEE staff is involved in any field operation pertaining to work activities outlined in any Work Order or its Exhibits.

I. Interest of Members of or Delegate to Congress. No member of or delegate to the

Congress of the United States shall be admitted to any share or part of this Agreement or to any benefit arising therefrom.

13. Non-Discrimination (ND) Requirements

Parties subject to this Master Agreement shall keep such records and reports as may be required to document compliance with 49 CFR Part 21, federal regulatory provisions on nondiscrimination effecting Title VI of the Civil Rights Act of 1964 (the Act)(42 U.S.C. 2000 d-1 through d-4). The purpose of the Act is that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance from the Department of Transportation. Non-discrimination requirements are further effected through provisions identified in Exhibit M.

A. ND Records and Reports. The GRANTEE shall keep such records and submit to the

DEPARTMENT timely, complete, and accurate compliance reports at such times, and in such form and containing such information, as the DEPARTMENT may determine to be necessary to enable it to ascertain whether the GRANTEE has complied or is complying with 49 CFR Part 21.

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B. Required Communications. The GRANTEE shall make available to participants, beneficiaries, and other interested persons such information regarding the provisions of 49 CFR Part

21 and its applicability to the program for which the recipient receives Federal financial assistance, and make such information available to them in such manner, as the DEPARTMENT, the FHWA or any other authorized representatives of the state or federal government finds necessary to apprise such persons of the protections against discrimination assured them by Title VI.

C. Sub-recipient Compliance. In the case in which a GRANTEE extends Federal financial assistance to any other recipient, such other recipient shall also submit such compliance reports to the DEPARTMENT as may be necessary to enable the DEPARTMENT to carry out its obligations under 49 CFR Part 21. In general GRANTEE should have available for the

DEPARTMENT racial and ethnic data showing the extent to which members of minority groups are beneficiaries of programs receiving Federal financial assistance.

14. Disadvantaged Business Enterprise (DBE) Program, Policy, and Assurance

The GRANTEE shall not discriminate on the basis of race, color, national origin or sex in the performance of this Agreement. The GRANTEE shall carry out applicable requirements of 49 CFR

Part 26, compliance with the U.S. Department of Transportation (USDOT) DBE rule, in the award and administration of DOT-assisted agreements. GRANTEE policy must ensure that DBEs have an equal opportunity to receive and participate in DOT-assisted contracts. Failure by the GRANTEE to carry out these requirements is a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy as the DEPARTMENT deems appropriate, which may include but not limited to:

1. Withholding process payments;

2. Accessing sanctions;

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3. Liquidated damages; and/or

4. Disqualifying the contractor from future bidding as non-responsible.

A. The DEPARTMENT is committed to providing opportunities for DBEs and small business concerns to compete for work. The GRANTEE is encouraged to involve DBEs and small business concerns and to submit documentation of any such involvement. The DEPARTMENT’s current FHWA and FTA goals apply to the GRANTEE contacting and subcontracting activities or in the alternative; the GRANTEE must show a good faith effort. A complete description of the

Disadvantaged Business Enterprise and DBE Good Faith Effort Requirements are attached as Exhibit

S and Exhibit T and are made a part of this agreement. Documentation of good faith shall be made by the GRANTEE and subject to concurrence of the DEPARTMENT. A report on the status of the

DBE goals shall be submitted to the Department quarterly.

B. Assurance of Compliance. If the GRANTEE is providing services or supplies for the

DEPARTMENT pursuant to this Agreement, it must include this assurance in each subcontract that it signs with a subcontractor. If the GRANTEE is a grantee or other recipient of funds from the

DEPARTMENT, it must include this assurance in each contract into which it enters to carry out the project or activities being funded by this Agreement. Specific required language for an assurance of compliance can be found at 49 CFR 26.13(a).

15. Other Exhibits

The following exhibits shall be made a part of this Agreement: Exhibit H, an Affidavit by the

GRANTEE accepting provisions of the Pennsylvania Workmen’s Compensation Act; Exhibit I,

Certification of Non-Collusion by the GRANTEE; Exhibit J, Certification of Non-Collusion by the

DEPARTMENT; Exhibit K, Certification of Restrictions on Lobbying (Management Directive

305.16); Exhibit L, the Americans with Disabilities Act Provisions (MD 215.12); Exhibit N,

Page 17 of 19

Nondiscrimination/Sexual Harassment Clause (MD 215.16); Exhibit O, Contractor Integrity

Provisions (MD 215.8); Exhibit P, Contractor Responsibility Provisions; and Exhibit Q, the Offset

Provision (MD 215.9).

Page 18 of 19

IN WITNESS WHEREOF, the parties have executed this Agreement the date first above written.

ATTEST:

_________________________

Signature DATE

__________________________

Title

____________________________*

(Name of GRANTEE)

____________________________

Signature DATE

_____________________________

Title

* Unless the individuals signing this Agreement on behalf of the GRANTEE are authorized to do so by statute or regulation, the GRANTEE's resolution authorizing execution and attestation must accompany this Agreement;

please indicate the signers’ titles in the blanks provided and date all signatures.

________________________________________________________________

DO NOT WRITE BELOW THIS LINE--FOR COMMONWEALTH USE ONLY

COMMONWEALTH OF PENNSYLVANIA

DEPARTMENT OF TRANSPORTATION

APPROVED AS TO LEGALITY

AND FORM

BY for Chief Counsel Date

BY______________________________

Deputy Secretary DATE

CERTIFIED FUNDS AVAILABLE

FUNDS COMMITMENT DOC. NO.

FUND _____

COST CENTER

GL. ACCOUNT

AMOUNT

BY________________________ for Comptroller Date

BY ___________________________________

Deputy General Counsel Date

BY ___________________________________

Deputy Attorney General Date

Agreement No. ___ is split 80%, expenditure amount of _____, for federal funds and __%, expenditure amount of $___ for state funds. The related federal assistance program name and number is _______ The state program name and SAP fund is ___; ___. This paragraph does not affect the costs to the GRANTEE. In the event this paragraph is altered in particular work orders to reflect changes in program names or numbers, the work order shall provide a paragraph cataloguing this type of information.

Page 19 of 19

6-30-15

DISADVANTAGED BUSINESS ENTERPRISE REQUIREMENTS

FOR PLANNING PARTNERS

I. GENERAL—

Include the following provisions (Paragraphs a through d) in every contract and subcontract entered into in support of the grant, so that such provisions will be binding not only upon the prime contractor, but also upon each subcontractor, supplier, service provider, and trucking firm performing work towards the contract.

(a) Policy for Federally-Funded Projects. It is the policy of the U.S. Department of Transportation (DOT) and the Pennsylvania Department of Transportation (Department) that Disadvantaged Business

Enterprises (DBEs) as defined in Section 26.5 of Title 49 Code of Federal Regulations, Part 26, as amended, (Part 26) and this specification, be afforded the opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the DBE requirements of Part 26 apply to this contract.

(b) DBE Obligation. The grantee will take all necessary and reasonable steps to ensure that DBEs have the opportunity to compete for and to perform contracts. The grantee shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of the Department and U.S. Department of Transportation-assisted contracts.

(c) Failure to Comply with DBE Requirements. Failure by the grantee to carry out these requirements constitutes a material breach of this contract, which may result in termination of this grant agreement or such other remedy as the Department deems appropriate, which may include, but is not limited to: a. Withholding progress payments; b. Assessing sanctions; c. Liquidated damages; and/or d. Disqualifying the contractor from future bidding as non-responsible.

(d) Small Business Enterprise Participation. The recruitment and utilization of certified Small Business

Enterprises (SBEs) serves as an additional requirement in addition to all other equal opportunity requirements of the grant. There is no SBE goal for this grant.

II. DEFINITIONS—

The following definitions apply for terms used in this specification:

(a) Disadvantaged Business Enterprise (DBE). A for-profit small business concern that meets the following requirements:

1. DBE certification from the Pennsylvania Unified Certification Program (PAUCP) as listed on www.paucp.com.

2. That meets the ownership and control requirements of the DBE certification program as set forth in

Part 26.

3. That meets the Personal Net Worth requirements of the DBE certification program.

(b) Small Business Enterprise (SBE). A for-profit small business concern that meets the following requirements:

1. An entity certified by the Pennsylvania Department of Transportation (PennDOT) as listed on www.dotsbe.pa.gov

.

2. That meets the ownership and control requirements of the Small Business Element (SBE) certification

[Type here] program.

Exhibit “S”

6-30-15

3. That meets the Personal Net Worth requirements of the SBE certification program.

(c) Commercially Useful Function. A DBE performs a Commercially Useful Function (CUF) when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, installing (where applicable), and paying for the material itself.

(d) Transportation Planning Coordinator. An individual within the Department’s Program Center that is responsible for coordinating and overseeing planning activities with the grantee.

(e)

Interdisciplinary Review Team (IRT). A team of three (3) individuals representing the Department’s

Program Center and Bureau of Equal Opportunity that performs the initial review of the GFE documentation and makes the recommendation to the Director of the Bureau of Equal Opportunity.

(f) Committee. The Department’s Good Faith Effort (GFE) Review Committee.

(f) Director. Director, Bureau of Equal Opportunity.

(h) DBE Participation. The work performed by DBEs on a contract and counted toward the project’s DBE goal. This information is to be submitted with the bid/proposal and if approved becomes a contractual obligation for the life of the contract.

(i) Revised DBE Participation. If, during the performance of a contract entered into in support of this grant the DBE Participation requires revision, the selected bidder/offeror must request approval from the grantee. The grantee must obtain concurrence from the Department prior to approving any revision. If approved, the Revised DBE Participation becomes a contractual obligation for the life of the contract.

(j) Supplier. A manufacturer, regular dealer, or transaction expeditor/broker.

1. Manufacturer. A DBE/SBE that operates or maintains a factory or establishment that produces on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

2. Regular Dealer. A DBE/SBE that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided above if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.

3. Transaction Expeditor/Broker. A DBE/SBE packager, broker, manufacturers' representatives, or other persons who arrange or expedite transactions and who arrange for material drop-shipments.

(k) Service Provider. A DBE/SBE that performs professional, technical consultant, or managerial services.

(l) Shortfall. The difference between the dollar amount on the approved DBE commitment and the amount of payments to the approved DBE entities.

III. COUNTING DBE PARTICIPATION

Utilization of certified DBEs is in addition to all other equal opportunity requirements of the contract.

[Type here]

Exhibit “S”

6-30-15

Count DBE Participation toward meeting the DBE Goal for federal projects as follows: If a firm is a certified

DBE contractor or subcontractor at the time of submission for the bid, the total dollar value of the contract awarded to the certified DBE is counted toward the applicable DBE goal as provided below. Any services to be performed by a DBE are required to be readily identifiable to the project.

(a) Construction.

1. Prime Contractor. The Department requires that all prime contractors including DBE prime contractors perform at least fifty percent (50%) of the work on a Department project. A DBE prime contractor will receive credit for all work performed with its own forces. The Department strongly encourages DBE prime contractors to make additional outreach efforts to solicit DBEs to perform subcontracting work on the project.

2. Subcontractor. When a DBE participates in a contract directly as a subcontractor or as a second- tier or lower-tier subcontractor, count only the value of the work actually performed by the DBE.

Count the entire amount of that portion of a contract that is performed by the DBE's own forces.

Include the cost of supplies and materials obtained by the DBE for the work of the subcontract, including supplies purchased or equipment leased by the DBE.

When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted only if the DBE's subcontractor is itself a DBE. Work that a

DBE subcontracts to a non-DBE firm does not count towards the contract’s DBE goal.

Count expenditures to a DBE contractor only if the DBE is performing a CUF on that contract.

(b) Materials and Supplies.

1. DBE Manufacturer. If the materials or supplies are obtained from a DBE manufacturer, count

100% of the cost of the materials or supplies.

2. DBE Regular Dealer. If the materials or supplies are purchased from a DBE regular dealer, count sixty percent (60%) of the cost of the materials or supplies.

3. DBE Transaction Expeditor/Broker. If the materials or supplies are purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, provided the fees are determined to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves.

(c) Service Providers. Count toward the DBE Goal 100% of expenditures of DBE services including, professional, technical, consultant, or managerial services. Count fees or commissions charged for providing any bonds or insurance specifically required for the performance the contract, provided the fee is reasonable and not excessive as compared with fees customarily allowed for similar services.

(d) Trucking Firms. Count 100% of trucking costs using the following factors to determine what can be counted:

1. Count if the DBE is responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.

2. Count if the DBE owns and operates at least one fully licensed, insured, and operational truck used on the contract.

3. Count the total value of the transportation services the DBE provides on the contract using trucks it owns, insures, and operates using drivers it employs.

[Type here]

Exhibit “S”

6-30-15

4. The DBE may lease trucks from another DBE firm, including an owner-operator who is a certified

DBE. If the DBE leases trucks from another DBE, count the total value of the transportation services the lessee DBE provides on the contract.

5. The DBE may also lease trucks from a non-DBE firm, including an owner-operator. If the DBE leases trucks from a non-DBE count only the fee or commission it paid as a result of the lease arrangement. Do not count the total value of the transportation services provided by the lessee, since these services are not provided by a DBE.

6. For purposes of this provision, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from being used for work for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE.

IV. COUNTING SBE PARTICIPATION

(a) Recruitment and utilization of certified SBEs is in addition to all other equal opportunity requirements of the contract.

(b) There is no SBE goal.

(c) Count SBE participation the same as DBE participation.

V. ACTIONS REQUIRED BY THE BIDDER AT THE BIDDING STAGE AND PRIOR TO AWARD FOR

PROJECTS WITH A DBE GOAL—

(a) Submission Requirements. If the grantee establishes a DBE goal in connection with a contract awarded in support of the grant, then the selected bidder/offeror must include its DBE Participation with the bid/proposal. This submission must include the business name of the DBE firm with address, contact person, and phone number, a detailed narrative description of the service to be provided by the DBE, the

North American Industrial Classification System (NAICS) code(s) that correspond(s) to the work to be performed by the DBE firm, and the percent of the bid’s cost to be contractually allocated to the DBE in the bid submission. A letter of intent (or comparable documentation) from the DBE stating that the DBE has agreed to enter into a subcontract if the vendor is successful should also be included with the bid. Do not request or include physical certification letters. The PA UCP database at www.paucp.com

is the only resource that should be used to verify DBE eligibility. In addition, please note that DBE certification does not expire and expiration dates should not be requested or included. As long as a firm remains visible in the PA UCP database they remain eligible to participate as a DBE on federally-assisted contracts.

When the DBE goal established by the grantee is not met (the grantee will not round), demonstrate a Good

Faith Effort (GFE) to meet the contract’s DBE goal. Demonstrate that the efforts made were those that a bidder/offeror seeking to meet the DBE goal established by the grantee would make, given all relevant circumstances. Failure to include GFE documentation with the submission, when the DBE goal is not met, will result in rejection of the bid/proposal.

(b) Good Faith Effort Requirements. In response to a bid/proposal, the bidder/offeror must make a ‘Good

Faith Effort’ (GFE) to subcontract a portion of the contract work to certified DBEs. The demonstration of

GFE is accomplished by seeking out DBE participation in the contract given the totality of all relevant circumstances. If unable to meet the contract’s established DBE Goal, the selected bidder/offeror must submit documentation of its GFE. The following illustrate the types of efforts that may be taken, but shall not be deemed to be exclusive or exhaustive. The Director and/or Committee will consider other factors and types of efforts that may be relevant:

• Efforts made to conduct market research to identify small business contractors and suppliers and solicit through all reasonable and available means (e.g., use of the DBE Directory, attendance at pre-bid

[Type here]

Exhibit “S”

6-30-15 meetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The selected bidder/offeror must provide written notification, at least fifteen (15) calendar days prior to the bid due date, to allow the DBEs to respond to the solicitation. The selected bidder/offeror must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations.

• Efforts made to select portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goal will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the selected bidder/offeror might otherwise prefer to perform these work items with its own forces.

• Efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

• Efforts made to negotiate in good faith with interested DBEs. It is the selected bidder’s/offeror’s responsibility to make a portion of the contract work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. A bidder/offeror using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as contract DBE goals into consideration. The fact that there may be some additional costs involved in finding and using DBEs is not in and of itself sufficient reason for a bidder’s/offeror’s failure to meet the contract’s DBE goal, provided that such costs are reasonable. Also, the ability or desire of the selected bidder/offeror to perform the work of a contract with its own work force does not relieve the bidder/offeror of the responsibility to make GFE. The selected bidder/offeror is not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable.

• The selected bidder’s/offeror’s determination of a DBE as being unqualified without sound reasons based on a thorough investigation of its capabilities. The selected bidder’s/offeror’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the selected bidder’s/offeror’s efforts to meet the DBE contract goal.

Another practice considered an insufficient GFE is the rejection of a DBE because its quotation for the work was not the lowest received. However, nothing in this paragraph shall be construed to require the bidder/offeror or prime contractor to accept unreasonable quotes in order to satisfy a contract DBE goal.

• Efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance.

• Efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

• Efforts to effectively use the services of the Department's DBE and/or SBE Supportive Services

Centers, services of available minority/women community organizations; minority/women contractors' groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs.

VI. ACTIONS TO BE TAKEN BY THE GRANTEE AND DEPARTMENT BEFORE AWARD FOR

PROJECTS WITH A DBE GOAL —

(a) Approval. If the selected bidder/offeror includes the DBE Participation with their bid/proposal, meets the contract’s DBE goal, and all other contract requirements, the grantee will approve the submission.

[Type here]

Exhibit “S”

6-30-15

(b) Good Faith Effort Review. If the selected bidder/offeror includes the DBE Participation with their bid, but fails to meet the contract’s DBE goal, the grantee will review the GFE documentation included with the bid. The selected bidder/offeror may not provide additional GFE documentation beyond what exists in writing at the time of bid submission. If during the review of the bidder’s/offeror’s GFE information the reviewers have questions, the selected bidder/offeror may be contacted by for clarification. The GFE steps to be taken are as follows:

1. The grantee reviews the GFE submission and makes a recommendation to approve or disapprove to the Transportation Planning Coordinator.

2. If the grantee recommends approval then Transportation Planning will do one of the following:

a. Concur with the grantee’s recommendation that a GFE was made and the DBE Participation will be approved

b. Disagree with the grantee’s recommendation which will result in a review of the GFE submission by the IRT.

3. If the grantee recommends disapproval then the IRT will review the GFE submission.

4. The IRT reviews and makes a recommendation to the Director.

5. The Director will do one of the following:

a. Concur with the IRT recommendation that a GFE was made and the DBE Participation will be approved;

b. Concur with the IRT disapproval of the GFE submission. The selected bidder/offeror will be afforded the opportunity for administrative reconsideration as required by Part 26.

(i.) If the selected bidder/offeror requests administrative reconsideration, the Director forwards the GFE request to the Committee.

(ii.) If the selected bidder/offeror does not request administrative reconsideration, than the recommendation stands and the GFE is disapproved. The selected vendor must notify the

Department to this effect in writing. The bid will then be considered non-responsive and will be rejected.

c. Disagree with the IRT recommendation. If the Director determines that a GFE has been made, the

DBE Participation will be approved. If the Director determines that a GFE has not been made, the selected bidder/offeror will be afforded the administrative reconsideration process as described above.

6. If administrative reconsideration is requested, the Committee meets and makes the final determination. If the Committee determines that the selected bidder/offeror made a GFE, the DBE

Participation will be approved. If the Committee determines that the selected bidder/offeror has failed to make a GFE, the bid will be rejected and the selected bidder/offeror will be notified of the rejection. The grantee will then review the next selected bidder’s/offeror’s DBE participation to determine if the DBE goal is met or if a GFE was made.

VII. ACTION TO BE TAKEN BY THE DEPARTMENT DURING PERFORMANCE OF THE CONTRACT—

To ensure that all obligations awarded to DBEs under this contract are met, the grantee and the Department will review the selected bidder’s/offeror’s DBE involvement efforts during the performance of the contract whether or not the DBE is listed on the approved DBE Participation. The review will include a CUF review and analysis for all DBEs performing on the contract.

Sanctions. Upon completion of the work the grantee and the Department will review the actual DBE participation and make a determination regarding the selected bidder’s/offeror’s compliance with the applicable requirements. Sanctions may be imposed for noncompliance or unwarranted shortfalls in the approved DBE goal.

[Type here]

Exhibit “S”

6-30-15

VIII. ACTIONS REQUIRED BY THE SELECTED VENDOR DURING PERFORMANCE OF THE

CONTRACT—

(a) DBE Participation. When DBE Participation is approved in an amount less than the contract’s DBE goal, continue GFE toward meeting the contract’s DBE goal for the life of the contract. Ensure that the DBE

Participation is attained. Proof of attainment is provided by payments to DBEs and documented in monthly reports.

(b) DBE Revised Participation. Obtain written consent from the Department before substituting a DBE or making any change to the approved DBE Participation or any other DBE performing on the project.

Immediately request substitution authorization from the grantee in writing who will contact the

Department. The request must include documentation supporting the substitution and written agreement from the DBE to the change. Include proof that a certified letter giving the DBE five (5) days to respond with acceptance or to notify the grantee of non-acceptance. Demonstrate that every effort has been made to allow the DBE to perform.

1. If the arrangement to be replaced is agreeable between the bidder’s/offeror’s and the DBE, document the following procedures:

• Make a GFE to subcontract the work with another DBE, or subcontract other work items to DBE firms, to make up the DBE shortfall.

• When the substitution results in meeting the DBE goal, complete a Revised DBE Participation which includes letter(s) from the DBE(s) of their intent to perform on the contract. If the DBE being replaced or substituted has already performed on the contract, the Revised Participation request should include the total amount paid to the DBE prior to its substitution or replacement.

• When the substitution does not result in meeting the DBE goal, complete a Revised DBE

Participation with DBE acknowledgement and provide GFE documentation. If the DBE performed on the project, the Revised DBE Participation should include the total amount paid to the DBE prior to their substitution.

Good Faith Effort Review. The grantee will review the GFE documentation for substitution. If, during the review of the selected bidder’s/offeror’s GFE information and documentation, the reviewers have questions, the selected bidder/offeror may be contacted for clarification. The GFE steps to be taken are, as follows:

a. The grantee reviews the GFE submission and makes a recommendation to the Transportation

Planning Coordinator.

1. If the recommendation is to approve and the Transportation Planning Coordinator concurs, then the Revised DBE Participation will be approved.

2. If the recommendation is to disapprove or if the Transportation Planning Coordinator disagrees with the grantee’s recommendation, then the GFE is forwarded to the IRT for review and determination.

b. The IRT either:

1. Approves recommendation that the GFE was met and the Revised DBE Participation will be approved, or

2. Disapproves the GFE resulting in a shortfall requiring the selected vendor to continue to fulfill its GFE obligation and commitment.

c. If forwarded to them by the Transportation Planning Coordinator, the IRT makes a final determination.

[Type here]

Do not perform any of the DBE work included in the substitution request without prior written approval from the Department.

Exhibit “S”

6-30-15

If the projected DBE participation meets or exceeds the DBE goal amount for the contract without replacing the DBE, then no contract shortfall exists. A Revised DBE Participation must be submitted to reflect the decreased dollar amount.

2. If the arrangement to be replaced is not agreeable between the selected bidder/offeror and the DBE, the following procedures are required:

• Until a determination is made, do not perform the DBE work without prior approval.

• The IRT will review and make a determination and the grantee will notify both the selected bidder/offeror and the DBE.

• The selected bidder/offeror or the DBE may request a meeting with the Department by contacting the grantee.

(e) SBE Participation. There is no goal for SBE participation. However, the utilization of SBE firms must be reported and documented in monthly reports with proof of payment consistent with the process for DBE firms.

(f) Additional Work. When additional work is required for any classification of work which is identified on the DBE Participation to be performed by the DBE, at least (50%) of this additional work will be performed by the same DBE unless the DBE submits, in writing, that he/she cannot perform the work due to his/her own limitations.

(g) Progress Payments. The bidder/offeror shall make payments to all subcontractors, suppliers, service providers, and consultants no later than thirty (30) days after being reimbursed by the Department. Document all DBE and SBE progress payments on a monthly basis. Bring to the attention of the grantee, in writing, any situation in which regularly scheduled progress payments are not made to DBE/SBE subcontractors, suppliers, service providers or consultants.

(h) Records and Reports. Both the bidder/offeror and the grantee shall keep such project records as are necessary to determine compliance with DBE Requirements. These records can be used as GFE documentation. Design these records to indicate:

• The number of disadvantaged and non-disadvantaged subcontractors, small businesses, regular dealers, manufacturers, consultants, and service providers, and the type of work or services performed on or materials incorporated in this project.

• The progress and efforts made in seeking out DBE and SBE contractor organizations and individual DBEs and SBEs for work on this project.

• Documentation of all correspondence, personal contacts, telephone calls, etc., to obtain the services of

DBEs and SBEs for this project. Submit reports, as required by the Department. Certify that the amounts were actually paid to the DBE and SBE for work performed on the project and keep cancelled checks on file in the home office to reflect payment for the specific project and for inspection and audit by the

Department. Enter the payment information on the monthly payment report which will include the following:

• The number of contracts awarded to DBEs and SBEs, noting the type of work and amount of each contract executed with each firm and including the execution date of each contract.

• The amount paid to each DBE and SBE during the month and the amount paid to date. If no payments are made to a DBE/SBE during the month, enter a zero ($0.00) payment.

• Paid invoices or a certification attesting to the actual amount paid to each firm, upon completion of the individual DBE's and SBEs work. In the event the actual amount paid is less than the award amount,

[Type here] provide a complete explanation of the difference.

Exhibit “S”

6-30-15

Maintain all such records for a period of three (3) years following acceptance of final payment. Make these records available for inspection by the Department and FHWA.

If DBE credit is being claimed for material costs included in a DBE subcontract or agreement, submit purchase orders for the material to [email protected]

on a monthly basis in conjunction with the monthly payment report.

The grantee shall ensure records have sufficient information in order to complete and submit the Planning

Partners DBE Report quarterly.

[Type here]

Exhibit “S”

Attachment C: DBE and SBE Requirements for the Recreational Trails

Program (DCNR Exhibit A)

Revised 12/14

EXHIBIT A

DCNR DISADVANTAGED BUSINESS ENTERPRISE (DBE) AND SMALL BUSINESS

ENTEPRISE (SBE) REQUIREMENTS FOR THE RECREATIONAL TRAILS

PROGRAM

1. DBE

Include the following provisions (Paragraphs a through d) in every contract, so that such provisions will be binding not only upon the grantee, but upon any contractor, supplier, service provider and trucking firm performing work towards the grant.

(a) Policy for Federally-Funded Projects. It is the policy of the U.S. Department of Transportation (DOT) and the Department that DBEs, as defined in 49 CFR Part 26, as amended, (Part 26) and this specification, be given the opportunity to participate in the performance of contracts financed in whole or in part with

Federal funds under this contract. Consequently, the DBE requirements of Part 26, as amended, apply to this contract.

(b) DBE Obligation. Take all necessary and reasonable steps to ensure that all DBEs have the opportunity to compete for and perform contracts. The grantee shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of this contract.

(c) Failure to Comply with DBE Requirements. Failure by the grantee to carry out these requirements is a material breach of this contract, which may result in termination of this grant agreement or such other remedy as the Department deems appropriate, which may include, but is not limited to: a. Withholding progress payments; b. Assessing sanctions; c. Liquidated damages; and/or d. Disqualifying the contractor from future bidding as non-responsible.

(d) Small Business Enterprise (SBE) Participation. Recruitment and utilization of certified SBEs is in addition to all other equal opportunity requirements of the contract. There is no SBE goal.

2. DEFINITIONS

The following definitions apply for terms used in this specification:

(a) Disadvantaged Business Enterprise (DBE). A for-profit small business concern:

1. An entity certified by the Pennsylvania Unified Certification Program (PAUCP) as listed on www.paucp.com.

2. That meets the ownership and control requirements of the DBE certification program.

3. That meets the Personal Net Worth requirements of the DBE certification program.

(b) Small Business Enterprise (SBE). A for-profit small business concern:

1. An entity certified by the Pennsylvania Department of Transportation (PennDOT) as listed on www.dotsbe.pa.gov.

2. That meets the ownership and control requirements of the Small Business Element (SBE) certification program.

3. That meets the Personal Net Worth requirements of the SBE certification program.

Page 1 of 5

Revised 12/14

(c) Commercially Useful Function. A DBE performs a Commercially Useful Function (CUF) when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, installing (where applicable), and paying for the material itself.

(d) Supplier. A manufacturer, regular dealer, or transaction expeditor/broker.

1. Manufacturer. A DBE/SBE that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

2. Regular Dealer. A DBE/SBE that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided above if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis. Whether a

DBE/SBE firm meets the criteria for being treated as a regular dealer is a contract-by-contract determination to be made by the Department.

3. Transaction Expeditor/Broker. A DBE/SBE packager, broker, manufacturers' representatives, or other persons who arrange or expedite transactions and who arrange for material drop-shipments.

3. COUNTING DBE PARTICIPATION

Although no DBE goal is established for this project, the grantee is still encouraged to involve DBEs in the required work and to submit documentation of any such involvement in the project. Recruitment and utilization of certified

DBEs is in addition to all other equal opportunity requirements of the contract.

(a) Construction.

1. Prime Contractor. A DBE prime contractor will receive credit for all work performed with its own forces. The Department strongly encourages DBE prime contractors to make additional outreach efforts to solicit DBEs to perform subcontracting work on the project.

2. Subcontractor. When a DBE participates in a contract directly as a subcontractor or as a second-tier or lower-tier subcontractor, count only the value of the work actually performed by the DBE.

Count the entire amount of that portion of a construction contract that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the DBE for the work of the subcontract, including supplies purchased or equipment leased by the DBE.

When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count.

Count expenditures to a DBE contractor only if the DBE is performing a CUF on that contract.

(b) Materials and Supplies.

1. DBE Manufacturer. If the materials or supplies are obtained from a DBE manufacturer, count 100% of the cost of the materials or supplies.

Page 2 of 5

Revised 12/14

2. DBE Regular Dealer. If the materials or supplies are purchased from a DBE regular dealer, count

60% of the cost of the materials or supplies. Note: There is no North American Industry Classification

System (NAICS) code for regular dealer.

3. DBE Transaction Expeditor/Broker. If the materials or supplies are purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, provided the fees are determined to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves.

(c) Service Providers. Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance the contract, provided the fee is reasonable and not excessive as compared with fees customarily allowed for similar services.

(d) Trucking Firms. Count 100% of trucking costs using the following factors to determine what can be counted:

1. Count if the DBE is responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.

2. Count if the DBE owns and operates at least one fully licensed, insured, and operational truck used on the contract.

3. Count the total value of the transportation services the DBE provides on the contract using trucks it owns, insures, and operates using drivers it employs.

4. The DBE may lease trucks from another DBE firm, including an owner-operator who is a certified

DBE. If the DBE leases trucks from another DBE, count the total value of the transportation services the lessee DBE provides on the contract.

5. The DBE may also lease trucks from a non-DBE firm, including an owner-operator. If the DBE leases trucks from a non-DBE firm and the DBE operates these leased trucks (with its own forces), count the total value of the transportation services. If the DBE leases trucks from a non-DBE owner-operator, count only the fee or commission it paid as a result of the lease arrangement. Do not count the total value of the transportation services provided by the lessee (non-DBE owner-operator), since these services are not provided by a DBE.

6. For purposes of this provision, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from being used for work for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. A lease must explicitly state that the DBE leases trucks without operators when the counting of the total value of transportation services is desirable.

(e) Specialty Items. In cases where specialty items and DBE involvement overlap, follow the requirements specified in Section 108.01(c).

4. COUNTING SBE PARTICIPATION

Although no SBE goal is established for this project, the grantee is still encouraged to involve SBEs in the required work and to submit documentation of any such involvement in the project. Recruitment and utilization of certified

Page 3 of 5

Revised 12/14

SBEs is in addition to all other equal opportunity requirements of the contract. Count SBE participation the same as you would count DBE participation.

5. COMMERCIALLY USEFUL FUNCTION

A Commercially Useful Function (CUF) analysis is required under 49 CFR §26.55 to ensure DBE participation is credited appropriately on federally-assisted transportation projects. A DBE performs a CUF when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

(a) The grantee (or designee other than the prime contractor) will complete the Form EO-354, DBE

Commercially Useful Function Report, (Attachment 1) for all DBEs performing work towards the grant.

The CUF form must be completed within five (5) days of the DBE performing work on the project. If all questions on the CUF form are answered ‘Yes’, then no further action is required. However, a copy of the form must be kept with the project’s files for auditing purposes and submitted to the Department with the final close-out information for the grant.

(b) If any question on the CUF form is answered ‘No’ then the grantee (or designee other than the prime contractor) will immediately fax or e-mail the form to Department. The Department will fax or e-mail a copy of the form to the PennDOT’s Bureau of Equal Opportunity (BEO) for further review and analysis.

The analysis and subsequent determination of the CUF will be made by BEO. However, BEO may request additional information from DCNR to help with the investigation and analysis. BEO will also consult with

Department staff prior to issuing its determinations on the CUF. The determination will be issued in writing and provided to all parties (the Department, the grantee, the prime contractor and the DBE firm being impacted). If the determination warrants a change in the DBE commitment the Department will be notified. The Department will work closely with PennDOT to make the necessary revisions.

6. RECORDS & REPORTING

The grantee is required to keep such records and submit such reports as are necessary to determine compliance with

DBE Requirements.

(a) Records. The records must be designed to indicate the following:

1. The number of DBEs, SBEs, and non-DBE/SBE contractors, suppliers, truckers, and or/service providers and the type of work on services performed on or materials incorporated into the project;

2. The progress and efforts made in seeking out DBE and SBE contractor organizations and individual

DBEs and SBEs for work on the grant;

3. Documentation of all communication to obtain the services of DBEs/SBEs on a project;

4. The dollar amounts paid to DBEs/SBEs each month.

(b) Reports. While no DBE or SBE goal has been established in connection with the grant, the grantee is required to submit documentation of DBE and SBE involvement should they perform work in support of the grant.

1. The grantee must submit the Monthly DBE/SBE Status Report, EO-402 (Attachment 2. This Form should be completed each month once the grantee has issued a notice to proceed to the prime contractor. The report is to be completed by the prime contractor within five (5) business days following the end of each month. The grantee, upon receipt, should immediately review for completeness and forward to the Department.

2. If no payments are made to DBE or SBE firms during a given month, the prime contractor must still submit a zero activity report to the grantee. The grantee must inform the Department, in writing, of

Page 4 of 5

Revised 12/14 any situation in which payments are not made to DBE/SBE subcontractors, suppliers, service provider or consultant as required by the subcontract including reasons why.

3. While they need not be submitted to the Department monthly, the grantee must keep cancelled checks on file showing payment to DBE or SBE firms. This documentation must be provided for inspection and audit by the Department upon request.

4. Upon completion of a DBE’s or SBE’s work, the grantee must submit a certification of the total amount paid to the DBE or SBE. In the event the actual amount paid is less than the award amount, provide a complete explanation of the difference.

Maintain all such records and reports for a period of three (3) years following acceptance of final payment. Make these records available for inspection by the Department and FHWA.

ATTACHMENTS

Attachment 1 – DBE Commercially Useful Function Report – EO-354

Attachment 2 – Monthly DBE/SBE Status Report – EO-402

Page 5 of 5

Attachment D: Program Center Awards, Commitments, and

Payments Spreadsheet

Commonwealth of Pennsylvania ‐ DBE Report

PROJECT TITLE:

(Name of Project Title/Task)

RFP/RFQ Date Funding Source PRIME CONTRACTOR

SUB‐CONTRACTOR

Report Date PennDOT Contractor

(Insert Planning Commission Name Here)

DBE/SBE/

NA NAICS Code

CONTRACT 

AWARD DATE 

AMOUNT 

AWARDED

Summary

GOAL %

GOAL 

DOLLARS

$0.00

DBE 

COMMITTED 

DOLLARS

$0.00

DBE 

COMMITED 

%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

0.00% $0.00

$0.00

#DIV/0!

RC

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

RC%

0.00%

0.00%

0.00%

0.00%

0.00%

#DIV/0!

RN

$0.00

RN%

0.00%

DBE PAYMENTS

$0.00

DBE % Paid

0.00%

SBE PAYMENTS

$0.00

SBE % PAID

0.00%

FINAL 

PAYMENT 

(Y/N)

PROJECT 

COMPLETED 

(Y/N)

DATE 

COMPLETED

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

#DIV/0!

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

0.00%

PROJECT TITLE:

(Name of Project Title/Task)

RFP/RFQ Date Funding Source PRIME CONTRACTOR

SUB‐CONTRACTOR

PROJECT TITLE:

(Name of Project Title/Task)

RFP/RFQ Date Funding Source PRIME CONTRACTOR

SUB‐CONTRACTOR

PROJECT TITLE:

(Name of Project Title/Task)

RFP/RFQ Date Funding Source PRIME CONTRACTOR

SUB‐CONTRACTOR

DBE/SBE/

NA NAICS Code

CONTRACT 

AWARD DATE 

AMOUNT 

AWARDED

Summary

GOAL %

GOAL 

DOLLARS

$0.00

DBE 

COMMITTED 

DOLLARS

$0.00

DBE 

COMMITED 

%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

0.00% $0.00

$0.00

#DIV/0!

DBE/SBE/

NA NAICS Code

CONTRACT 

AWARD DATE 

AMOUNT 

AWARDED

Summary $0.00

GOAL %

GOAL 

DOLLARS

$0.00

DBE 

COMMITTED 

DOLLARS

DBE 

COMMITED 

$0.00

%

0.00%

0.00% $0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

#DIV/0!

DBE/SBE/

NA NAICS Code

CONTRACT 

AWARD DATE 

AMOUNT 

AWARDED

Summary

GOAL %

GOAL 

DOLLARS

$0.00

DBE 

COMMITTED 

DOLLARS

$0.00

DBE 

COMMITED 

%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

0.00% $0.00

$0.00

#DIV/0!

RC

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

RC%

0.00%

0.00%

0.00%

0.00%

0.00%

#DIV/0!

RN

$0.00

RN%

0.00%

DBE PAYMENTS

$0.00

DBE % Paid

0.00%

SBE PAYMENTS

$0.00

SBE % PAID

0.00%

FINAL 

PAYMENT 

(Y/N)

PROJECT 

COMPLETED 

(Y/N)

DATE 

COMPLETED

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

#DIV/0!

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

0.00%

RC

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

RC%

0.00%

0.00%

0.00%

0.00%

0.00%

#DIV/0!

RN

$0.00

RN%

0.00%

DBE PAYMENTS

$0.00

DBE % Paid

0.00%

SBE PAYMENTS

$0.00

FINAL 

PAYMENT 

SBE % PAID

0.00%

(Y/N)

PROJECT 

COMPLETED 

(Y/N)

DATE 

COMPLETED

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

#DIV/0!

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

0.00%

0.00%

RC

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

RC%

0.00%

0.00%

0.00%

0.00%

0.00%

#DIV/0!

RN

$0.00

RN%

0.00%

DBE PAYMENTS

$0.00

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

$0.00

$0.00

$0.00

DBE % Paid

0.00%

SBE PAYMENTS

$0.00

SBE % PAID

0.00%

FINAL 

PAYMENT 

(Y/N)

PROJECT 

COMPLETED 

(Y/N)

DATE 

COMPLETED

0.00%

0.00%

0.00%

0.00%

$0.00

$0.00

$0.00

$0.00

0.00%

0.00%

0.00%

0.00%

$0.00

#DIV/0!

$0.00

0.00% 0.00% 0.00%

Terms

RFP/RFQ Date

Funding Source

DBE

SBE

NAICS Code

Definitions/Narrative Description

Date that the project is bid.

For Planning Partners, will be either FHWA or FTA funds.

A Disadvanted Business Enterprise which is certified by the PA UCP as listed on www.paucp.com.

A Small Business Enterprise which is certified by PennDOT as listed on www.dotsbe.pa.gov.

North American Industry Classification Code - DBE firms are required to include the NAICS code that corresponds to the scope of work they intend to perform on the contract/project as part of their quotes. All DBE firms are certified with at least one NAICS code by the PA UCP. The NAICS codes are visible as part of the search results for all DBE firms on www.paucp.com.

Contract Award Date Date that a the Prime is issued a notice to proceed or date of last agreement signature.

Goal % % DBE Goal established as a part of RFP/RFQ. You are encouraged to contact

Dustin Hobaugh or Dwan Lee in establishing this goal. RFP/RFQ contract goals are developed based upon a number of factors including cost, scope of work, and the availability of DBE firms. In determining RFP/RFQ contract goals PennDOT considers its progress to date in meeting its overall FHWA goal. The overall

FHWA goal is developed triannually but can be adjusted annually based on changed circumstances.

RC

RN

Final Payment

Project Completed

Date Completed

Race Conscious - Race-conscious measures, such as the use of individual contract/project goals, are those measures and programs that focus on specifically assisting DBEs only.

Race Neutral - Race-Neutral measures are activities or programs that benefit and assist all small business equally, including DBEs and SBEs. Race-neutral DBE participation occurs when a DBE wins a contract or subcontract that did not have contract specific goals, or when the DBE status was not considered in making the award.

If the work is complete, and the payment is final, then put yes. If the work is still ongoing, then put no.

Yes or no if work is completed on the agreement/project.

Date of project completion.

Commonwealth of Pennsylvania ‐ DBE Report

PROJECT TITLE:

Household Travel Survey

RFP/RFQ Date Funding Source PRIME CONTRACTOR

1/26/2015 FHWA Prime Contractor A

SUB‐CONTRACTOR

DBE Firm A

DBE Firm B

SBE Firm A

NA

Report Date

5/1/2015

PennDOT Contractor

DVRPC

DBE/SBE/

NA

NA

NAICS 

Code

N/A

CONTRACT 

AWARD DATE 

2/1/2012

AMOUNT 

AWARDED

$1,079,271.00

GOAL %

8.00%

GOAL 

DOLLARS

$86,341.68

DBE 

COMMITTED 

DOLLARS

$0.00

DBE 

COMMITED 

%

0.00%

DBE

DBE

SBE

541330

541512

541370

Summary $1,079,271.00

8.00% $86,341.68

$97,134.39

$106,778.00

$0.00

$0.00

$203,912.39

9.00%

10.00%

0.00%

0.00%

18.89%

RC

$0.00

$86,341.68

$0.00

$0.00

$0.00

$86,341.68

RC%

0.00%

RN

$0.00

RN%

0.00%

8.00% $10,792.71

0.00% $106,778.00

0.00% $0.00

0.00% $0.00

1.00%

10.00%

0.00%

0.00%

8.00% $117,570.71

10.89%

DBE PAYMENTS

$0.00

$21,273.00

$13,541.00

$0.00

$0.00

$34,814.00

DBE % Paid

0.00%

SBE PAYMENTS

$0.00

2.00%

1.00%

0.00%

0.00%

3.00%

$0.00

$0.00

$7,856.00

$0.00

785600.00%

FINAL 

PAYMENT 

SBE % PAID (Y/N)

0.00% Y

PROJECT 

COMPLETED 

(Y/N)

Y

DATE 

COMPLETED

6/30/2013

0.00% Y

0.00% NA

1.00% NA

0.00% NA

1.00%

Attachment E: DCNR Awards, Commitments, and

Payments Spreadsheet

DCNR Awards, Commitments, and Payments Report

DCNR Project Information

Federal 

Fiscal 

Year Grantee Name Project Title County(s)

DCNR Project 

Number

Contract Information

DCNR Grant 

Amount

Estimated Total 

Project Cost Status Firm Type

Prime Contractor

DBE/SBE

DBE/SBE

Non‐DBE/SBE

Non‐DBE/SBE

Prime Contractor

DBE/SBE

DBE/SBE

Non‐DBE/SBE

Non‐DBE/SBE

Prime Contractor

DBE/SBE

DBE/SBE

Non‐DBE/SBE

Non‐DBE/SBE

Prime Contractor

DBE/SBE

DBE/SBE

Non‐DBE/SBE

Non‐DBE/SBE

Prime Contractor

DBE/SBE

DBE/SBE

Non‐DBE/SBE

Non‐DBE/SBE

Firm Name

Contract 

Award Date

Contract 

Amount

DBE 

Commitment 

Amount

DBE 

Commitment 

%

Payment Information for Reporting Period

NAICS 

Code(s)

DBE (RN) Payment 

Amount

DBE (RN) 

Contract %

Attachment F: Workflows

1. Initial Minority Participation Approval Pre-Award

February 11, 2013

1

Prospective bidder submits bid electronically in

ECMS

2

BOPD CA opens bid package in ECMS

14

GFE request

No

15

Process ends

Yes

16

IRT meets to review

GFE documentation

3

ECMS selects apparent low bidder and notifies them via electronic workflow

4

Bid contains minority commitment goal

Yes

6

Apparent low bidder submits DBE commitment and/or

GFE documentation

No

5

Process ends

No

17

Additional information needed

Yes

18

IRT Chairperson requests additional information from low bidder

No

Go to

20

19

IRT Chairperson receives additional information

20

IRT determines GFE recommendation

7

DBE goal met

Yes

8

DBE firms have appropriate work class codes

Yes

9

Minority commitment approved

No

11

Minority commitment conditionally approved

Yes

12

Process ends

No

13

Process ends

10

Process ends

BEO – Bureau of Equal Opportunity

BOPD – Bureau of Project Delivery

CA – Contract Awards

DBE – Disadvantaged Business Enterprise

GFE – Good Faith Effort

IRT – Interdisciplinary Review Team

21

IRT Chairperson writes recommendation of

GFE approval

22

IRT Chairperson sends to BEO

Director for approval

23

BEO Director concurs

No

Yes

24

Is there GFE

No

A

A

Yes

25

BEO Director notifies low bidder by letter of GFE decision

26

CA documents GFE decision and attaches to project in ECMS

27

Process ends

Page 1 of 2

1. Initial Minority Participation Approval Pre-Award

February 11, 2013

A

28

IRT prepares documentation packet

29

IRT sends documentation packet to GFE

Committee

30

GFE Committee reviews documentation packet

31

GFE Committee schedules hearing with apparent low bidder and IRT

Chairperson

32

GFE Committee holds hearing with apparent low bidder

33

GFE Committee makes post hearing decision regarding

GFE

34

GFE Committee approves GFE

No

35

CA prepares GFE disapproval documentation

Yes

Go to

25

36

Process ends

BEO – Bureau of Equal Opportunity

BOPD – Bureau of Project Delivery

CA – Contract Awards

DBE – Disadvantaged Business Enterprise

GFE – Good Faith Effort

IRT – Interdisciplinary Review Team

Page 2 of 2

1. Initial Minority Participation Approval Pre-Award

Process Explanation

Process Owner: Dustin Hobaugh

Step

6

7

Comments

Low bidder must submit commitment documentation

(electronically in ECMS) by 3PM prevailing local time within 7 calendar days after the bid opening.

CA reviews low bidder’s commitment documentation that was received by the deadline to determine if DBE$ goal was met and/or if the commitment can be approved.

Requirements

NOTE: The initial participation approval process is managed and controlled by BOPD, Contract

Awards. However, BEO is responsible for ensuring DBE requirements are met on all federally assisted transportation projects.

Page 1 of 1

2. Good Faith Efforts (Pre-Award)

October 2, 2012

1

ALB toggles GFE switch in ECMS stating submission

2

Did ALB toggle switch in ECMS

No

Yes

4

ALB submits documentation stating why they cannot meet goal within seven calendar days of bid opening

3

Process ends

7

GFE approval recommended

Yes

8

IRT Chairperson writes recommendation of

GFE approval for

BEO Director’s signature

No

11

IRT Chairperson writes recommendation to not approve GFE for

BEO Director’s signature

12

BEO Director notifies contractor by letter and email that GFE not approved

9

GFE approved by

BEO Director

13

IRT notifies GFE committee that final decision required

5

BEA receives documentation

10

Process ends

14

GFE committee schedules hearing with impacted contractor

6

IRT convenes to review GFE documentaion

15

GFE committee makes post-hearing decision regarding

GFE

16

Did contractor show GFE

Yes

17

BEA moves forward with non-DBE Pre-

Award process

No

19

GFE Committee determines corrective action and contractor loses bid

20

Process ends

ALB – Apparent Low Bidder

BEA – Business Enterprise Analyst

BEO – Bureau of Equal Opportunity

CO – Central Office

DBE – Disadvantages Business Enterprise

DO – District Office

ECMS – Engineering & Construction Management System

GFE – Good Faith Effort

IRT – Interdisciplinary Review Team

18

Process ends

Page 1 of 1

Step

1

12 & 14

2. Good Faith Efforts (Pre-Award)

Process Explanation

Process Owner: Dustin Hobaugh

Comments

Apparent Low Bidder does this prior to 3PM on the 7 th calendar day after bid opening date.

Apparent Low Bidder provides copies of quotes from DBE firms, emails and /or faxes sent out to DBE contractors, etc.

This is part of Due Process.

Requirements

Page 1 of 1

3A. Substitution - DBE Used To Meet Project Goal

December 19, 2012

1

PC notifies IIC and

DO ACE in writing of intent to substitute

DBE firm

2

PC sends certified letter and email to

DBE Firm

3

DBE Firm agrees to be removed

No

Yes

4

DBE Firm notifies PC and DO in writing via letter or email to that effect

A

5

PC notifies DO ACE,

IIC and DLCCA to revise Minority

Commitment

6

DO reviews notification from

DBE and issues concurrence

7

BOPD CA verifies notification has been attached in

ECMS

8

CA changes Minority

Commitment to incomplete status and marks as draft so PC can input revised information

9

PC inputs revised

Minority

Commitment

12

PC submits revised

Minority

Commitment for DO review

13

PC notifies DO that revised Monthly

Commitment has been entered for review and approval

14

Concur with

Minority

Commitment

10

PC notifies substitute DBE firm of need to acknowledge

Minority

Commitment in

ECMS

11

DBE firm acknowledges

Minority

Commitment in

ECMS and notifies

PC to that effect

15

DO notifies PC and

BOPD, CA that revision was accepted

16

PC inputs subcontractor request for replacement DBE

17

Process ends

18

DO rejects commitment and notifies PC in writing or email that revisions necessary

Go to

13

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CA – Contract Awards

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary review Team

PC – Prime Contractor

Page 1 of 2

3A. Substitution - DBE Used To Meet Project Goal

December 19, 2012

A

19

DBE Firm notifies PC and DO in writing including reason they object

20

DO forwards their recommendation and written notification from

DBE Firm to CO IRT for review

21

CO IRT decides whether to accept removal and notifies

DO of decision

22

IRT agrees with removal

No

23

DBE Firm remains on project

Yes

Go to

6

24

Process ends

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CA – Contract Awards

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary review Team

PC – Prime Contractor

Page 2 of 2

3A. DBE Used To Meet Project Goal

Process Explanation

Process Owner: Dustin Hobaugh

8

9

19

20

21

Step

1

2

5

6

Comments

Prime contractor should include a copy of the current subcontract agreement.

If the work to be performed by the DBE is eliminated by the

Department, then this process need not be followed.

DBE Firm is given 5 business days from the date of receipt of the letter to respond to the notification of removal.

If the Prime contractor has documentation from the DBE Firm acknowledging the removal then no certified notification is needed.

Prime contractor also provides District Office with notification from DBE.

The DO can also receive and review letter stating IRT’s decision to remove.

Once complete, the DO attaches notification in ECMS to the

Minority Commitment and notifies BOPD, Contract Awards to that effect.

CA notifies DO who in turn notifies PC.

Includes substitute DBE firms, if applicable.

This must be done within 5 business days of receipt.

If needed, IRT has District Office request additional clarification/information from Prime contractor or DBE.

DO is responsible for notifying Prime contractor and DBE Firm of

IRT’s decision via certified letter.

The notification letter from the DO includes the DBE firm’s right to request a mediation meeting immediately upon receipt.

If needed, a meeting will be held with both parties to facilitate resolution of any outstanding issues.

23

Requirements

Page 1 of 1

3B. Substitution - DBE Not Used To Meet Project Goal & Work Performed

December 13, 2012

1

PC notifies IIC and

DO ACE in writing of intent to substitute

DBE firm

2

PC sends certified letter and email to

DBE Firm

3

DBE Firm concurs with release

Yes

4

DBE Firm notifies PC and DO in writing via letter or email to that effect

No

5

PC notifies DO ACE,

IIC and DLCCA to revise subcontractor requests

6

DO reviews notification from

DBE and issues concurrence

7

BOPD PO verifies notification has been attached in

ECMS

A

8

Request impacts

50% rule

No

12

BOPD PO notifies

DO that PC can enter additional subcontractor request for remaining work

Yes

9

BOPD PO contacts

DO advising of issue and proper procedure to follow

13

DO notifies PC to enter subcontractor request for remaining portion of work

10

DO contacts PC and guides them through necessary procedures

11

Process ends

14

PC submits new subcontractor request and notifies

DO it has been entered for review and approval

15

DO approves new subcontractor

Yes

16

DO approves new subcontractor and notifies PC in writing

No

18

DO notifies PC in writing subcontractor request was not approved

Go to

14

17

Process ends

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary review Team

PC – Prime Contractor

PDCA – Project Delivery Contract Awards

PO – Prequalification Office

Page 1 of 2

3B. Substitution - DBE Not Used To Meet Project Goal & Work Performed

December 13, 2012

A

19

DBE Firm notifies PC and DO in writing including reason they object

20

DO forwards their recommendation and written notification from

DBE Firm to CO IRT for review

21

CO IRT decides whether to accept removal and notifies

DO of decision

22

IRT agrees with removal

No

23

DBE Firm remains on project

Yes

Go to

6

24

Process ends

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary review Team

PC – Prime Contractor

PDCA – Project Delivery Contract Awards

PO – Prequalification Office

Page 2 of 2

3C. Substitution - DBE Not Used To Meet Project Goal & No Work

Performed

December 14, 2012

1

PC notifies IIC and

DO ACE in writing of intent to substitute

DBE firm

7

DO reviews notification from

DBE and issues concurrence

13

PC submits new subcontractor request

2

PC sends certified letter and email to

DBE Firm

3

DBE Firm agrees to be removed

No

Yes

4

DBE Firm notifies PC and DO in writing via letter or email to that effect

A

8

BOPD PO verifies notification has been attached in

ECMS

9

PO deletes approved subcontractor request so PC can input revised information

10

PO notifies DO that subcontractor request has been deleted

14

DO approves new subcontractor

Yes

15

DO approves new subcontractor and notifies PC in writing

No

17

DO notifies PC in writing subcontractor request was not approved

Go to

13

16

Process ends

5

PC notifies DO ACE,

IIC and DLCCA to revise subcontractor requests

11

DO notifies PC that subcontractor request has been deleted

6

DO verifies no work has been performed

12

DO instructs PC to enter a new subcontractor request

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary Review Team

PC – Prime Contractor

PO – Prequalification Office

Page 1 of 2

3C. Substitution - DBE Not Used To Meet Project Goal & No Work

Performed

December 14, 2012

A

18

DBE Firm notifies PC and DO in writing including reason they object

19

DO forwards their recommendation and written notification from

DBE Firm to CO IRT for review

20

CO IRT decides whether to accept removal and notifies

DO of decision

21

IRT agrees with removal

No

22

DBE Firm remains on project

Yes

Go to

6

23

Process ends

ACE – Assistant Construction Engineer

BOPD – Bureau of Project Delivery

CO – Central Office

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

ECMS – Engineering and Construction Management System

IIC - Inspector in Charge

IRT – Interdisciplinary Review Team

PC – Prime Contractor

PO – Prequalification Office

Page 2 of 2

4. Good Faith Efforts (Post-Award)

October 2, 2012

1

Contractor/DO/CO determines that DBE goal will not be met

(goal shortfall)

2

Contractor submits

GFE documentation

3

ALB submits documentation stating why they cannot meet goal within seven calendar days of bid opening

6

GFE approval recommended

Yes

7

IRT Chairperson writes recommendation of

GFE approval for

BEO Director’s signature

No

10

IRT Chairperson writes recommendation to not approve GFE for

BEO Director’s signature

11

BEO Director notifies contractor by letter and email that GFE not approved

8

GFE approved by

BEO Director

12

IRT notifies GFE committee that final decision required

4

BEA receives documentation

9

Process ends

13

GFE committee schedules hearing with impacted contractor

5

IRT convenes to review GFE documentation

14

GFE committee makes post-hearing decision regarding

GFE

15

Did contractor show GFE

No

18

GFE Committee determines corrective action

Yes

16

Construction project moves forward toward completion

19

Process ends

ALB – Apparent Low Bidder

BEA – Business Enterprise Analyst

BEO – Bureau of Equal Opportunity

CO – Central Office

DBE – Disadvantages Business Enterprise

DO – District Office

ECMS – Engineering & Construction Management System

GFE – Good Faith Effort

IRT – Interdisciplinary Review Team

17

Process ends

Page 1 of 1

5. DBE Goal Monitoring (Monthly District Report)

September 24, 2012

1

DLCCA generates monthly status report of all active projects that have

DBE goals and/or

Federal money

8

DBE Division Chief reviews information provided and determines next steps

2

DLCCA sends report to DBE Division Chief via email by 10 th

of the month

9

DBE Division Chief provides next steps to DLCCA via email for completion

3

DBE Division Chief reviews report including comments to determine if follow up is necessary

10

DBE Division Chief sends letter to PC and DBE Firm indicating action required to resolve outstanding issues

11

PC provides information to

DLCCA

4

Follow up necessary

Yes

6

DBE Division Chief follows up with

DLCCA via phone or email to obtain further information

No

5

Process ends

12

DLCCA reviews information for completeness

7

DLCCA or CI provides information requested to DBE

Division Chief via email

13

Information complete

Yes

15

DLCCA supplies information to DBE

Division Chief via email

No

14

DLCCA contacts

PC/DBE Firm for additional information

Go to

11

16

DBE Division Chief analyzes information for completeness

A

ADE – Assistant District Executive

BEO – Bureau of Equal Opportunity

CI – Chief Inspector

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

PC – Prime Contractor

Page 1 of 2

5. DBE Goal Monitoring (Monthly District Report)

September 24, 2012

A

17

Information complete

Yes

19

DBE Division Chief determines if corrective action necessary

No

18

DBE Division Chief contacts DLCCA for additional information

Go to

14

20

Corrective action needed

No

21

DBE Division Chief notifies DLCCA that no corrective action needed

Yes

23

DBE Division Chief determines if corrective action is needed

22

Process ends

24

DBE Division Chief sends letter to PC and DBE Firm with copy to DLCCA and

ADE for

Construction

25

PC/DBE Firm notifies

BEO when corrective action is resolved

26

Process ends

ADE – Assistant District Executive

BEO – Bureau of Equal Opportunity

CI – Chief Inspector

DBE – Disadvantaged Business Enterprise

DLCCA – District Labor Contract Compliance Agent

DO – District Office

PC – Prime Contractor

Page 2 of 2

5A. DBE Goal Monitoring-Local Design and Construction Projects (Monthly

District Report)

August 20, 2015

Design Projects Construction Projects

1

PC submits monthly invoice package to LPS. Invoice package must include

EO-402LP documenting most recent payments to DBEs.

1

Project Inspector completes inspector estimate and asks PC to provide EO-402LP for previous received payment.

No No

2

EO-402LP submitted?

2

EO-402LP submitted?

Yes

3

LPS reviews invoice, drafts a cover letter requesting reimbursement, and sends reimbursement request to

PennDOT (including form EO-402LP).

Yes

3

Project inspector forwards the inspector estimate to LPS.

4

DLPC, DFO or designee approves reimbursement request in SAP

4

LPS reviews invoice, drafts a cover letter requesting reimbursement, and sends reimbursement request to PennDOT

(including form EO-402LP).

5

DLPC, DFO or designee approves reimbursement request in SAP

5

DLPC, DFO or designee transfers EO-

402LP data to DBE commitments/ payments spreadsheet

6

DLPC, DFO or designee transfers EO-402LP data to DBE commitments/payments spreadsheet

6

COCA compiles data from commitments/payments spreadsheet with other DBE data and reports to BEO for use in DBE

Uniform Report

7

COCM compiles data from commitments/ payments spreadsheet with other DBE data and reports to BEO for use in DBE

Uniform Report

7

Process Ends

8

Process Ends

EO-380 – DBE Participation for Federal Project

EO-402 – Monthly DBE/SBE Status Report

PC Prime Consultant/Contractor

SAP – Commonwealth accounting system

Page 1 of 1

7. DBE Commercially Useful Function Report

September 14, 2012

1

CI completes EO-354

Form

2

All questions answered Yes

No

4

CI faxes form to BEO

Yes

3

Process ends

5

DBE Division Chief reviews form to determine documentation needed

6

DBE Division Chief contacts CI to request needed documentation

7

CI or appropriate party provides documentation to

DBE Division Chief

8

DBE Division Chief creates and sends letter identifying issues with support documentation to

PC and DBEE Firm

9

PC and DBE Firm sends joint reply letter to DBE

Division Chief

10

DBE Division Chief reviews letter and determines if all issues were addressed

11

All issues addressed

Yes

12

DBE Division Chief sends non-finding letter to PC , DBE

Firm, CI , and DO

ACE and DLCCA

13

Process ends

No

14

DBE Division Chief meets with OCC to discuss outstanding issues and action to be taken

15

DBE Division Chief sends letter to PC and DBEE Firm indicating action required to resolve outstanding issues

16

PC/DBE Firm request meeting with BEO

Yes

17

DBE Division Chief schedules meeting with PC/DBEE Firm and OCC to discuss outstanding issues

Go to

18

18

PC/DBE Firm provides corrective action plan to resolve issues to

BEO

No

19

BEO reviews corrective action plan to ensure all issues are addressed

20

All issues addressed

Yes

21

PC/DBE Firm notifies

BEO when corrective action is resolved

22

Process ends

No

23

DBE Division Chief contacts PC/DBEE

Firm to discuss any outstanding issues

Go to

15

ACE – Assistant Construction Executive

CI – Construction Inspector

DB – Disadvantaged Business

DLCCA – District Labor Contract Compliance Agent

DO – District Office

DBE – Disadvantaged Business Enterprise

PC – Prime Contractor

Page 1 of 1

8. Update DBE Program Document Per USDOT Regulatory Changes

October 4, 2012

1

BEO receives changes to DBE

Program from

USDOT

2

BEO meets with OCC to discuss changes and determine areas impacted

3

BEO schedules meetings with impacted area(s) to discuss changes and request assistance from impacted areas

4

Impacted area(s) develops options to changes and notifies

BEO

5

BEO schedules meeting to go over options to determine best solution

6

BEO updates program document to reflect changes

7

BEO submits updated program document to FHWA

PA Division Office for review and approval

8

FHWA approves program document

Yes

9

Process ends

No

10

FHWA supplies changes to program document

11

BEO meets with

FHWA to discuss changes until changes are resolved

Go to

6

BEO – Bureau of Equal Opportunity

DBE – Disadvantages Business Enterprise

FHWA – Federal Highway Administration

OCC – Office of Chief Counsel

USDOT – United States Department of Transportation

Page 1 of 1

9A. Initial DBE Certification

November 20, 2012

1

Applicant submits

Initial DBE application to BEO

2

CT3 logs application on PAUCP data base and Excel spreadsheet

3

CT3 reviews application for completeness via check list

4

Application complete via check list

Yes

5

CT3 sends copy of application and support documentation to

OCC SI and IIC and copy of cover memo to LA

No

A

6

SI reviews application and support documentation for completeness

7

Application complete

Yes

8

SI sends 90 day letter to applicant via email or hard copy

No

B

9

SI schedules on site interview with applicant

10

SI sends appointment letter to applicant via email or hard copy

11

SI conducts on site interview with applicant

12

Additional information required

Yes

13

SI leaves list letter at interview for additional information with due date

No

C

Go to

26

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 1 of 2

9A. Initial DBE Certification

November 20, 2012

A

14

CT3 requests additional information from applicant with due date

15

Information received by due date

Yes

Go to

3

No

16

EOS2 sends 2 nd request letter for additional information with due date

17

Information received by due date

Yes

Go to

3

No

18

EOS2 closes application on

PAUCP data base

19

EOS2 creates closeout letter to applicant

Go to

34

B

20

SI sends Warning

Letter to applicant

No

22

SI sends 15 day dead line letter via certified mail to applicant

No

21

Information received

23

Information received

24

SI sends IIC memo

25

IIC prepares denial letter and emails to

EOS2

Yes

Go to

8

Yes

Go to

8

Go to

32

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

C

26

SI creates On Site

Interview Report to present findings and recommendations

27

SI sends On Site

Interview Report to

IIC for review

28

IIC reviews On Site

Interview Report

29

Follow up required

Yes

30

SI or IIC contacts applicant for follow up

No

31

IIC makes final determination, prepares decision letter and emails letter to EOS2

32

EOS2 prints letter for Director signature and updates data base

Go to

31

33

Director signs letter and returns to EOS2 for mailing and filing

34

EOS2 mails letter and files application and support documentation in appropriate location

35

Process ends

Page 2 of 2

9B. DBE Notice of Change Affidavit Submission

November 21, 2012

1

Certified DBE submits Notice of

Change affidavit to

BEO

2

CT3 logs affidavit on

Excel spreadsheet

9

EOS2 sends copy of affidavit to SI and IIC and copy of cover memo to LA

3

CT3 forwards affidavit to EOS2

4

EOS2 reviews for changes and completeness

10

SI reviews affidavit and support documentation for completeness

11

On site visit required

Yes

12

SI schedules on site interview with certified DBE

No

C

5

Affidavit requires additional information

Yes

6

EOS2 asks applicant for additional information via fax or letter with due date

No

Go to

8

13

SI sends appointment letter to certified DBE via email or hard copy

Yes

14

SI conducts on site interview with certified DBE

7

Certified DBE responds by due date

Yes

8

Affidavit requires OCC review

No

No

A

B

15

SI creates Continued

Certification Report to present findings and recommendations

16

SI sends report to IIC for review

17

IIC reviews report

18

Follow up required

Yes

19

SI or IIC contacts

Certified DBE for follow up

No

20

IIC makes final determination, prepares decision letter and emails letter to EOS2

21

EOS2 prints letter for Director signature and updates PAUCP data base

Go to

20

22

Director signs letter and returns to EOS2 for mailing and filing

23

EOS2 mails letter and files affidavit and support documentation in appropriate location

24

Process ends

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 1 of 2

9B. DBE Notice of Change Affidavit Submission

November 21, 2012

A

25

EOS2 sends 2 nd notice with due date via certified mail to

Certified DBE

26

Certified DBE responds

No

27

EOS2 sends Failure to Cooperate letter via certified mail to

Certified DBE removing DBE

Certification

Yes

Go to

8

28

EOS2 updates

PAUCP data base and files affidavit and support documentation in appropriate location

29

Process ends

B

30

EOS2 sends Certified

DBE Approval letter via mail

Go to

28

C

31

SI contacts Certified

DBE via email or telephone

Go to

15

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 2 of 2

9C. DBE Expansion Request Letter Submission

November 21, 2012

1

Certified DBE submits Expansion request to BEO

2

CT3 logs request on

Excel spreadsheet

3

CT3 forwards request to EOS2

8

Certified DBE provides additional information

Yes

9

On site visit required

No

Go to

14

No

10

SI contacts Certified

DBE via email or telephone

Yes

11

SI schedules on site interview with

Certified DBE

4

EOS2 sends copy of request to SI and IIC and copy of cover memo to LA

5

SI reviews request for expansion

12

SI sends appointment letter to Certified DBE via email or hard copy

13

SI conducts on site interview with

Certified DBE

6

Additional information required

Yes

7

SI sends email to

Certified DBE

No

Go to

9

14

SI creates Expansion

Report to present findings and recommendations

15

SI sends report to IIC for review

16

IIC reviews report

17

Follow up required

Yes

18

SI or IIC contacts

Certified DBE for follow up

No

19

IIC makes final determination, prepares decision letter and emails letter to EOS2

20

EOS2 prints letter for Director signature and updates PAUCP data base

Go to

19

21

Director signs letter and returns to EOS2 for mailing and filing

22

EOS2 mails letter and files expansion request and support documentation in appropriate location

23

Process ends

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 1 of 1

9D. DBE Annual Affidavit To Maintain DBE Status Submission

November 21, 2012

17

IIC reviews report

1

Certified DBE submits Annual affidavit to BEO

9

EOS2 sends copy of affidavit to SI and IIC and copy of cover memo to LA

2

CT3 logs affidavit on

PAUCP data base and Excel spreadsheet

3

CT3 forwards affidavit to EOS2

4

EOS2 reviews for changes and completeness

10

SI reviews affidavit and support documentation for completeness

11

On site visit required

Yes

12

SI schedules on site interview with certified DBE

No

C

5

Affidavit requires additional information

Yes

6

EOS2 asks Certified

DBE for additional information via fax or letter with due date

No

Go to

8

13

SI sends appointment letter to certified DBE via email or hard copy

Yes

14

SI conducts on site interview with certified DBE

7

Certified DBE responds by due date

Yes

8

Affidavit requires OCC review

No

No

A

B

15

SI creates Continued

Certification Report to present findings and recommendations

16

SI sends report to IIC for review

18

Follow up required

Yes

19

SI or IIC contacts

Certified DBE for follow up

No

20

IIC makes final determination, prepares decision letter and emails letter to EOS2

21

EOS2 prints letter for Director signature and updates PAUCP data base

Go to

20

22

Director signs letter and returns to EOS2 for mailing and filing

23

EOS2 mails letter and files affidavit and support documentation in appropriate location

24

Process ends

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 1 of 2

9D. DBE Annual Affidavit To Maintain DBE Status Submission

November 21, 2012

A

25

EOS2 sends 2 nd notice with due date via certified mail to

Certified DBE

26

Certified DBE responds

No

27

EOS2 sends Failure to Cooperate letter via certified mail to

Certified DBE removing DBE

Certification

Yes

Go to

8

28

EOS2 updates

PAUCP data base and files affidavit and support documentation in appropriate location

29

Process ends

B

30

EOS2 sends Certified

DBE Approval letter via mail

Go to

28

C

31

SI contacts Certified

DBE via email or telephone

Go to

15

CT – Clerk Typist

DBE – Disadvantaged Business Enterprise

IIC – Investigator In Charge

LA – Legal Assistant

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

SI – Special Investigator

Page 2 of 2

9E. DBE Certification Appeal Letter Submission

November 21, 2013

1

Appellant submits appeal letter to BEO and copies OCC

2

EOS2 reviews appeal letter to determine whether appeal is

Denial or Removal of

Eligibility

3

EOS2 forwards appeal letter to

PAUCP Appeals

Chairperson

4

Hearing Facilitator emails hearing schedule to OCC

5

OCC prepares

Executive Summary for distribution to

PAUCP Appeal

Committee

6

OCC presents

Executive Summary at appeal hearing

7

Appeal upheld

No

Yes

8

Denial

Yes

10

EOS2 files PAUCP

Appeal Committee decision letter and support documentation in appropriate location

11

Process ends

No

9

EOS2 updates the database

Go to

10

12

IIC creates Approval

Letter and emails letter to EOS2

13

EOS2 prints letter for Director signature and updates PAUCP database

14

Director signs letter and returns to EOS2 for mailing and filing

15

EOS2 mails letter and files appeal, letter and support documentation in appropriate location

16

Process ends

BEO – Bureau of Equal Opportunity

EOS – Equal Opportunity Specialist

IIC – Investigator In Charge

OCC – Office of Chief Counsel

PAUCP – Pennsylvania Unified Certification Program

Page 1 of 1

10. DBE Methodology and Goal Development

December 18, 2012

1

DBE M&GD team receives DBE regulations

2

DBE M&GD team discusses potential impacts to DBE

Methodology and

Goal

3

Change in methodology

Yes

4

DBE M&GD has additional discussion and develops revised timeline

No

5

DBE M&GD team implements timeline and proposed methodology

6

BEO schedules public consultation meetings with DBE

Supportive Services

Go to

5

7

MDT identifies data that are necessary to calculate DBE goal

8

MDT sends data needs to BEO for collection

9

BEO requests data from internal

PennDOT staff and

Department of L&I

10

Internal PennDOT staff and L&I respond to BEO data request via email

11

BEO forwards data to MDT

12

MDT cleans-up data set

13

MDT calculates preliminary DBE methodology and goal

14

DBE M&GD, DBE

Supportive Services and district staff conduct public consultation meetings

15

BEO publishes proposed goal for

DBE Methodology and Goal

16

DBE M&GD team reviews feedback received during public consultation meetings

17

Change in methodology

No

Yes

18

MDT and BEO revise methodology

A

Go to

19

BEO – Bureau of Equal Opportunity

DBE – Disadvantaged Business Enterprise

L&I – Labor and Industry

M&GD – Methodology and Goal Development

MDT – Methodology Development Team

OCC – Office of Chief Counsel

Page 1 of 2

10. DBE Methodology and Goal Development

December 18, 2012

A

25

Public comment period ends and BEO disseminates comments to DBE

M&GD team

19

MDT identifies additional data necessary to calculate DBE goal

26

DBE M&GD team and market-area representatives conduct meeting to review written public comments

30

Change in methodology

Yes

35

MET revises methodology

No

31

MDT calculates final

DBE goal

32

MDT sends final methodology and goal to BEO

20

MDT sends additional data needs to BEO for collection

21

BEO requests additional data from internal PennDOT staff and

Department of L&I

27

BEO sends responses to written public comments to

OCC

34

Process ends

22

Internal PennDOT staff and L&I respond to BEO data request via email

23

BEO forwards data to MDT

28

OCC reviews, approves and returns responses to

BEO

29

BEO sends responses to commenters

36

MDT identifies remaining data necessary to calculate DBE goal

37

MDT sends remaining data needs to BEO for collection

38

BEO requests remaining data from internal PennDOT staff and

Department of L&I

33

BEO publishes goal and sends to Federal

Operating

Administration

39

Internal PennDOT staff and L&I respond to BEO data request via email

24

MDT cleans-up data set

40

BEO forwards remaining data to

MDT

41

MDT cleans-up remaining data set

BEO – Bureau of Equal Opportunity

DBE – Disadvantaged Business Enterprise

L&I – Labor and Industry

M&GD – Methodology and Goal Development

MDT – Methodology Development Team

OCC – Office of Chief Counsel

Go to

31

Page 2 of 2

10. DBE Methodology & Goal Development

Process Explanation

Process Owner: Dustin Hobaugh

Step

1

2

5 & 33

6 & 14

8

9, 21

& 38

15

16

18

27

Comments

DBE Methodology and Goal Development Team consists of

Methodology Development Team located at Indiana University of Pennsylvania (IUP), Office of Chief Counsel (OCC) and

Bureau of Equal Opportunity (BEO) staff that annually reviews

49 CFR Part 26 and, if necessary, initiates revisions to the goal and methodology.

Revisions may be needed due to potential rule changes, regulation changes, written statements, questions and answers at meetings, proposals, etc.

The time line plan is established and methodology determined at this meeting.

Federal Highway Administration (FHWA) and Federal Transit

Administration (FTA) are completed in the same year; Federal

Aviation Administration (FAA) is completed in a different year.

Supportive Services Center is made up of Cheyney University staff. They contact DBE firms and groups to assist them in understanding the documentation and may represent them in future meetings, if needed.

BEO contacts appropriate District Offices to schedule the meetings.

The Methodology Development Team may contact directly for additional information if previous contacts have been successfully performed.

Who is contacted within PennDOT is dependent upon what data is needed. Any data needed from Labor & Industry (L&I) is provided on CD Rom and is hand delivered to BEO.

Publication marks the beginning of the 45 day public comment period.

After the 45 day public comment period is over the Methodology

Development Team collects updated data for creating the final document.

Revisions are created in consultation with BEO staff.

Market area representatives, besides the DBE Team (see Step

1 above), are Bureau of Design, Planning and Research, Office

Services, and Construction staff.

Public comments are reviewed to determine if change to methodology is needed and to discuss the content for the formal written responses to public written comments received. The final written responses are created by BEO, reviewed by OCC, and distributed to the commenter.

Requirements

Page 1 of 1

Attachment G: PennDOT Organizational Chart

Attachment H: PennDOT Bureau of Equal Opportunity

Organizational Chart

-

CONTRACT COMPLIANCE DIVISION –

Chief

William Kerney

(717) 783-1038 [email protected]

Equal Oppor Spec 2

OJT/ Supportive Services

Program Administrator

Harvey Bear

(717) 783-0311 [email protected] pa.gov

Clerk Typist 3

Timothy Durden

(717) 783-0322 [email protected]

Equal Oppor Spec 2

Compliance Specialist

Blaine Claiborne

(717) 783-0301 [email protected]

Equal Oppor Spec 2

Compliance Specialist

Desmonde Hoppie

(717) 783- 0338 [email protected]

Equal Oppor Spec 2

EO/EEO Field Agent

Alva Lichius

(412) 429-3820 [email protected]

Equal Oppor Spec 2

EO/EEO Field Agent

Latunde Kolawole

(610) 205-6791 [email protected]

Revised 9/25/15

Bureau of Equal Opportunity

Pennsylvania Department of Transportation

400 North Street

5 th

Floor, Keystone Building

Harrisburg, PA 17120

Phone: (717) 787-5891 or 1(800) 468-4201

Fax: (717) 772-4026

Director

Jocelyn I. Harper

(717) 787-5891 [email protected]

Administrative Assistant

Tiffany Barksdale

(717) 214-4619 [email protected]

Equal Oppor Assistant

Matthew Auterson

(717) 346-4698 [email protected]

Equal Oppor Spec 1

DBE/SBE Certification

Specialist

Keyla Evans

(717) 783-0322 [email protected]

Equal Oppor Spec 2

DBE/SBE Program

Administrator

Dwan Lee

(717) 395-9199 [email protected]

DBE/TITLE VI DIVISION –

Chief

Dustin Hobaugh

(717) 783-1081 [email protected]

Equal Oppor Spec 2

DBE/SBE Certification

Specialist

Trista Maurer

(717) 783-1353 [email protected]

Equal Oppor Spec 2

Title VI Specialist

Matthew Kelly

(717) 783-1370 [email protected]

Equal Oppor Spec 2

DBE Field Agent

Faith Colden

(717) 783-1165 [email protected]

Attachment I: Aviation Checklist

11-14

DBE Project Compliance Review Checklist for Aviation Grants

Airport Name: Airport Name

Grant Identifier: Unique Grant Identifier/Number

Airport DBE POC: Airport DBE POC Name

DBE POC Telephone #: 555-555-5555 DBE POC Email: [email protected]

BOA Project Manager: BOA Project Manager Name

Pre-Award Project Checklist

Review completed form EO-380, DBE Participation for Federal Projects, to ensure that all DBE information is complete and accurate (or a bidder’s good faith effort has been documented, if applicable) before approving award

Ensure good faith effort documentation includes quotes for DBEs and non-DBEs in instances where a non-DBE firm was selected based on the prime’s determination that the DBE firm’s quote was too high or excessive, if applicable.

Ensure that NAICS codes were included as part of the DBE firm’s submission and those codes accurately reflect the scope of work.

Project Site Visit Checklist

Review dotGrants to verify information on EO-380 has been entered into the system

Review fully executed DBE subcontracts to ensure firms listed and scope of work is consistent with what is listed on EO-380 and in dotGrants

Review completed/filed form EO-354, DBE Commercially Useful Function Report, to verify that the DBE’s are performing a commercially useful function

Verify that business names on equipment and vehicles are not covered with paint or magnetic signs (visual inspection of vehicles on site)

Verify who employs the workers on site (visually inspect badges/id’s; establish reporting relationships of workers on site/review certified payrolls)

Page 1 of 2

Review supplier invoices and cancelled checks to verify what firm orders and pays for the necessary supplies being used by the DBE subcontractor

Review DBE invoices and corresponding cancelled checks (or other proof of payment such as bank statements, electronic funds transfer, etc.) to verify prompt payment (within 30 days per

49 CFR 26.29)

Review any correspondence related to terminations, substitutions or deletions of DBE firms

Ensure documentation is included which verifies DBE firm received sufficient notice and time to respond (at least five (5) days’ notice per 49 CFR Part 26.53)

Ensure approval from BOA Project Manager was received prior to making the change and is on file

If terminations, substitutions, or deletions were approved, ensure documentation of prime contractor’s good faith effort to find a replacement firm is included and approval from BOA Project Manager is on file.

Certification:

I, Name of Person Completing Checklist hereby certify that the contracting records for federally funded

Bureau of Aviation Grant Unique Grant Identifier/Number have been reviewed and the work site has been visited/monitored.

Signature:

Date:

Page 2 of 2

Attachment J: PennDOT Bureau of Public Transportation

Standard Terms and Conditions for Grants

June 2014

1.

STANDARD TERMS AND CONDITIONS

FOR PUBLIC TRANSPORTATION GRANTS USING FEDERAL FUNDS

Audit provisions.

a.

Audit requirements.

The Grantee must comply with all federal and state audit requirements including: the

Single Audit Act, as amended, 31 U. S. C. 7501 et. seq.; Office of Management and Budget

(OMB) Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, as amended; and any other applicable law or regulation and any amendment to such other applicable law or regulation which may be enacted or promulgated by the federal government.

If the Grantee is a local government or non-profit organization and expends total federal awards of $500,000 or more during its fiscal year, received either directly from the federal government or indirectly from a recipient of federal funds, the Grantee is required to have an audit made in accordance with the provisions of OMB Circular A-133.

If the Grantee expends total federal awards of less than $500,000 during its fiscal year, it is exempt from these audit requirements, but is required to maintain auditable records of federal awards and any state funds which supplement such awards, and to provide access to such records by federal and state agencies or their designees.

b.

Submission of audit information to the Commonwealth.

The Grantee must submit copies of the audit report package to the Commonwealth, which shall include:

1).

2).

Data Collection Form.

Financial statements and schedule of expenditures of federal awards.

3). Auditor's reports on the financial statements and schedule of expenditures of federal awards, internal control and compliance as well as a schedule of findings and questioned costs.

4).

5).

Summary schedule of prior audit findings.

Corrective action plan.

6). Management letter comments.

The number of copies to be submitted shall equal one for the Bureau of Audits

(archival copy) plus one for each Commonwealth agency which provided federal passthrough awards to the entity, as reflected in the entity's Schedule of Expenditures of

Federal Awards. The audit report package should be submitted to the:

Standard Terms and Conditions for Public Transportation Grants Using Federal Funds

Bureau of Audits

Special Audit Services Division

Forum Place – 8 th

Floor

555 Walnut Street

Harrisburg, PA 17101

Phone: (717) 783-9120

Fax: (717) 703-3943

In instances where a federal program-specific audit guide is available, the audit report package for a program-specific audit may be different and should be prepared in accordance with the audit guide and OMB Circular A-133.

General Audit Provisions.

c.

The Grantee is responsible for obtaining the necessary audit and securing the services of a certified public accountant or other independent governmental auditor. Federal regulations preclude public accountants licensed in the Commonwealth of Pennsylvania from performing audits of federal awards.

The Commonwealth reserves the right for federal and state agencies or their authorized representatives to perform additional audits of a financial or performance nature, if deemed necessary by Commonwealth or federal agencies. Any such additional audit work will rely on work already performed by the Grantee's auditor, and the costs for any additional work performed by the federal or state agencies will be borne by those agencies at no additional expense to the

Grantee.

Audit working papers and audit reports must be retained by the Grantee's auditor for a minimum of three years from the date of issuance of the audit report, unless the Grantee’s auditor is notified in writing by the Commonwealth or the cognizant or oversight federal agency to extend the retention period. Audit working papers will be made available upon request to authorized representatives of the Commonwealth, the cognizant or oversight agency, the federal funding agency, or the General Accounting Office.

2.

Records. In addition, financial records, supporting documentation, and all other records pertinent to a grant must be made readily available to authorized representatives of the U. S. Department of Transportation and the Comptroller General of the United States during the retention period. The retention period starts upon notification by the Department that the federal project has been closed out on a statewide basis regardless of the close of the project period. If any litigation, claim or audit is started before the expiration of the three-year period, the records must be retained beyond the three-year period until all litigation, claims, or audit finding involving the records have been resolved. This paragraph supplements Paragraph 2.

Records in STANDARD TERMS AND CONDITIONS FOR

PUBLIC TRANSPORTATION GRANTS.

3.

Local match requirement. The Grantee agrees that, if it does not provide local matching funds

(if any) required under this Agreement, the difference between the permissible total state and federal contribution and the actual amount paid to the Grantee by the Department shall, in accordance with the terms of Paragraph 3 of

STANDARD TERMS AND CONDITIONS FOR PUBLIC

TRANSPORTATION GRANTS, be refunded to the Department or offset against future payments.

4.

color, national origin or sex in the performance of this contract. The Grantee shall carry out applicable requirements of 49 C.F.R. Part 26 in the award and administration of United States Department of

Standard Terms and Conditions for Public Transportation Grants Using Federal Funds

Transportation-assisted contracts. Failure by the Grantee 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

Pennsylvania Department of Transportation deems appropriate. If the Grantee is providing services or supplies for the Pennsylvania Department of Transportation pursuant to this contract, it must include this assurance in each subcontract that it signs with a subcontractor. If the Grantee is a grantee or other recipient of funds from the Department of Transportation, it must include this assurance in each contract into which it enters to carry out the project or activities being funded by this contract.

5.

Appropriations. The Grantee understands and acknowledges that the Agreement is conditioned upon the availability and receipt by the Department of Federal and State funds appropriated for the purposes of the Agreement.

6.

the United States to any share or part of this Project or to any benefit arising out of the Agreement.

7.

“Uniform Administrative Requirement for Grants and Cooperative Agreements to State and Local

Governments,” or 49 C.F.R. Part 19, “Uniform Administrative Requirement for Grants and Cooperative

Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations”, as applicable, which are incorporated by reference into the Agreement.

8.

Surface Transportation Assistance Act of 1982, as amended.

9.

Nondiscrimination and Equal Employment Opportunity Clauses dated January, 1976, and the Federal

Certification of Restrictions on Lobbying dated 8/6/90.

10.

Disadvantaged Business Enterprises. If this grant includes federal transit funds, to the

extent authorized by applicable Federal law and consistent with the current Disadvantaged Business

Enterprise methodology and goal developed by the Department for subrecipients of FTA funding, the

Grantee will facilitate participation by for-profit small business concerns that are at least 51% owned and controlled by one or more socially and economically disadvantaged individuals, also referred to as

“Disadvantaged Business Enterprises” (DBEs), in the Project. The Grantee shall comply with the following requirements:

(a) Section 1101(b) of MAP-21, 23 U.S.C. § 101 note, relating to DBEs;

(b) U.S. DOT regulations, “Participation by Disadvantaged Business Enterprises in Department of

Transportation Financial Assistance Programs,” 49 C.F.R. part 26; and

(c) Federal transit law, specifically 49 U.S.C. § 5332, the FTA’s nondiscrimination statute.

Standard Terms and Conditions for Public Transportation Grants Using Federal Funds

Attachment K: Good Faith Efforts for Service Agreements

Rev 5/14

Pennsylvania Department of Transportation

Disadvantaged Business Enterprise Program

Good Faith Efforts Approval Process

THE REGULATORY MANDATE - GOOD FAITH EFFORTS DOCUMENTATION

In accordance with the federal Disadvantaged Business Enterprise (DBE) regulation set forth in 49 Code of Federal Regulations Part 26 (Part 26), the

Pennsylvania Department of Transportation (Department) is required to establish procedures addressing DBE good faith efforts in those instances where DBE contract goals have been imposed on federally-assisted contracts. Section

26.53 of Part 26 requires that contracts carrying a DBE goal requirement be awarded to a bidder who makes a good faith effort to meet the DBE contract goal. Section 26.53(a) states that a good faith effort is established either by documentation that a vendor has obtained sufficient DBE participation to meet the prescribed contract goal or by documentation that the vendor made an adequate good faith effort to meet the DBE goal even though it did not succeed.

Each case turns on its own facts. However, both Section 26.53 and Appendix A of Part 26 outline factors to be used in a good faith effort analysis. In addition, institutional guidance issued by the United States Department of Transportation’s

(USDOT) Office of General Counsel in the form of a question and answer (q and a) also sets forth guiding principles to be used in good faith efforts reviews.

Since each of the three sources contain guidelines for reviewing good faith efforts submissions, they are attached to this document and viewed by the

Department as part and parcel of the Department’s good faith effort review process document. Should changes originate from USDOT in this area; this document will be amended accordingly.

The vendor must include its DBE Participation with the bid. For the purposes of

this document, the term ‘bid’ refers to the response to a request for proposal,

request for quotation, or invitation for bid. The submission must include the business name of the DBE firm with address, contact person, and phone number, a detailed narrative description of the service to be provided by the

DBE, and the percent of the proposal’s cost to be contractually allocated to the

DBE as specified in the DBE Requirements Appendix. Failure to meet the DBE goal or submit adequate good faith effort documentation will result in rejection of the bid.

The pre-award good faith effort review process is triggered when the DBE goal established by the Department is not met and the vendor attempts to

document a Good Faith Effort. All Good Faith Effort documentation must be submitted with the bid.

The post-award good faith effort review process is triggered when the vendor requests a good faith effort review for revisions to a DBE commitment. A twotiered review process is used to address good faith effort issues that cannot be resolved by Department officials tasked with reviewing documentation on in the proposal/bid.

GOOD FAITH EFFORTS PROCEDURES TIER I:

THE INTERDISCIPLINARY REVIEW TEAM RECOMMENDATION AND RULING OF THE

DIRECTOR OF THE BUREAU OF EQUAL OPPORTUNITY

When the vendor requests review of its DBE good faith effort submission, the

Department’s Interdisciplinary Review Team (IRT), comprised of a representative from the Bureau of Equal Opportunity (BEO) and two (2) management representatives from the impacted business area(s), will review the submitted documentation. The representative from BEO will act as chairperson.

Where necessary, personnel from the impacted business area and other individuals familiar with the Department’s procurement process, project specifications, and the DBE Requirements, may be consulted and may be asked to assist in the review process. The IRT will evaluate a vendor’s good faith effort in accordance with the regulatory guidelines set forth in Section 26.53 of Part 26, as well as Appendix A of Part 26, the DBE Requirements Appendix, and the official Q and A referred to above.

Because good faith effort issues are time-sensitive, the IRT will be required to complete its review of the submitted documentation within seven (7) business days of the vendor’s good faith effort submission. Upon completion, the IRT will forward its findings and recommendations to BEO’s s Director for approval or disapproval. If approved by the Director, documentation indicating that the

“good faith effort” has been approved will be forwarded to the impacted

Department business area for notification to the vendor.

In the event that the Director disapproves the “good faith effort,” the second tier of the Department’s good faith effort review process will be initiated.

Section 26.53 requires that the Department provide the vendor with an opportunity for administrative reconsideration. Section 26.53 (d) (1) states that the Department’s decision on reconsideration must be made by an official who did not take part in the original determination that the vendor failed to meet the goal or failed to make adequate good faith efforts to do so. Consistent with this provision, neither BEO’s Director nor any member of the IRT will participate in the second tier determination, to be known as the Good Faith Effort Committee.

2

GOOD FAITH EFFORTS PROCEDURES TIER II:

THE GOOD FAITH EFFORT REVIEW COMMITTEE

Purpose: In the event that the IRT or the Director disapproves the good faith effort submitted by a vendor, the vendor will be afforded an opportunity for administrative reconsideration before the Department’s Good Faith Effort

Review Committee (Committee). The Committee will meet on an as-needed basis. As noted above, this body is independent of both the IRT and BEO’s s

Director. The Committee will review the vendor’s DBE documentation and good faith effort to meet the DBE contract goal to determine whether to approve or disapprove the submission.

Composition: The Committee will be comprised of three (3) Deputy Secretaries or their designee(s). The Deputy Secretary (or designee) for the impacted

Department business area will serve as Chairperson. Alternates will be available should a need arise. Examples of alternates include, but are not limited to,

Directors, District Executives, or other high ranking Department officials. An attorney with the Department’s Office of Chief Counsel will serve as legal adviser to the Committee, but will not participate as a decision maker. A quorum will consist of three (3) members and may include both standing committee members and alternates.

The Committee meetings are not subject to the Sunshine Law and are not open to the public. Attendance is limited to the impacted vendor, the Committee members, and the legal adviser. The IRT chairperson also attends to provide supporting information as required.

Good Faith Effort Review Documentation Package and Scheduling of the

Committee Meeting: The Chair of the IRT will prepare the background information that generated the appeal and will attend the hearing to clarify material contained in the source documentation provided to Committee members. A complete good faith effort review package will be provided to the

Committee two (2) business days’ prior to the meeting. The information will include the IRT information and findings. However, this individual will not be permitted to participate in any deliberations.

Regulatory Guidance Documents: Each Committee member will evaluate the good faith effort submission in accordance with DBE Requirements Appendix and the applicable regulatory guidelines for DBE good faith effort submissions.

These include Appendix A of Part 26 as well as Section 26.53 of Part 26 and the institutional guidance issued by USDOT’s Office of General Counsel (in the form of official questions and answers).

3

Vendor Notification Prior to the Committee Meeting: Whenever a Committee meeting is intended to be convened, BEO will be responsible for scheduling the meeting and notifying the impacted vendor in writing of the scheduled date for the meeting. The vendor will be advised that the purpose of the meeting is to clarify documentation previously submitted to the Department within the time constraints set forth in the bid documents and DBE Requirements Appendix. The vendor will not be authorized to submit additional good faith effort documentation consistent with Part 26 regulatory guidelines. The vendor will be expected to address questions posed by Committee members and will have the opportunity to clarify points resulting from questions asked or from review of its good faith effort submissions. The vendor will then be excused and the

Committee will deliberate in an executive session. The legal adviser will participate in the executive session to address regulatory questions.

Vendor Notification Subsequent to the Committee Meeting: At the conclusion of the executive session and deliberation, the Committee will vote to approve or disapprove the good faith effort submission. The decision will result from a simple majority vote. The majority must reach a consensus as to the reason for accepting or rejecting the vendor’s good faith effort. The Committee’s decision will be outlined in a letter sent to the vendor by first-class mail. The decision letter will be prepared by the legal adviser and will be signed by the Good Faith

Effort Committee’s Chairperson. Consistent with Section 26.53, the Committee’s decision is not administratively appealable to USDOT. All decisions of the

Committee are final and binding.

Good Faith Effort after Contract Execution: Because of the time-sensitive nature of a DBE good faith effort review after contract execution, a determination may be made by the Chair of the IRT if necessary. Personnel from the impacted business area and other individuals familiar with the Department’s procurement process, project specifications, and its DBE Requirements, may be consulted and may be asked to assist in the review process. The IRT Chair will evaluate a vendor’s good faith effort to replace the dollar amount of a DBE commitment that creates a shortfall of the DBE goal in accordance with the regulatory guidelines set forth in Section 26.53 of Part 26 as well as DBE Requirements,

Appendix A and the official q and a referred to above.

4

Attachment L: Good Faith Efforts

Rev 3/11

Pennsylvania Department of Transportation

Disadvantaged Business Enterprise Program

Good Faith Efforts Approval Process

THE REGULATORY MANDATE - GOOD FAITH EFFORTS DOCUMENTATION

In accordance with the federal DBE regulation set forth in 49 Code of Federal

Regulations Part 26 (Part 26), the Pennsylvania Department of Transportation

(Department) is required to establish procedures addressing good faith efforts in those instances where Disadvantaged Business Enterprise (DBE) contract goals have been imposed. Section 26.53 of Part 26 requires that contracts carrying a

DBE goal requirement be awarded to a bidder who makes a good faith effort to meet the contract goal. Section 26.53(a) states that a good faith effort is established either by documentation that a bidder has obtained sufficient DBE participation to meet the prescribed contract goal or by documentation that the bidder made an adequate good faith effort to meet the goal even though it did not succeed.

Each case turns on its own facts. However, both Section 26.53 and Appendix A of Part 26 outline factors to be used in a good faith effort analysis. In addition, institutional guidance issued by the United States Department of Transportation’s

(USDOT) Office of General Counsel in the form of questions and answers (Q and

A) also sets forth guiding principles to be used in good faith efforts reviews.

Since each of the three sources contain guidelines for reviewing good faith efforts submissions, they are attached to this document and viewed by the

Department as part and parcel of the Department’s good faith effort review process document. Should changes originate from USDOT in this area; this document will be amended accordingly.

As the result of internal changes in the Department’s procurement processes and the implementation of electronic bidding, DBE commitment and good faith effort documentation is contained on and within the designated Minority

Participation and Commitment Screen. This information must be submitted by the bidder by 3:00 p.m. prevailing local time within seven (7) calendar days’ of the bid opening date as specified in Publication 408 – DSP7, and the information is reviewed by appropriate Department personnel.

The pre-award good faith effort review process is triggered when the prime contractor requests a good faith effort review and provides good faith effort documentation within the 7 calendar day deadline identified above. The construction good faith effort review process is triggered when the prime contractor requests a good faith effort review for revisions to a DBE

commitment. Where pre-award good faith effort occurs, a two-tiered good faith effort review process is used to address good faith effort issues that cannot be resolved by Department officials tasked with reviewing documentation on the Minority Participation and Commitment Screen.

GOOD FAITH EFFORTS PROCEDURES TIER I:

THE INTERDISCIPLINARY REVIEW TEAM RECOMMENDATION AND RULING OF THE

DIRECTOR OF THE BUREAU OF EQUAL OPPORTUNITY

Where there is a request for review of a contractor’s good faith effort submission, the Department’s Interdisciplinary Review Team (IRT), comprised of personnel from the Department’s Bureaus of Design (BOD), Construction and Materials

(BOCM), and Design (BOD), will review the submitted documentation. The representative from the Bureau of Design will act as chairperson. When necessary, personnel from the impacted engineering district and other individuals familiar with the Department’s bidding process as well as the project specifications and its DBE Special Provisions, may be consulted and may be asked to assist in the review process. The IRT will evaluate a bidder’s good faith effort in accordance with the regulatory guidelines set forth in Section 26.53 of

Part 26 as well as Publication 408-DSP7, Appendix A and the official Q and A referred to above. When DBE percentages are calculated, the Department will not round.

Because good faith effort issues are time-sensitive, the IRT will be required to complete its review of the submitted documentation within seven (7) business days of the contractor’s good faith effort submission. Upon completion, the IRT will forward its findings and recommendations to the Bureau of Equal

Opportunity (BEO) Director for approval or disapproval. If approved by the

Director, documentation indicating that the “good faith effort” has been approved will be forwarded to the BOD, Contract Awards.

In the event that the Director disapproves the “good faith effort,” the second tier of the Department’s good faith effort review process will be initiated.

Section 26.53 requires that the Department provide the bidder with an opportunity for administrative reconsideration. Section 26.53 (d) (1) states that the Department’s decision on reconsideration must be made by an official who did not take part in the original determination that the bidder failed to meet the goal or failed to make adequate good faith efforts to do so. Consistent with this provision, neither the BEO Director nor any member of the IRT will participate in the second tier determination, to be known as the Good Faith Effort Committee.

2

GOOD FAITH EFFORTS PROCEDURES TIER II:

THE GOOD FAITH EFFORT REVIEW COMMITTEE

Purpose: In the event that the IRT and Director disapprove the good faith effort submitted by a bidder, the bidder will be afforded an opportunity for administrative reconsideration before the Department’s Good Faith Effort

Review Committee (Committee). The Committee will meet on an as-needed basis. As noted above, this body is independent of both the IRT and the BEO

Director. The Committee will review the low bidder’s DBE documentation and good faith effort to meet the DBE contract goal to determine whether to approve or disapprove the submission.

Composition: The Committee will be comprised of three members. The

Department’s Deputy Secretary for Highway Administration will serve as

Chairperson. The Department’s Deputy Secretary for Administration and the

Director of the Bureau of Construction and Materials will serve as the remaining members. Alternates will be available should a need arise. For the Deputy

Secretaries, any other Deputy may serve as an alternate. Alternates for the

Director of the Bureau of Construction and Materials are the Director, Bureau of

Maintenance and Operations; Director, Bureau of Highway Safety and Traffic

Engineering; and the Director of the Bureau of Design or a District Executive originating from any engineering district other than the district where the project at issue is being performed. An attorney with the Department’s Office of Chief

Counsel will serve as legal adviser to the Committee but will not participate as a decision maker. A quorum will consist of three (3) members and may include both standing committee members and alternates.

The Committee meetings are not subject to the Sunshine Law and are not open to the public. Attendance is limited to the impacted contractor, the Committee members, and the legal adviser. The IRT chairperson also attends to provide supporting information as required.

Good Faith Effort Review Documentation Package and Scheduling of the

Committee Meeting: The Chair of the IRT will prepare the background information that generated the appeal and will attend the hearing to clarify material contained in the source documentation provided to Committee members. A complete good faith effort review package will be provided to the

Committee two (2) business days’ prior to the meeting. The information will include the IRT information and findings. However, this individual will not be permitted to participate in any deliberations.

Regulatory Guidance Documents: Each Committee member will evaluate the good faith effort submission in accordance with Publication 408-DSP7 and the applicable regulatory guidelines for DBE good faith effort submissions. These

3

include Appendix A of Part 26 as well as Section 26.53 of Part 26 and the institutional guidance issued by USDOT’s Office of General Counsel (in the form of official questions and answers).

Contractor Notification Prior to the Committee Meeting: Whenever a Committee meeting is intended to be convened, BEO will be responsible for scheduling the meeting and notifying the impacted contractor in writing of the scheduled date for the meeting. The contractor will be advised that the purpose of the meeting is to clarify documentation previously submitted to the Department within the time constraints set forth in the bid documents and DBE Special Provisions. The contractor will not be authorized to submit additional good faith effort documentation consistent with Part 26 regulatory guidelines. The contractor will be expected to address questions posed by Committee members and will have the opportunity to clarify points resulting from questions asked or from review of its good faith effort submissions. The contractor will then be excused and the

Committee will deliberate in an executive session. The legal adviser will participate in the executive session to address regulatory questions.

Contractor Notification Subsequent to the Committee Meeting: At the conclusion of the executive session and deliberation, the Committee will vote to approve or disapprove the good faith effort submission. The decision will result from a simple majority vote. The majority must reach a consensus as to the reason for accepting or rejecting the contractor’s good faith effort. The

Committee’s decision will be outlined in a letter sent to the contractor by firstclass mail. The decision letter will be prepared by the legal adviser and will be signed by the Good Faith Effort Committee’s Chairperson. Consistent with

Section 26.53, the Committee’s decision is not administratively appealable to

USDOT. All decisions of the Committee are final and binding.

Construction Good Faith Effort: Because of the time-sensitive nature of a good faith effort review during the construction phase of a given project, the good faith documentation is reviewed and a determination is made by the Chair of the IRT. When necessary, personnel from the impacted engineering district and other individuals familiar with the Department’s bidding process as well as the project specifications and its DBE Special Provisions, may be consulted and may be asked to assist in the review process. The IRT Chair will evaluate a bidder’s good faith effort to replace the dollar amount of a DBE commitment that creates a shortfall of the DBE goal in accordance with the regulatory guidelines set forth in Section 26.53 of Part 26 as well as Publication 408-DSP7, Appendix A and the official Q and A referred to above.

4

Attachment M: Good Faith Efforts for Aviation

Rev 1/14

Pennsylvania Department of Transportation

Disadvantaged Business Enterprise Program

Good Faith Efforts Approval Process – Bureau of Aviation

THE REGULATORY MANDATE - GOOD FAITH EFFORTS DOCUMENTATION

In accordance with the federal DBE regulation set forth in 49 Code of Federal

Regulations Part 26 (Part 26), the Pennsylvania Department of Transportation

(Department) is required to establish procedures addressing good faith efforts in those instances where Disadvantaged Business Enterprise (DBE) contract goals have been imposed. Section 26.53 (a) of Part 26 requires that contracts carrying a DBE goal requirement be awarded to a bidder who fully documents that it meets the DBE contract goal or documents a good faith effort (GFE) to meet the goal even though it did not succeed.

Each case turns on its own facts. However, both Section 26.53 and Appendix A of Part 26 outline factors to be used in a GFE analysis. In addition, institutional guidance issued by the United States Department of Transportation’s (USDOT)

Office of General Counsel in the form of questions and answers (Q and A) also sets forth guiding principles to be used in GFE reviews. Since each of the three sources contain guidelines for reviewing GFE submissions, they are attached to this document and viewed by the Department as part and parcel of the

Department’s GFE review process document. Should changes originate from

USDOT in this area; this document will be amended accordingly.

DBE commitment and GFE documentation is contained within the bid documentation referenced within the respective bid advertisement. This information must be submitted by the bidder by the advertised bid closing date, and the information is reviewed by appropriate Department personnel.

The pre-award GFE review process is triggered when the prime contractor requests a GFE review and provides GFE documentation within the deadline identified above. The GFE review process is triggered when the prime contractor requests a GFE review for revisions to a DBE commitment. Where preaward GFE efforts occur, a two-tiered GFE review process is used to address regulatory GFE issues that cannot be resolved by Bureau of Aviation officials tasked with reviewing documentation.

GOOD FAITH EFFORTS PROCEDURES TIER I:

THE INTERDISCIPLINARY REVIEW TEAM RECOMMENDATION AND RULING OF THE

DIRECTOR OF THE BUREAU OF EQUAL OPPORTUNITY

Where there is a request for review of a contractor’s GFE submission, the

Department’s Interdisciplinary Review Team (IRT), comprised of personnel from the Department’s Bureau of Aviation (BOA) and Bureau of Equal Opportunity will review the submitted documentation. The Chief of the Engineering and

Planning Division of the Bureau of Aviation will act as chairperson. When necessary, personnel from the impacted engineering region and other individuals familiar with the project specifications and its DBE Special Provisions may be consulted and may be asked to assist in the review process. The IRT will evaluate a bidder’s good faith effort in accordance with the regulatory guidelines set forth in Section 26.53 of Part 26, Appendix A and the official Q and

A referred to above. When DBE percentages are calculated, the Department will not round.

Because GFE issues are time-sensitive, the IRT will be required to complete its review of the submitted documentation within seven (7) business days of the contractor’s GFE submission. Upon completion, the IRT will forward its findings and recommendations to the Bureau of Equal Opportunity (BEO) Director for approval or disapproval. If approved by the Director, documentation indicating that the GFE has been approved will be forwarded to the BOA.

In the event that the Director disapproves the GFE, the second tier of the

Department’s GFE review process is triggered. Section 26.53 requires that the

Department provide the bidder with an opportunity for administrative reconsideration. Section 26.53 (d) (1) states that the Department’s decision on reconsideration must be made by an official who did not take part in the original determination that the bidder failed to meet the goal or failed to make adequate GFE to do so. Consistent with this provision, neither the BEO Director nor any member of the IRT will participate in the second tier determination, to be known as the GFE Committee.

GOOD FAITH EFFORTS PROCEDURES TIER II:

THE GOOD FAITH EFFORT REVIEW COMMITTEE

Purpose: In the event that the IRT and Director disapprove the GFE submitted by a bidder, the bidder will be afforded an opportunity for administrative reconsideration before the Department’s GFE Review Committee (Committee).

The Committee will meet on an as-needed basis. As noted above, this body is independent of both the IRT and the BEO Director. The Committee will review the low bidder’s DBE documentation and GFE to meet the DBE contract goal to determine whether to approve or disapprove the submission.

2

Composition: The Committee will be comprised of three members. The

Department’s Deputy Secretary for Multi-Modal Transportation will serve as

Chairperson. The Department’s Director of Aviation and the Director of the

Bureau of Rail Freight will serve as the remaining members. Alternates will be available should a need arise. For the Deputy Secretary, any other Deputy may serve as an alternate. Alternates for the Director of Aviation and the Director of the Bureau of Rail Freight are the Director of the Bureau of Public Transit and the

Director of Ports. An attorney with the Department’s Office of Chief Counsel will serve as legal adviser to the Committee but will not participate as a decision maker. A quorum will consist of three (3) members and may include both standing committee members and alternates.

The Committee meetings are not subject to the Sunshine Law and are not open to the public. Attendance is limited to the impacted contractor, the Committee members, and the legal adviser. The IRT chairperson also attends to provide supporting information as required.

Good Faith Effort Review Documentation Package and Scheduling of the

Committee Meeting: The Chair of the IRT will prepare the background information that generated the appeal and will attend the hearing to clarify material contained in the source documentation provided to Committee members. A GFE review package will be provided to the Committee two (2) business days’ prior to the meeting. The information will include the IRT information and findings. However, this individual will not be permitted to participate in any deliberations.

Regulatory Guidance Documents: Each Committee member will evaluate the

GFE submission in accordance with the applicable regulatory guidelines for DBE

GFE. These include Appendix A of Part 26 as well as Section 26.53 of Part 26 and the institutional guidance issued by USDOT’s Office of General Counsel (in the form of official questions and answers).

Contractor Notification Prior to the Committee Meeting: Whenever a Committee meeting is intended to be convened, BEO will be responsible for scheduling the meeting and notifying the impacted contractor in writing of the scheduled date for the meeting. The contractor will be advised that the purpose of the meeting is to clarify documentation previously submitted to the Department within the time constraints set forth in the bid documents and DBE Special Provisions. The contractor will not be authorized to submit additional GFE documentation consistent with Part 26 regulatory guidelines. The contractor will be expected to address questions posed by Committee members and will have the opportunity to clarify points resulting from questions asked or from review of its GFE submissions. The contractor will then be excused and the Committee will

3

deliberate in an executive session. The legal adviser will participate in the executive session to address regulatory questions.

Contractor Notification Subsequent to the Committee Meeting: At the conclusion of the executive session and deliberation, the Committee will vote to approve or disapprove the GFE submission. The decision will result from a simple majority vote. The majority must reach a consensus as to the reason for accepting or rejecting the contractor’s GFE. The Committee’s decision will be outlined in a letter sent to the contractor by first-class mail. The decision letter will be prepared by the legal adviser and will be signed by the Committee’s

Chairperson. Consistent with Section 26.53, the Committee’s decision is not administratively appealable to USDOT. All decisions of the Committee are final and binding.

Construction Good Faith Effort: Because of the time-sensitive nature of a GFE review during the construction phase of a given project, the GFE documentation is reviewed and a determination is made by the Chair of the IRT.

When necessary, personnel from the impacted engineering region and other individuals familiar with the project specifications and its DBE Special Provisions may be consulted and may be asked to assist in the review process. The IRT

Chair will evaluate a bidder’s good faith effort to replace the dollar amount of a

DBE commitment that creates a shortfall of the DBE goal in accordance with the regulatory guidelines set forth in Section 26.53 of Part 26 as well as Appendix A and the official Q and A referred to above.

4

Attachment N: Good Faith Efforts for Public Transportation

Rev 7/15

Pennsylvania Department of Transportation

Disadvantaged Business Enterprise Program

Good Faith Efforts Approval Process – Bureau of Public Transportation

THE REGULATORY MANDATE - GOOD FAITH EFFORTS DOCUMENTATION

In accordance with the federal DBE regulation set forth in 49 Code of Federal

Regulations Part 26 (Part 26), the Pennsylvania Department of Transportation

(Department) is required to establish procedures addressing good faith efforts in those instances where Disadvantaged Business Enterprise (DBE) contract goals have been imposed. Section 26.53 (a) of Part 26 requires that contracts carrying a DBE goal requirement be awarded to a bidder who fully documents that it meets the DBE contract goal or documents a good faith effort (GFE) to meet the goal even though it did not succeed.

Each case turns on its own facts. However, both Section 26.53 and Appendix A of Part 26 outline factors to be used in a GFE analysis. In addition, institutional guidance issued by the United States Department of Transportation’s (USDOT)

Office of General Counsel in the form of questions and answers (Q and A) also sets forth guiding principles to be used in GFE reviews. Since each of the three sources contain guidelines for reviewing GFE submissions, they are attached to this document and viewed by the Department as part and parcel of the

Department’s GFE review process document. Should changes originate from

USDOT in this area; this document will be amended accordingly.

DBE commitment and GFE documentation is contained within the bid documentation referenced within the respective bid advertisement. This information must be submitted by the bidder by the advertised bid closing date, and the information is reviewed by appropriate Transit Agency personnel.

The pre-award GFE review process is triggered when the prime contractor requests a GFE review and provides GFE documentation within the deadline identified above. The GFE review process is triggered when the prime contractor requests a GFE review for revisions to a DBE commitment. Where pre-award GFE efforts occur, a two-tiered GFE review process is used to address regulatory GFE issues that cannot be resolved by Bureau of Public Transportation officials tasked with reviewing documentation.

GOOD FAITH EFFORTS PROCEDURES TIER I:

THE INTERDISCIPLINARY REVIEW TEAM RECOMMENDATION AND RULING OF THE

DIRECTOR OF THE BUREAU OF EQUAL OPPORTUNITY

Where there is a request for review of a contractor’s GFE submission, the

Department’s Interdisciplinary Review Team (IRT), comprised of personnel from the Department’s Bureau of Public Transportation (BPT) and Bureau of Equal

Opportunity will review the submitted documentation. The Chief of the Rural and

Intercity Division of the Bureau of Public Transportation will act as chairperson.

When necessary, a BPT project coordinator and other individuals familiar with the project specifications and its DBE Special Provisions may be consulted and may be asked to assist in the review process. The IRT will evaluate a bidder’s good faith effort in accordance with the regulatory guidelines set forth in Section 26.53 of

Part 26, Appendix A and the official Q and A referred to above. When DBE percentages are calculated, the Department will not round.

Because GFE issues are time-sensitive, the IRT will be required to complete its review of the submitted documentation within seven (7) business days of the contractor’s GFE submission. Upon completion, the IRT will forward its findings and recommendations to the Bureau of Equal Opportunity (BEO) Director for approval or disapproval. If approved by the Director, documentation indicating that the

GFE has been approved will be forwarded to the BPT.

In the event that the Director disapproves the GFE, the second tier of the

Department’s GFE review process is triggered. Section 26.53 requires that the

Department provide the bidder with an opportunity for administrative reconsideration. Section 26.53 (d) (1) states that the Department’s decision on reconsideration must be made by an official who did not take part in the original determination that the bidder failed to meet the goal or failed to make adequate

GFE to do so. Consistent with this provision, neither the BEO Director nor any member of the IRT will participate in the second tier determination, to be known as the GFE Committee.

GOOD FAITH EFFORTS PROCEDURES TIER II:

THE GOOD FAITH EFFORT REVIEW COMMITTEE

Purpose: In the event that the IRT and Director disapprove the GFE submitted by a bidder, the bidder will be afforded an opportunity for administrative reconsideration before the Department’s GFE Review Committee (Committee).

The Committee will meet on an as-needed basis. As noted above, this body is independent of both the IRT and the BEO Director. The Committee will review the low bidder’s DBE documentation and GFE to meet the DBE contract goal to determine whether to approve or disapprove the submission.

2

Composition: The Committee will be comprised of three members. The

Department’s Deputy Secretary for Multi-Modal Transportation will serve as

Chairperson. The Department’s Director of Public Transportation and the Director of the Bureau of Aviation will serve as the remaining members. Alternates will be available should a need arise. For the Deputy Secretary, any other Deputy may serve as an alternate. Alternates for the Director of Public Transportation and the

Director of the Bureau of Aviation are the Director of the Bureau of Rail Freight and the Director of Ports. An attorney with the Department’s Office of Chief

Counsel will serve as legal adviser to the Committee but will not participate as a decision maker. A quorum will consist of three (3) members and may include both standing committee members and alternates.

The Committee meetings are not subject to the Sunshine Law and are not open to the public. Attendance is limited to the impacted contractor, the Committee members, and the legal adviser. The IRT chairperson also attends to provide supporting information as required.

Good Faith Effort Review Documentation Package and Scheduling of the

Committee Meeting: The Chair of the IRT will prepare the background information that generated the appeal and will attend the hearing to clarify material contained in the source documentation provided to Committee members. A

GFE review package will be provided to the Committee two (2) business days’ prior to the meeting. The information will include the IRT information and findings.

However, this individual will not be permitted to participate in any deliberations.

Regulatory Guidance Documents: Each Committee member will evaluate the

GFE submission in accordance with the applicable regulatory guidelines for DBE

GFE. These include Appendix A of Part 26 as well as Section 26.53 of Part 26 and the institutional guidance issued by USDOT’s Office of General Counsel (in the form of official questions and answers).

Contractor Notification Prior to the Committee Meeting: Whenever a Committee meeting is intended to be convened, BEO will be responsible for scheduling the meeting and notifying the impacted contractor in writing of the scheduled date for the meeting. The contractor will be advised that the purpose of the meeting is to clarify documentation previously submitted to the Department within the time constraints set forth in the bid documents and DBE Special Provisions. The contractor will not be authorized to submit additional GFE documentation consistent with Part 26 regulatory guidelines. The contractor will be expected to address questions posed by Committee members and will have the opportunity to clarify points resulting from questions asked or from review of its GFE submissions.

The contractor will then be excused and the Committee will deliberate in an executive session. The legal adviser will participate in the executive session to address regulatory questions.

3

Contractor Notification Subsequent to the Committee Meeting: At the conclusion of the executive session and deliberation, the Committee will vote to approve or disapprove the GFE submission. The decision will result from a simple majority vote.

The majority must reach a consensus as to the reason for accepting or rejecting the contractor’s GFE. The Committee’s decision will be outlined in a letter sent to the contractor by first-class mail. The decision letter will be prepared by the legal adviser and will be signed by the Committee’s Chairperson. Consistent with

Section 26.53, the Committee’s decision is not administratively appealable to

USDOT. All decisions of the Committee are final and binding.

Construction Good Faith Effort: Because of the time-sensitive nature of a GFE review during the construction phase of a given project, the GFE documentation is reviewed and a determination is made by the Chair of the IRT. When necessary, a BPT project coordinator and other individuals familiar with the project specifications and its DBE Special Provisions may be consulted and may be asked to assist in the review process. The IRT Chair will evaluate a bidder’s good faith effort to replace the dollar amount of a DBE commitment that creates a shortfall of the DBE goal in accordance with the regulatory guidelines set forth in Section

26.53 of Part 26 as well as Appendix A and the official Q and A referred to above.

4

Attachment O: Good Faith Efforts for the Program Center

Rev 8/15

Pennsylvania Department of Transportation

Disadvantaged Business Enterprise Program

Good Faith Efforts Approval Process – Center for Program Development and

Management

THE REGULATORY MANDATE - GOOD FAITH EFFORTS DOCUMENTATION

In accordance with the federal DBE regulation set forth in 49 Code of Federal

Regulations Part 26 (Part 26), the Pennsylvania Department of Transportation

(Department) is required to establish procedures addressing good faith efforts in those instances where Disadvantaged Business Enterprise (DBE) contract goals have been imposed. Section 26.53 (a) of Part 26 requires that contracts carrying a DBE goal requirement be awarded to a bidder who fully documents that it meets the DBE contract goal or documents a good faith effort (GFE) to meet the goal even though it did not succeed.

Each case turns on its own facts. However, both Section 26.53 and Appendix A of Part 26 outline factors to be used in a GFE analysis. In addition, institutional guidance issued by the United States Department of Transportation’s (USDOT)

Office of General Counsel in the form of questions and answers (Q and A) also sets forth guiding principles to be used in GFE reviews. Since each of the three sources contain guidelines for reviewing GFE submissions, they are attached to this document and viewed by the Department as part and parcel of the

Department’s GFE review process document. Should changes originate from

USDOT in this area; this document will be amended accordingly.

DBE commitment and GFE documentation is contained within the bid documentation referenced within the respective bid advertisement. This information must be submitted by the bidder by the advertised bid closing date, and the information is reviewed by appropriate Planning Partner and Department personnel.

The pre-award GFE review process is triggered when the prime contractor requests a GFE review and provides GFE documentation within the deadline identified above. The GFE review process is also triggered when the prime contractor requests a GFE review for revisions to a DBE commitment. Finally, the

GFE review process is also triggered when the prime contractor, Planning

Partner, or representative from the Department identifies a potential or actual shortfall in meeting the DBE goal established for the contract. Where GFE efforts occur, a two-tiered GFE review process is used to address regulatory GFE issues

that cannot be resolved by Center for Program Development and

Management (Program Center) officials tasked with reviewing documentation.

GOOD FAITH EFFORTS PROCEDURES TIER I:

THE INTERDISCIPLINARY REVIEW TEAM RECOMMENDATION AND RULING OF THE

DIRECTOR OF THE BUREAU OF EQUAL OPPORTUNITY

Where there is a request for review of a contractor’s GFE submission, the Planning

Partner that received the bids will provide a preliminary review of the submitted

GFE documentation using Section 26.53 and Appendix A of Part 26 as standards for the analysis. Based on that review, the Planning Partner will then recommend either approval or disapproval of the GFE and forward the recommendation to the Department’s Transportation Planning Coordinator overseeing that Planning

Partner.

If the Planning Partner recommends approval of the GFE and the Transportation

Planning Coordinator concurs with the approval, documentation indicating approval of the GFE will be forwarded to the Planning Partner.

If the Planning Partner recommends approval of the GFE and the Transportation

Planning Coordinator disagrees with the approval, the GFE submission will be forwarded to the Department’s Interdisciplinary Review Team (IRT) for review.

If the Planning Partner recommends disapproval of the GFE, the GFE submission will be forwarded to the IRT for review.

The Department’s IRT, comprised of three (3) staff members from the

Department’s Program Center and Bureau of Equal Opportunity, will review the submitted documentation. The Transportation Planning Manager of the Financial

& Contract Management Section of the Program Center will act as chairperson, with the Financial & Contract Services Division Manager serving as an alternate.

The second member of the IRT will be the DBE/Title VI Division Chief of the Bureau of Equal Opportunity (BEO), with the DBE Program Administrator serving as the alternate. The final member will be the Program Center’s Transportation Planning

Coordinator for the affected Planning Partner, with any other Transportation

Planning Coordinator serving as the alternate. The IRT will evaluate a bidder’s good faith effort in accordance with the regulatory guidelines set forth in Section

26.53 of Part 26, Appendix A and the official Q and A referred to above. When

DBE percentages are calculated, the Department will not round.

Because GFE issues are time-sensitive, the IRT will be required to complete its review of the submitted documentation within seven (7) business days of the contractor’s GFE submission. Upon completion, the IRT will forward its findings and recommendations to the Bureau of Equal Opportunity (BEO) Director for approval

2

or disapproval. If approved by the Director, documentation indicating that the

GFE has been approved will be forwarded to the Program Center.

In the event that the Director disapproves the GFE, the second tier of the

Department’s GFE review process is triggered. Section 26.53 requires that the

Department provide the bidder with an opportunity for administrative reconsideration. Section 26.53 (d) (1) states that the Department’s decision on reconsideration must be made by an official who did not take part in the original determination that the bidder failed to meet the goal or failed to make adequate

GFE to do so. Consistent with this provision, neither the BEO Director nor any member of the IRT will participate in the second tier determination, to be known as the GFE Committee.

GOOD FAITH EFFORTS PROCEDURES TIER II:

THE GOOD FAITH EFFORT REVIEW COMMITTEE

Purpose: In the event that the IRT and Director disapprove the GFE submitted by a bidder, the bidder will be afforded an opportunity for administrative reconsideration before the Department’s GFE Review Committee (Committee).

The Committee will meet on an as-needed basis. As noted above, this body is independent of both the IRT and the BEO Director. The Committee will review the low bidder’s DBE documentation and GFE to meet the DBE contract goal to determine whether to approve or disapprove the submission.

Composition: The Committee will be comprised of three (3) members. The

Department’s Deputy Secretary for Planning will serve as Chairperson. The

Department’s Director of the Program Center and the Director of the Bureau of

Planning and Research will serve as the remaining members. Alternates will be available should a need arise. For the Deputy Secretary, any other Deputy may serve as an alternate. The Alternate for the Director of the Program Center will be one of the Program Center’s Division Managers other than Financial & Contract

Services Division Manager. The alternate for the Director of the Bureau of Planning and Research will be one of the bureau’s Division Managers. An attorney with the

Department’s Office of Chief Counsel will serve as legal adviser to the Committee but will not participate as a decision maker. A quorum will consist of three (3) members and may include both standing committee members and alternates.

The Committee meetings are not subject to the Sunshine Law and are not open to the public. Attendance is limited to the impacted contractor, the Committee members, and the legal adviser. The IRT chairperson also attends to provide supporting information as required.

Good Faith Effort Review Documentation Package and Scheduling of the

Committee Meeting: The Chair of the IRT will prepare the background information that generated the appeal and will attend the hearing to clarify material

3

contained in the source documentation provided to Committee members. A

GFE review package will be provided to the Committee two (2) business days’ prior to the meeting. The information will include the IRT information and findings.

However, this individual will not be permitted to participate in any deliberations.

Regulatory Guidance Documents: Each Committee member will evaluate the

GFE submission in accordance with the applicable regulatory guidelines for DBE

GFE. These include Appendix A of Part 26 as well as Section 26.53 of Part 26 and the institutional guidance issued by USDOT’s Office of General Counsel (in the form of official questions and answers).

Contractor Notification Prior to the Committee Meeting: Whenever a Committee meeting is intended to be convened, BEO will be responsible for scheduling the meeting and notifying the impacted contractor in writing of the scheduled date for the meeting. The contractor will be advised that the purpose of the meeting is to clarify documentation previously submitted to the Department within the time constraints set forth in the bid documents and DBE Special Provisions. The contractor will not be authorized to submit additional GFE documentation consistent with Part 26 regulatory guidelines. The contractor will be expected to address questions posed by Committee members and will have the opportunity to clarify points resulting from questions asked or from review of its GFE submissions.

The contractor will then be excused and the Committee will deliberate in an executive session. The legal adviser will participate in the executive session to address regulatory questions.

Contractor Notification Subsequent to the Committee Meeting: At the conclusion of the executive session and deliberation, the Committee will vote to approve or disapprove the GFE submission. The decision will result from a simple majority vote.

The majority must reach a consensus as to the reason for accepting or rejecting the contractor’s GFE. The Committee’s decision will be outlined in a letter sent to the contractor by first-class mail. The decision letter will be prepared by the legal adviser and will be signed by the Committee’s Chairperson. Consistent with

Section 26.53, the Committee’s decision is not administratively appealable to

USDOT. All decisions of the Committee are final and binding.

4

Attachment P: PA UCP Standards and Procedures Manual

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Providing One-Stop Shopping for

DBE Certification

Moving Pennsylvania forward and creating economic opportunities for all.

This Pennsylvania Unified Certification Program (PA UCP) Procedures

Manual has been established to provide uniformity in the implementation of the Disadvantaged Business Enterprise Certification Process for

Pennsylvania.

The manual is to be utilized and adhered to by all certifying participants in the PA UCP.

All recommended changes or revisions to this manual must be submitted, in writing, to the Chairperson of the PA UCP Oversight Committee for review and approval by the Committee.

Approved changes will be maintained by the Project Manager for distribution and inclusion in this manual.

CONFIDENTIALITY

CONFIDENTIALITY

Consistent with procedures concerning the release of internal review documents related to the certification determination under the corrective amendment to Part 26 and Section 26.67, CPs will treat all documents containing financial information and findings as confidential, including the individual personal net worth statements and accompanying documentation submitted by prospective applicants. As indicated in Part 26, this information will only be released where prior written approval is obtained from the submitter or the information is requested by US DOT as part of an appeal process. All personnel taking part in the certification process on behalf of the CP will be expected to sign a Confidentiality

Acknowledgement Statement.

Moving Pennsylvania forward and creating economic opportunities for all.

Revised 11-28-08

CONFIDENTIALITY ACKNOWLEDGEMENT STATEMENT

As an individual who, in the course of employment, has, and may in the future, come into the possession of sensitive, confidential information submitted by applicants to the Disadvantaged Business Enterprise (DBE) program or compiled for the purpose of facilitating or providing necessary services and functions for the operation of the DBE program, I acknowledge that I have full awareness that this information must be kept confidential. I further acknowledge that I am aware and have been informed that failure to do so could constitute a violation of state laws and recognized privileges as well as the federal DBE regulation set forth in 49 Code of Federal Regulations (C.F.R.) and could result in disciplinary action as well as sanctions to be imposed by USDOT on my employer. I also acknowledge that I have full knowledge that I will not be authorized to disclose this information or any other confidential information or documentation during or after the term of my employment with

.

I agree that all Program Files shall be held in confidence, and shall not be used or disclosed to third parties, without the permission of the Submitter of the information as required under 49 C.F.R., Part 26. I agree to guard the confidentiality of the Program Files with the same diligence with which I guard my employer’s own proprietary information.

I also understand that should another entity outside the PA UCP engaged in DBE certifications request a copy of all or part of a Program File containing confidential information submitted by applicants to the DBE program, I will release the requested information only if the authorized representative has signed a statement containing substantially the same provision as those contained herein and if the purpose of the request is to assist the entity in its own review of the applicant firm for the purposed of determining eligibility for the DBE program.

Sign

Print Name

Date

Title

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia PENNDOT

Philadelphia International Airport Bureau of Equal

DBE Program Office Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE

Program Office

GENERAL INFORMATION

Intake Services

The Intake Services component is a vital aspect of the Unified Certification Program in that it sets the framework for the remaining components of the certification application review process.

Through a voting process, the Pennsylvania Unified Certification Program (PA UCP)

Taskforce has decided that the Intake Services process will be administered at the local level. Therefore, each Certifying Participant (CP) for the Commonwealth of

Pennsylvania will be required to accept DBE certification applications. In keeping with the regulatory intent of the Program to assist Disadvantaged Business Enterprises

(DBEs) with “one-stop shopping,” the DBE applicant may submit an application for certification with any one of the five (5) CPs within the Commonwealth.

The PA UCP will employ the most effective communication dissemination tools to advise DBE firms and prospective DBEs of its implementation. Such tools will include but not be limited to, mass mailings, brochures, media advertisements and information on the PA UCP website. Applications for the PA UCP will be available through the website, from the offices of each CP, and by direct mailings to DBE applicants.

For the purposes of intake, the CPs are identified as follows:

Pennsylvania Department of Transportation, Harrisburg Office

City of Philadelphia, PHL Airport, DBE Program Office

Southeastern Pennsylvania Transportation Authority

Port Authority of Allegheny County

Allegheny County, Department of M/W/DBE

Since on-site reviews are a major requirement of certification, applications may be redistributed based on geographic location and/or the workload capacity of a particular

CP.

Database

A web-based system acts as the source of accurate, timely, and up-to-date information for the PA UCP DBE Directory and for tracking DBE certification applications. The website is www.paucp.com

. The data is housed on a server at the Allegheny County

Airport Authority. The PA UCP web site is utilized by the general public and internal users.

Only certain information is available to the general public regarding a certified DBE.

The information is limited to the DBE Directory information.

Information input into the system is made available to internal users. System security has been established limiting information that is available to the general public while internal users may have access to more detailed and/or sensitive information. For example, the general public is not able to view a firm that has applied for certification or has been denied certification; however, the internal users have access to this information.

Tracking the status of DBE certification applications is a key function of this system.

Another key function of the system is to track and record application determinations, which are entered into the system by the reviewing CP. In the event of a denial, the reviewing CP will change the application status to denied and enter a denial date and reason. In the event of certification, the reviewing CP will enter the date certified, the date of certification reassessment the specific work that the firm is certified to perform, and other required information.

The internal data is accessed through routine queries and various reports established by the PA UCP Oversight Committee. The Oversight Committee periodically reviews comments and concerns submitted by the CPs for enhancements to the database.

The web-based system acts as the Pennsylvania Unified Certification Program’s

Disadvantaged Business Enterprise Directory. This directory is searchable.

For additional information regarding the PA UCP database, see PA UCP Shared

Database Training Manual.

Policy for the Transfer of DBE Applications

The Pennsylvania Unified Certification Program Task Force has set forth the following provisions to govern the transfer of DBE certification applications between PA UCP

Certifying entities.

The following represents instances whereby certification applications may be transferred:

• When the certifying entity initially receiving the certification application is unable to process it in a reasonable time frame due to workload, geographical location of the DBE, and/or resources, the application may be transferred to another certifying entity.

• A firm may choose to transfer to another certifying participant (CP). In order to complete this transfer, the firm must submit a letter on company letterhead to the original CP requesting the transfer to the CP of the company’s choice.

A copy of the letter must be sent to the new CP. Upon receipt of the request, the original CP will send a copy of the entire file to the new CP within 24 hours as outlined in “Policy for the Transfer of DBE Applications” (see below). If the file is not received within three (3) days, the copied entity will contact the original CP by telephone and request the information be sent.

The new CP will notify the firm upon receipt of the documents and proceed with the process from this point.

When the certifying entity transfers an application it must be done within a twenty-four hour time period. In addition to the certification application and the supporting documentation, the certifying entity transferring the information must prepare a brief summary outlining the reasons the applicant file is being transferred. The receiving entity must formally notify the transfer entity within twenty-four hours if there is a problem with processing this application.

Procedure for Notification of Application Transfer

The transferring certifying entity must make formal contact in writing by providing official notification to receiving entity of pending action related to transfer of file. The receiving entity must acknowledge in writing its ability to respond to the request for transfer.

Upon confirmation from the receiving entity of its ability to respond, the transferring entity must forward under separate cover the certification application and all supporting documentation required for a reasonable review by the receiving entity.

Transfer of the application and supporting documentation should take place at the point the original certifying entity acknowledges its’ inability to process the application in a reasonable time frame as referenced above.

Documentation should be sent over night to the receiving entity with confirmation provided to the DBE applicant formally notifying the same of transfer to new certifying entity.

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

DBE Transfer Notification (Revised February 2011)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Transfer from another Certifying Participant

Certification I.D. #:

[if applicable]

Dear ______________:

Please be advised that the Pennsylvania Unified Certification (PA UCP) shares its resources in order to ensure that the applicant is afforded "one stop shopping" under the federal regulation.

With that consideration, your firm has been transferred from (original CP) to (CP being

transferred to), a certifying participant of the Commonwealth of Pennsylvania Unified

Certification Program (PA UCP). By mutual concurrence, (CP being transferred to) is the

Certifying Participant (CP) now responsible for your DBE reviews.

These reviews may consist of Annual Affidavit or Affidavit of Change submissions. The Annual

Affidavit is due yearly on the anniversary of your firm’s certification. The Affidavit of Change is due within 30 days of a change in status. Please refer to your original certification letter for specific details.

The Annual Affidavit will be sent to you approximately sixty (60) days prior to the due date.

This date is based on your firm’s anniversary of DBE certification, which is (Month/Day).

Failure to comply at that time may render your firm ineligible to participate as a DBE on future

DOT Federally-assisted projects.

Also be advised that under the PA UCP, certification approval by one CP or entity means acceptance by all of the certifying participants listed below (some agencies may require additional information), as well as other US DOT federal-aid recipients. Therefore, under the PA

UCP you are only obligated to respond to one agency for yearly review for participation on DOT

Federally-assisted projects.

If you have any questions, please contact (insert contact name and phone number).

Sincerely,

(CP Name

)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

CERTIFICATION PROCESS

Database Input Policy

The following should be adhered to when inputting information into the PA UCP database:

• Search the PA UCP database by Federal ID number and firm name to ensure that the application is not owned by another certifying participant. Double check.

• Complete the “Add a new applicant” screen in its entirety.

• Application/ business profile information should be entered into the PA UCP database upon receipt of the application.

• The business name should be input exactly as it appears on their fictitious name registration, e.g. Certificate of Incorporation, County Registration, etc.

• Avoid using all upper case when possible.

• Do not enter hyphens for Federal ID Number.

• Do not enter hyphens or brackets for phone number and fax numbers.

• White males who are Officers, Shareholders or Board Members should be listed as N/A, unless the white male is specifically requesting DBE status, then the white male should be listed as “Other”.

• Do not enter commas for # of employees or number of trucks.

• Do not enter commas, periods or dollar signs for Average Annual gross receipts.

• When certifying a firm in the database, the “Activate to Public Side” box must be checked. This allows the firm to be visible on the external web site.

• When withdrawing or removing a DBE's eligibility, the “Activate to Public Side” box must be unchecked. This will remove the firm from being visible on the external web site.

• The DBE certification reassessment date will coincide with the last day of the month in which the firm was certified. For example, if a firm is certified on

November 4, 2008, the DBE certification reassessment date will be November

30, 2011. The DBE’s anniversary dates will be November 4, 2009 and November

4, 2010.

• When navigating through the PA UCP web site, do not use the “Back”

“Forward” buttons on your Browser tool bar.

or

Application Review Process

• If the application received is listed in the database and under review or certified by another CP, the application should be returned to the applicant using the return form letter stating another agency already has their file.

• If the application is listed in the database under another CP, but has been withdrawn or denied/revoked, the CP receiving the application must contact the original CP and have the database record transferred to the receiving CP. The database record should “reactivated” and updated as necessary.

• If the application is from an out-of-state firm, the CP must determine that they are currently certified in their home state before further review. If the firm is not certified in their home state the application and attachments should be returned to the applicant using the return form letter. The database record should be

“withdrawn” with a reason of no home state certification.

• Once the application is received by the appropriate CP, it is reviewed, within five working days, to verify that the documents listed on the transmittal form are there and the application is checked for completeness. A file is made including a file log to document and detail, at a glance, any action taken with respect to that firm.

• If additional information is required, a written request is made directly to the firm establishing a timeframe to submit the additional information; at least 15 days are granted and the specific date is stated in the letter.

• If the information is not submitted by the date requested, a second letter is generated giving the firm at least an additional 15 days and advising it that if the information is still not received, the file will be closed.

• If the information is not received, the certification is closed and a file-closing letter is generated. Update database record to withdrawn status with comments such as failed to complete application/checklist.

• If the information is received it is logged in and reviewed for completeness.

• Consistent with the regulations, the ninety-day review period begins upon receipt of the completed application along with the required supporting documentation.

Moving Pennsylvania forward and creating economic opportunities for all.

Duplicate in Database (Revised February 2011)

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Forms return

Dear ______________:

The (CP name), a certifying participant of the Pennsylvania Unified Certification Program (PA

UCP), is in receipt of your application for certification as a Disadvantaged Business Enterprise

(DBE). However, a review of the PA UCP database reveals you also applied to (CP listed in

database), a certifying participant of the PA UCP. The (CP listed in database) will process the

DBE certification review of your application.

The PA UCP shares its resources in order to ensure the applicant is afforded "one stop shopping" under the federal regulation. When your application for DBE certification is approved, it will be accepted by all of the certifying participants listed below (some agencies may require additional information), as well other US DOT federal-aid recipients. The (CP listed in database) is also responsible for processing all annual reviews for your firm.

Because of the confidential nature of the documents submitted to our office, we are returning them to you.

If you have any questions regarding the UCP or how to do business with (CP name), please contact (insert contact name and phone number).

Sincerely,

(CP Name)

(CP Title)

Attachments

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

No Home State Certification (Revised December 2006)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Forms return

Dear ______________:

The Pennsylvania Disadvantaged Business Enterprise (DBE) Unified Certification Program (PA

UCP) forms submitted by you are being returned. Consistent with Section 26.81(d), the PA UCP is not required to process an application for certification from a firm having its principal place of business outside the state of Pennsylvania if the firm is not certified by the UCP in the state in which it maintains its principal place of business.

Therefore, all firms applying for certification outside our service area (Pennsylvania) must include with their submittal a current DBE certification issued by your home state Department Of Transportation, local transit authority or other local FTA grantee.

After you receive your home state certification, you may submit all other required documents along with a copy of the certification and we will be happy to process your application.

If you have any questions, please contact (insert contact name and phone number). Thank you for your interest in Pennsylvania’s DBE program.

Sincerely,

(CP Name)

(CP Title)

Attachments

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

PA UCP FILE LOG

Initials Date

Application Reviewed for Completeness

15-Day Warning Letter Sent

Response Received to Above

Response Reviewed for Completeness

15-Day Deadline Letter Sent

Response Received to Above

Response Reviewed for Completeness

Closing Letter Sent—file closed

90-Day Review Process Letter Sent

Pre-Interview Format Done

Denial Letter Sent

On-Site Interview Set by Phone

Appointment Letter Sent

On-Site Interview Format Done

List Letter Left at Interview

Formats Submitted to Decision Maker

Decision Letter Issued—DBE yes no

Database Updated

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Certification – 1 st

notice for additional information (Revised December 2006)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Certification Application

Dear ___________________:

The __________________________, a certifying participant in the Pennsylvania Unified

Certification Program (UCP), has reviewed your DBE application and found it to be incomplete. In order to continue the certification process for your company, please submit the following information:

(Insert information)

Please forward the requested information to: (insert relevant forwarding instructions) such that it is received no later than (at least 15 days from date of letter.)

If you have any questions, please contact (insert relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Certification – 2nd notice for additional information (Revised December 2006)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Additional information Request

Dear _______________________:

By letter of (insert date of 15-day Warning Letter) you were informed there was additional information needed to complete your DBE application for certification with the Pennsylvania Unified Certification Program (UCP). To date, that information has not been received. It consists of the following:

Insert

Please forward the requested information to (insert relevant forwarding instructions) such that it is received no later than (at least 15 days from date of letter.)

Your failure to timely respond to this request will cause your DBE application to be closed, which will bring a halt to the review. I look forward to receipt of this information so that the review process may continue.

If you have any questions, please contact (insert relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Certification – Close-Out (Revised December 2006)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

File Closure

Dear ___________________:

This notice regards your incomplete DBE application to ________________________

(insert name of agency), a certifying participant in the Pennsylvania Unified

Certification Program (PA UCP). By letters dated __________ (insert date of 15-day

Warning Letter) and __________ (insert date of 15-day Deadline Letter), you were informed of the information needed to complete your DBE certification application. The second letter advised you that failure to provide the requested information within fifteen

(15) days would cause your DBE application to be closed, bringing a halt to the review.

The fifteen (15) days have elapsed since the date of the second letter without response from you. Therefore we, (insert name of agency), has closed the filing of your DBE application.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

In-State Review Procedures

• If and when an application has been deemed complete, the 90-Day Letter is sent to inform the applicant that the application is complete. (A 60-Day Extension

Letter may also be required during the process if the prescribed 90-days cannot be met.) The reviewer then preliminarily analyzes the application by completing the documents entitled “Pre-Interview and Review Format for Firms applying to the PA UCP for Certification under 49 CFR Parts 23 and 26”, “Size Analysis”, and “PNW Calculation Worksheet”.

• The reviewer then makes contact by telephone with the applicant to schedule an on-site visit to the applicant firm’s office to personally interview the officers and the disadvantaged owners representing at least 51% of the ownership structure, giving a non-exhaustive run-down of the information that should be available at the interview.

• The reviewer then confirms the conversation shortly thereafter by sending the appointment letter.

Out-of-State Review Procedures

• TBD

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

90-Day Application Review Letter – Revised October 2010

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Application Status

Dear ____________________:

This notice regards your request for DBE certification with the Pennsylvania Unified

Certification Program (PA UCP).

As of ________________________, it appears you have provided the information necessary to complete your application package. Consistent with Title 49, Part 26.83(k) of the code of federal regulations which governs the DBE program, the PA UCP will make its eligibility determination within the prescribed 90 days (60-day extension allowable for reasons in accordance with section 26.83(k)). To do this, the PA UCP welcomes your cooperation as it proceeds with the review process.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Moving Pennsylvania forward and creating economic opportunities for all.

60-Day Extension Letter - Revised December 2006

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Application review extension

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Dear __________________:

Thank you for your patience in waiting for our determination as to the eligibility of

__________________________ under the Pennsylvania Unified Certification Program

(PA UCP). However, in reliance upon Title 49, Section 26.83(k) of the program’s governing regulation, we are extending the 90-day period prescribed therein as the decision-making time frame for an additional 60 days. The reason for the extension is

_______________.

Thank you again for your understanding as well as your interest in the DBE program.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Moving Pennsylvania forward and creating economic opportunities for all.

PRE-INTERVIEW and Review Format

for Firms Applying to the PA UCP for CERTIFICATION Under 49 CFR Parts 23 and 26

Name of Firm:

When going through this format, check off as appropriate. Any time more explanation is required than asked for herein so state and attach a lettered comment with any necessary referenced and labeled documentation.

A. The body of the application is complete.

B. All applicable attachments are there.

C. The application package shows/implies firm is for profit.

Explain:

D. Firm appears to be small based on the face value of what is presented in the application package.

(Attach your calculations if need be.)

Explain:

E. Based on the face of the attachments provided with the application, the following is the

documented structure of this:

Sole Proprietorship Partnership Corporation LLC

Revised 09-15-06

Pre-Interview format for Certification page 1 of 2

Name Group PNW*

Amount Percentage of Interest of Interest Director Officer

*Figured according to 49 CFR 26.67 which excludes interest in applicant firm & equity in primary residence. (Attach your calculations if need be.)

F. Preceding disadvantaged individuals are either U.S. citizens or permanent residents

Other:

IF THERE ARE, AT THIS POINT, FINDINGS THAT POINT TO A SITUATION WHERE A

THRESHOLD REQUIREMENT(S)** MAY NOT BE MET, DO ANY OTHER NECESSARY

WORK TO ESTABLISH THAT, IF NEED BE, AND SUBMIT THIS PRE-INTERVIEW

FORMAT AND ACCOMPANYING WORK TO YOUR SUPERVISOR, COVERED BY A

MEMO EXPLAINING HOW A DENIAL RECOMMENATION WITHOUT AN ON-SITE

VISIT IS IN ORDER.

**Being for profit, small, having at least 51% ownership by disadvantaged people ($1,32M

PNW maximum) who are U.S. citizens or permanent residents are threshold requirements.

(Keep in mind in regard to size, if on the face of it the firm appears too big, you will have to explore with the applicant any exclusions and/or get more background on number of employees before you can definitively say a firm is not small. Related internal size forms will have to be part of your submission to your supervisor.)

Not for public distribution. For internal use only

Revised 09-15-06

Pre-Interview format for Certification page 2 of 2

Moving Pennsylvania forward and creating economic opportunities for all.

SIZE ANALYSIS

Receipts for the last 3 fiscal years of ___________________________________________ are:

(On back, detail exclusions then insert appropriately; on back, perform any calculations for less than a 3-yr period then insert in “Average of Receipts” blank)

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $______________

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $_______________

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $_______________

Sum of Receipts = $_______________

Average of Receipts = $_______________

(Sum ÷ 3)

*but if firm is a sole proprietorship, then “Gross income”

The number of employees is:

full-time + part-time + temporary + other = total

___________ ___________ ___________ ___________ ___________

ADD SHEETS FOR AFFILIATES AS NECESSARY

06-23-06

PA UCP Procedures Manual

AGGREGATION OF RECEIPTS & EMPLOYEES

AGGREGATION OF RECEIPTS & EMPLOYEES OF APPLICANT FIRM WITH THOSE OF

AFFILIATES, IF APPLICABLE, AND COMPARISONS WITH RELEVANT SIZE STANDARDS

Average of Receipts for: applicant firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ =

Total Average Receipts =

Summation of Employee Totals for:

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

$_____________________

applicant firm ______________________________ = ______________________ affiliate firm ______________________________ = ______________________ affiliate firm ______________________________ = affiliate firm ______________________________ =

______________________

______________________ affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ =

______________________

______________________

______________________

______________________

______________________

Grand Total of Employees = ______________________

Relevant Size Standards:

DBE Program Size Cap = $__________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

NAICS Code __________ = __________

Exceeded?

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

□ Yes □ No

(Keep in mind that firms that exceed any of the relevant monetary size standards must be given the opportunity to set forth exclusions & firms that exceed any of the employee-based size standards must be asked to produce, for analysis, the type of documentation mentioned in 13 CFR 121.106 after which the two forms should be re-done.)

PA UCP Procedures Manual

SIZE ANALYSIS FOR AIRPORT CONCESSIONAIRES

Banks & Financial Institutions:

$_________ in assets

Pay Telephone Companies & Automobile Dealers:

_________ employees

Car Rental Companies & All Other Firms:

(On back, detail exclusions then insert appropriately; on back, perform any calculations for less than a 3-yr period then insert in “Average of Receipts” blank)

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $______________

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $_______________

Year (pre-printed on tax form)

______

“Total income”* + “Cost of goods sold” - Exclusions

$______________ + $_______________ - $_______________ = $_______________

Sum of Receipts = $_______________

Average of Receipts = $_______________

(Sum ÷ 3)

*but if firm is a sole proprietorship, then “Gross income”

ADD SHEETS FOR AFFILIATES AS NECESSARY

Moving Pennsylvania forward and creating economic opportunities for all.

AGGREGATION OF ASSETS, EMPLOYEES, & RECEIPTS OF APPLICANT FIRM WITH THOSE

OF AFFILIATES, IF APPLICABLE, AND COMPARISONS WITH RELEVANT SIZE STANDARDS

FOR AIRPORT CONCESSIONAIRES

Banks & Financial Institutions:

Assets applicant firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ =

Total Assets =

$_____________________

$_____________________

$_____________________

$_____________________

Size Standard = $1 Billion in assets

Exceeded?

□ Yes □ No

Pay Telephone Companies & Automobile Dealers:

Employees

applicant firm ______________________________ = ______________________ affiliate firm ______________________________ = ______________________ affiliate firm ______________________________ =

Total Employees =

______________________

______________________

Size Standard = 1,500 employees

(Pay Telephone Companies)

Size Standard = 350 employees

(Automobile Dealers)

Car Rental Companies & All Other Firms:

Exceeded?

□ Yes □ No

□ Yes □ No

Average Receipts applicant firm ______________________________ = affiliate firm ______________________________ = affiliate firm ______________________________ =

Total Average Receipts =

$_____________________

$_____________________

$_____________________

$_____________________

Exceeded?

Size Standard = $75.23M in average receipts

□ Yes □ No

(Car Rental Companies)

Size Standard = $56.42M in average receipts

□ Yes □ No

(All Other Firms)

(Keep in mind that firms that appear to exceed an employee size standard & firms which appear to exceed an average receipts size standard must be asked to produce, for analysis, the type of documentation mentioned in 13 CFR 121.104 and 13 CFR 121.106, after which the two forms should be re-done.)

Revised July 2012

PNW CALCULATION WORKSHEET

For DBE’s & For ACDBE’s

“Total Assets”* $_________

Exclude (if included in above): present market value of primary residence

$_________

(both DBE’s & ACDBE’s) interest in applicant firm

(both DBE’s & ACDBE’s)

$____________

other assets needed/encumbered

(only ACDBE’s)

Other Adjustments^:

$____________

____________________ $_________

____________________

Adjusted Assets

$_________

$_________

“Total Liabilities”* $_________

Exclude (if included in above): mortgage balance on primary residence $____________

(both DBE’s & ACDBE’s)

Other Adjustments^:

___________________

___________________

Adjusted Liabilities

$_________

$_________

$_________

ADJUSTED ASSETS MINUS ADJUSTED LIABILITIES = ADJUSTED PNW

$_________ MINUS $_________ = $_________

*Add figures presented on balance sheet to re-check arithmetic & insert correct figure here.

^List any other adjustments & explain below:

(For example, figures presented on the balance sheet may be found to be incorrect & therefore need to be increased/decreased by a determined amount; other assets/liabilities may have surfaced; some liabilities claimed may not be valid; etc.).

Moving Pennsylvania forward and creating economic opportunities for all.

Site Visit Appointment Letter - Revised December 2006

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Scheduled appointment

Dear ___________________:

Pursuant to our telephone conversation, I have scheduled your firm for the required

Disadvantaged Business Enterprise (DBE) on-site interview on ___________________

(Insert Date and Time) at (Insert the firm’s office address).

The interview should be attended by the disadvantaged owners representing at least 51% of the ownership structure as well as by the officers.

For this interview please make available for physical review and submission the items listed below. Please be advised this list may not be all inclusive and other information may be requested.

1)

2)

3)

4)

5)

6)

7)

Your cooperation in this matter is appreciated.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

On-Site Review Procedures

In order to meet the regulatory requirements of the UCP, an on-site review must be performed. On-site visits should be conducted every six (6) years unless information warrants a visit sooner.

• If the appropriate parties are not present at the interview site, the reviewer may use his/her judgment as to whether to allow for re-scheduling or to make a denial recommendation based on lack of cooperation to the decision maker.

• The reviewer uses the document entitled “On-Site Interview and Review Format for Firms Applying to the UCP for Certification under 49 CFR Parts 23 and 26” as a guide for conducting the interview and job site visit to:

Verify group membership.

Gather any additional size information.

Gather any additional personal net worth information.

Verify the form and substance of the ownership.

Assess control.

• If any informational needs surfaced that could not be addressed at the interview, the reviewer leaves a list letter with the interviewee.

The reviewer submits the completed “Pre-Interview and Review Format for Firms

Applying to the PA UCP for Certification under 49 CFR Parts 23 and 26” as well as the “On-Site Interview and Review Format for Firms Applying to the PA UCP for Certification under 49 CFR Parts 23 and 26” to the decision maker for review and issuance of the certification/denial letter based on the content of the formats.

• The decision maker then generates the appropriate notification letter: o

Certification – In accordance with 49 CFR 26.83(h), if a firm is certified, the DBE certification will be for a period of not less than three years. The

DBE certification reassessment date will coincide with the last day of the month in which the firm was certified. For example, a firm is certified on

January 5, 2004, the reassessment date will be January 31, 2007.

Consequently, the firm’s anniversary dates will be January 31, 2005, and

January 31, 2006. NOTE: the initial date for recertification review NEVER changes. If the company is reassessed March 15, 2007 the new date is

January 31, 2010 [not March 31, 2010].

o

Denial – The firm will be given thirty (30) days to file a state level appeal in writing to the originating CP

• The shared database is then updated with the appropriate dates/information.

Moving Pennsylvania forward and creating economic opportunities for all.

ON-SITE INTERVIEW and Review Format for Firms Applying to the PA UCP for CERTIFICATION Under 49 CFR Parts 23 and 26

Name of Firm:

When going through this format, any time more explanation is required than asked for herein so state and attach a numbered comment with any necessary referenced and labeled documentation, keeping in mind this format does not prohibit follow-up or tailor-made questions. The italicized

items require the interviewer to form a conclusion.

GROUP MEMBERSHIP

1.

Yes No Do the representations about race/gender on the application

appear valid?

If not, follow the provisions of Part 26.63 and state results here:

OWNERSHIP/DISADVANTAGE

2.

How and why was this company formed?

3.

In what Pennsylvania counties does your firm wish to work and what NAICS code(s) covers this work?

4.

How did the firm’s ownership structure come about? (Refer to item E of the preinterview format.)

5.

6.

Yes No Is there at least 51% ownership by disadvantaged

individuals?

What was the most difficult part of forming the company?

Revised 08-18-06

On-Site Interview Format for Certification

Page 1 of 8

7.

What are your short-term & long range goals for the company?

8.

If there are any findings which point against social and/or economic disadvantage explain here:

9.

What was your contribution in exchange for your ownership interest? [If expertise is the contribution, follow the provisions of Part 26.69 (f)].

10.

Yes No

Were the ownership contribution(s) adequate in light of the current net worth of the firm?

Explain:

11.

What other monies did you or any other individual put into the firm?

12.

Yes No

Is this a situation where the disadvantaged ownership

is the result of a gift/transfer without adequate consideration from a nondisadvantaged individual or non-DBE firm involved in or engaged with the applicant firm/affiliate in the ways stated in Part

26.69(h) (1)?

Explain:

13.

Yes No Was the preceding problem overcome when the opportunity

was extended to show the ownership transfer was for reasons other than obtaining certification and that the disadvantaged owner controls?

Explain:

14.

Yes

15.

Yes N/A

No

Is this a situation where marital assets were used by the disadvantaged owner to acquire his/her ownership interest?

No

Did the spouse exercise the portion of the application transferring/renouncing rights in those assets?

Revised 08-18-06

On-Site Interview Format for Certification

Page 2 of 8

CONTROL

16.

Describe your bidding process from how a decision is made to bid/quote a job, through the development of the bid/quote and ending with submission of the bid/quote:

17.

Describe the job activities that take place after award of a job – acquiring employees/supplies/equipment, scheduling, doing field supervision:

18.

Describe what you have chosen to delegate to employees or others as regards what we just talked about:

19.

How does the work of this firm differ from what you did previously?

20.

How have you adjusted?

[If any of the previous open-ended ownership/control questions have satisfactorily covered information asked for in another item(s) of the format, skip that item(s) by inserting

“previously addressed.”]

21.

Yes No Did you externally verify the authenticity of licenses

accompanying the application?

Explain the results:

22.

Yes No

23.

Yes No

Does the resume of the disadvantaged owner support his/her claim of control? (Do a resume verification only if deemed necessary and attach results) Resume verification labeled & affixed as Attachment

to

question 21.

Is this a situation where the disadvantaged control is the

result of a transfer of control from a nondisadvantaged

Revised 08-18-06

On-Site Interview Format for Certification

Page 3 of 8

24.

Yes No

individual who remains involved with the firm in any capacity?

Was the preceding problem overcome when the

opportunity was extended to show that the transfer of control was made for reasons other than obtaining certification and that the disadvantaged individual controls despite the continuing participation of the

nondisadvantaged individual who formerly controlled?

25.

What does each person listed in the duties portion of the application do in regard to that duty? Is there any documentation?

26.

Yes No Do you wish to mention any qualifications or education that may have been left off the resume?

Explain:

27.

Yes No Do you wish to mention any other duties that are not indicated on the application?

Explain:

28.

(Adapt the following when dealing with a non-construction firm.) Would you say that you can, on your own:

Yes No a.

b.

c.

d.

Read structural drawings? …………………………

Perform estimates? ……………………………….

Tell if an estimator’s #’s are competitive? ………..

Question decisions of an estimator/anyone else? … e.

f.

g.

Recognize technical problems? ………………… ..

Evaluate technical problems? …………………….

Solve technical problems? ……………………….

29.

Yes No Can you revoke authority that you have chosen to delegate?

Explain:

30.

Yes

Explain:

31.

Full–time

No

Part–time

If need be, could you hire/fire those to whom authority is delegated?

Currently, do you regard this firm as a full-time or part-time operation?

Revised 08-18-06

On-Site Interview Format for Certification

Page 4 of 8

32.

Full-time

33.

Yes

Part-time

No

None Do you have any other employment, whether fulltime or part-time?

Do you have other business interests?

34.

If the answers to #31, #32, and/or #33 pose a dilemma, explore and explain here:

35.

Who can sign checks and how is this evidenced?

36.

Who has signed in connection with loans and/or the line of credit; how is this evidenced?

37.

May I see some typical signed (sub) contracts? Describe pertinent details.

38.

What is your bonding/insurance arrangement? May I see any existing bonding/insurance documents?

39.

What of pertinence did a review of documents such as Articles/Certificate of

Incorporation/Organization, bylaws/operating agreement/partnership agreement, financial statement, third party agreements, etc. show as to restrictions that hamper the disadvantaged owner in regard to making any business decision of the firm?

40.

What does the financial statement reveal about financial capacity?

41.

What of pertinence did a review of documents in the firm’s job files reveal?

42.

If the firm applied as a supplier, what seems to be the crediting potential for the products

provided as far as manufacturing, regular dealing, and/or brokering is concerned?

Revised 08-18-06

On-Site Interview Format for Certification

Page 5 of 8

43.

What did an examination of the most recently issued Forms W2 and 1099 reveal?

44.

What did an examination of the most recent typical payroll print-out reveal?

45.

Yes No

46.

If not, why not?

Was the firm able to produce cancelled paychecks?

47.

Yes No

48.

If so, what is the reason?

Is the disadvantaged owner’s remuneration low in relation to that of others?

49.

How did you acquire your major assets?

50.

How is debt being satisfied? (Refer to item 32.)

51.

Yes No

52.

If not, why not?

Was the firm able to produce cancelled checks for typical overhead expenses?

53.

What is the firm’s source for equipment used on a project?

Revised 08-18-06

On-Site Interview Format for Certification

Page 6 of 8

54.

What is the firm’s source for employees used on a project?

55.

By what means does the firm occupy this location?

56.

Are there any other occupants of this location?

57.

What did an examination of accounts payable reveal?

58.

What did an examination of accounts receivable reveal?

59.

What did a tour of the premises reveal?

60.

If, in addition to any findings of shared resources already set forth, there is anything to add, explain here:

61.

Yes No

Was a job site visit made?

62.

If so, set forth details here and if not explain why not here:

BUSINESS SIZE

63.

Yes 8(a)

SDB

No Is the firm certified by SBA?

Revised 08-18-06

On-Site Interview Format for Certification

Page 7 of 8

64.

Yes No

Was the firm found to have any affiliates?

65.

If so, explain here and note what necessary documentation about affiliates came with the application and/or is hereto affixed as Attachment to question 65; also detail the structure of any affiliates (owners with percentages; directors, if any, or equivalents; officers, if any, or equivalents).

66.

Yes No Inconclusive

67.

Yes No N/A

According to the short size analysis conducted on

the following pages, is the firm a small business?

According to the full size analysis conducted on the following pages, is the firm a small business?

RECOMMENDATION

Certify as

Deny

Other

Explain recommendation:

Interviewer/Reviewer:

Interviewee(s):

Place of Interview:

Date of Interview:

Not for public distribution. For internal use only.

Revised 08-18-06

On-Site Interview Format for Certification

Page 8 of 8

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

List Letter to Leave at Interview (Revised December 2006)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Information Request

Dear _________________________:

While conducting the on-site interview to process your application for Disadvantaged

Business Enterprise (DBE) status with the Pennsylvania Unified Certification Program

(UCP), I discovered some additional information is needed. Please send the following to my attention within fifteen (15) calendar days from the date of this letter:

1)

2)

3)

4)

5)

6)

7)

Your failure to submit the information by

(Insert Date information is due) will be deemed a failure to cooperate under Section 109(c) of Part 26. Failure or refusal to provide such information is a ground for denial of certification.

When responding, please note next to the item either attached or not applicable.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Moving Pennsylvania forward and creating economic opportunities for all.

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

DBE

Certification Approval

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Revised February 2011

DBE Certification #___________

Attention: _______________________ Anniversary Date - Annually, on: _Month/Day_

The ____________________, a certifying participant in the Pennsylvania Unified Certification

Program (PA UCP), has reviewed your request for certification as a Disadvantaged Business

Enterprise (DBE) and is pleased to inform you that your firm appears to meet the requirements established by the United States Department of Transportation in Title 49, Part 26 of the Code of

Federal Regulations. Consequently, your firm is now certified as a DBE to participate in the program in the following classification(s) only:

Insert NAICS Code(s): and basic work description(s) associated with each code

DBE certification continues from the date of this letter, but is contingent upon the firm renewing its eligibility annually with our office. You will be notified in advance of your obligation to provide to our office a copy of your renewal documents. These documents are also available online at www.paucp.com

. However, the responsibility to assure continued certification is yours. Failure to continue your eligibility will result in immediate action to decertify the firm.

As long as your firm is listed in the PA UCP DBE Directory at www.paucp.com

, you are DBE

Certified in Pennsylvania. In order to maintain an accurate Directory, we are requesting that you make the PA UCP aware of any changes in your address, telephone number or specific geographical area where your firm is willing to perform work. If you wish to expand your status to include another type of business, you must contact the PA UCP for reevaluation prior to undertaking any projects as a DBE in the expanded area.

In the event of a change in circumstances affecting your ability to meet size, disadvantage, ownership, and control requirements of Part 26 or any material change in the information provided in your application form; you must inform the PA UCP by means of a Notice of

Change Affidavit describing in detail the nature of such changes. You must submit a Notice of

Change Affidavit (also available online) within 30 days of the occurrence of the change. Failure

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprises

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

to do so will be deemed a failure to cooperate. We would also remind you that the PA UCP reserves the right to review your firm at any time to ensure compliance with the program.

Supplier firms that wish to act as a regular dealer must be aware that regular dealer credit cannot be given for drop shipments.

Certified firms with a "trucking" classification must be aware that certain conditions must be met in order to be considered commercially useful. Foremost, the DBE trucking firm must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. The DBE trucking firm must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. For a full list of these conditions, consult Part 26.55 (d)(1) through (6) of the aforementioned regulations

We are pleased to have you as a Disadvantaged Business Enterprise and wish you success in acquiring work within the DBE program. If you have any questions, please contact (insert

relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

(Firm Name, Address)

RE:

Pennsylvania Unified Certification Program

DBE

Certification Approval DBE Certification # _____

Reassessment: ________ __, ___

DBE Certification Denial

The ________________________, a certifying participant in the Pennsylvania Unified

Certification Program (PA UCP), has reviewed your request for certification as a Disadvantaged

Business Enterprise (DBE) and is pleased to inform you that your firm appears to meet the requirements established by the United States Department of Transportation in Title 49, Part 26 of the Code of Federal Regulations. Consequently, your firm is now certified as a DBE to participate in the program in the following classification(s) only:

Insert - NAICS Code ______

Consistent with the federal regulation, your firm is certified for a three year period. Prior to your annual anniversary date of _________ __, ____ of each year, you will be required to complete an

“Affidavit of No Change”. This affidavit must affirm there have been no changes in your firm’s circumstances affecting its ability to meet Part 26 size, disadvantage, ownership, and control standards. Supporting documentation relative to your firm’s size (gross receipts and number of employees) will be required at that time.

If you wish to expand your status to include another type of business, you must contact the PA

UCP for reevaluation prior to undertaking any projects as a DBE in the expanded area.

Supplier firms that wish to act as a regular dealer must be aware that regular dealer credit cannot be given for drop shipments

Certified firms with a “trucking” classification must be aware that certain conditions must be met in order to be considered commercially useful. Foremost, the DBE trucking firm must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. The DBE trucking firm must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. For a full list of these conditions, consult Part 26.55 (d)(1) through (6) of the aforementioned regulations

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE

Program Office

In the event of a change in circumstances affecting your ability to meet size, disadvantage, ownership, and control requirements of Part 26 or any material change in the information provided in your application form; you must inform the PA UCP by means of a sworn affidavit by the owners, describing in detail the nature of such changes. You must provide this written

“Notice of Change” within 30 days of the occurrence of the change. Failure to do so will be deemed a failure to cooperate. We would also remind you that the PA UCP reserves the right to review your firm at any time to ensure compliance with the program.

Your firm will be included in our updated Directory which will indicate the type of work which your firm has been certified to perform. In order to maintain an accurate Directory, we are requesting that you make the PA UCP aware of any changes in your address, telephone number, or specific geographical area where your firm is willing to perform work.

We are pleased to have you as a Disadvantaged Business Enterprise and wish you success in acquiring work within the DBE program. If you have any questions, please contact (insert

relevant party, etc.)

The PA UCP, however, acting through _______________________, has concluded that your firm does not meet the standards for certification as a DBE in relation to

__________________________________, as set forth by Title 49, Part 26 of the Code of

Federal Regulations.

(Insert portions of the record evidence and the regulatory provisions used to render the

decision)

Consequently, you are hereby notified that your firm does not meet the qualifications for certification as a DBE in the area of __________________________. Therefore, your request for certification is hereby denied. This action does not affect your firm's ability to bid as a non-

DBE.

If, after careful review of the Code of Federal Regulations, you still disagree with this determination, you may submit a written request for a hearing with the PA UCP’s DBE

Certification Appeals Committee. In this request, you may, if you desire, refute any part of the denial; however, you must base any refutation on evidence that has already been made a part of our record. Submission of any new information may void your appeal request and may result in the need for a re-application. Any refutation you may wish to put forth must come with the appeal request, not under separate cover. Please forward any request for a personal appeal accompanied by your written documentation, if applicable, to (insert the name of the certifying

participant) with 30 days of this letter.

You may, if you so desire, dispense with your state-level appeal right, as described in the preceding paragraph, and appeal directly to the federal level by sending a written appeal request to the US DOT Office of Civil Rights, 1200 New Jersey Avenue, SE W-35, Washington, DC

20590, within 90 days of the date of this letter. You must include information and arguments concerning why the decision should be reversed. For a complete view of how to appeal to US

DOT, please be referred to 49 CFR 26.89.

Otherwise your firm and/or any company principals have the opportunity to re-apply for DBE status in this area after a period of six (6) months from the date of this letter.

Should you have any questions regarding the substance of the denial, please contact (insert

relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date Revised October 2007

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

DBE Certification Denial

Dear __________________:

The ___________________________, a certifying participant in the Pennsylvania Unified Certification

Program (UCP), has reviewed the application submitted by your firm. Upon a thorough review, the UCP has concluded that your firm does not meet the standards for certification as a Disadvantaged Business

Enterprise (DBE), as set forth by Title 49, Part 26 of the Code of Federal Regulations.

(Insert portions of the record evidence and the regulatory provisions used to render a decision)

Consequently, you are hereby notified that your firm does not meet the qualifications for certification as a

DBE. Therefore, your request for certification is hereby denied. This action does not affect your firm's ability to bid as a non-DBE.

If, after careful review of the Code of Federal Regulations, you still disagree with this determination, you may submit a written request for a hearing with the UCP’s DBE Certification Appeals Committee. In this request, you may, if you desire, refute any part of the denial; however, you must base any refutation on evidence that has already been made a part of our record. Submission of any new information may void your appeal request and may result in the need for a re-application. Any refutation you may wish to put forth must come with the appeal request, not under separate cover. Please forward any request for a personal appeal accompanied by your written documentation, if applicable, to (insert certifying

participant’s address/information), within 30 days of the date of this letter.

You may, if you so desire, dispense with your state-level appeal right, as described in the preceding paragraph, and appeal directly to the federal level by sending a written appeal request to the United States

Department of Transportation, Departmental Office of Civil Rights, 1200 New Jersey Avenue, SE W-35,

Washington, DC 20590, within 90 days of the date of this letter. You must include information and arguments concerning why the decision should be reversed. For a complete view of how to appeal to US

DOT, please be referred to 49 CFR 26.89.

Otherwise your firm and/or any company principals have the opportunity to re-apply for DBE status after a period of six (6) months from the date of this letter.

Should you have any questions regarding the substance of the denial, please contact (insert relevant party,

etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Other Procedures

Notice of Change Affidavit Process

During certification, a DBE is required to submit a Notice of Change Affidavit within 30 days of any change(s) in its circumstances affecting their ability to meet the eligibility standards of 49 CFR 26 regarding business size, personal net worth, disadvantaged status, ownership, or control. This Notice of Change Affidavit requires documentation describing the change(s) in detail. The Notice of Change Affidavit can be found at the paucp.com website or by contacting any certifying participant. The DBE must submit the

Notice of Change Affidavit to the originating CP unless requesting a transfer to another

CP.

The certifying participant will review the Notice of Change Affidavit, supporting documents, and may perform a supplementary investigation for continued eligibility.

If it is determined that there is no reason to remove the DBE’s eligibility, the certifying participant will send a letter of acknowledgement.

If it is determined that there is reasonable cause to believe that the firm is ineligible, the certifying participant will issue an appealable letter initiating the proceeding for removal of eligibility.

The shared database is then updated with the appropriate dates/information.

In addition, failure of a DBE to provide information within the period of time requested will be deemed a failure to cooperate within the meaning of 49 CFR Section 26.109.

Failure to cooperate with reasonable requests from the certifying participant constitutes a separate ground for removal of eligibility. The firm will be afforded notice and an opportunity to attend an informal hearing or submit written documentation addressing why it failed to cooperate consistent with 49 CFR Section 26.87

PA UCP-Change (February 2011)

PENNSYLVANIA UNIFIED CERTIFICATION PROGRAM

FOR

DISADVANTAGED BUSINESS ENTERPRISES

NOTICE OF CHANGE AFFIDAVIT

State/Commonwealth of ______________________)

County of ___________________) ss.

BEFORE ME, the undersigned authority, in and for the said State/Commonwealth and said County personally appeared _________________________________ who, after being sworn according to law, stated that he or she was authorized to represent ______________________________ and to execute this affidavit on behalf of the said firm and stated, under penalty of perjury that the following statements are true, correct, accurate and complete.

Changes have occurred in circumstances affecting my ability to meet the size, disadvantaged status, ownership, and/or control requirements of 49 CFR Part 23 and/or Part 26 or in material information provided in my last application.

Within the past 30 days changes have occurred to the:

1. Business size and overall gross receipts that cause the firm to exceed Small

Business Administration and Part 23 and/or Part 26 criteria?

Yes No

2. Personal net worth of an individual owner who

’s status was relied on for certification exceeds $1.32 million?

3.

Firm’s ownership (including changes in interests of existing owners and the addition or removal of owners)?

4. Officers and/or Directors of the firm?

5. Structure of business (i.e. proprietorship, llc, partnership, corporation)?

Yes

Yes

Yes

Yes

No

No

No

No

6. Out of state firms: Home state certification status?

Yes No

7. Other:_____________________________________________________

Yes No

Attach supporting documents regarding each change(s).

Further, the Affiant does covenant and agrees to provide directly to the Pennsylvania Unified Certification Program complete and accurate information regarding actual work performed on any federally-funded project, the payment therefore, any proposed changes, if any, of the foregoing arrangements, and to permit the Pennsylvania Unified

Certification Program to examine the books, records and files of the business.

The Affiant acknowledges that any distortion, false statements, or non-disclosure of information will be deemed to be a material misrepresentation and is subject to prosecution under both Federal and State Law.

(SIGNATURE OF AFFIANT) (DATE)

(SEAL)

(PRINTED NAME)

SWORN AND SUBSCRIBED BEFORE ME

THIS _____ DAY OF____________, 20____

(TITLE)

(COMPANY NAME)

(SIGNATURE OF NOTARY PUBLIC)

My Commission Expires:

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

Company Contact Name

Company Name

Company Address

RE: Pennsylvania Unified Certification Program

Notice of Change Affidavit

Certification Number: _

Revised February 2011

Dear ______________:

The (Certifying Participant) acknowledges receipt of your Notice of Change Affidavit and supporting documents.

A review of these documents indicates there are no apparent changes which impact your

DBE certification. Should this information change, you must inform (Certifying

Participant), in writing, within 30 days of the change. Depending on the nature of the change, you may be required to complete another Notice of Change Affidavit.

Please note you are required to submit an Annual Affidavit every year on the anniversary date of your initial certification. (Certifying Participant) will send you an affidavit approximately forty-five (45) days prior to that date.

We are pleased to have you as a DBE and wish you success in acquiring work within the

DBE program. If you have any questions, please contact (Certifying Participant

contact) at (Certifying Participant contact phone number).

Sincerely,

(CP Name)

(CP Title

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

Revised February 2011

(Firm Name, Address)

RE

:

Pennsylvania Unified Certification Program

Initiation of Proceeding to Remove DBE Eligibility

Dear _____________________:

The ___________________________, a certifying participant in the Pennsylvania

Unified Certification Program (UCP), has reviewed the affidavit submitted on behalf of your firm for continued eligibility. Upon review, the UCP has concluded that your firm does not meet the standards for continued certification as a Disadvantaged Business

Enterprise (DBE) as required by Title 49 Part 26 of the Code of Federal Regulations.

(Insert portions of the record evidence and the regulatory provisions used to render a decision)

Consequently, you are hereby notified that your firm does not meet the requirements for continued certification as a DBE.

If, after careful review of the US DOT Rules and Regulations, you still believe your firm should remain certified, you may submit a written request for a hearing with the UCP's

DBE Certification Appeals Committee. At this hearing you may respond to the reason(s) set forth in this letter regarding DBE eligibility as well as provide information and arguments concerning why your firm should remain certified. If you do not wish to attend a hearing you may submit a written response to the reason(s) set forth in this letter regarding DBE eligibility. Your written response should contain information and arguments concerning why your firm should remain certified. Please forward any request for a hearing accompanied by your written documentation, if applicable, to

(insert certifying participant contact information),

such that it is received

(count 30 days from date of

letter & insert that date.)

Should you have any questions regarding the substance of this matter, please contact

(insert relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Moving Pennsylvania forward and creating economic opportunities for all.

Date

(Firm Name, Address)

Re: Pennsylvania Unified Certification Program

Removal of Eligibility

Dear :

Certifying Participant

Address:

Phone:

Fax:

E-mail:

October 2007

This is to advise you of the Pennsylvania Unified Certification Program’s (PA

UCP) determination that (name of firm) is no longer eligible to participate in the

Disadvantaged Business Enterprise (DBE) Program. This action is being taken in accordance with 49 Code of Federal Regulations, Part 26, Section 26.87, which outlines procedures for removal of a DBE’s eligibility.

Consistent with Section 26.87 (d), the PA UCP offered (name of firm) the opportunity submit a written response to our letter dated _________, ____ or request an informal administrative hearing regarding your firm’s continued eligibility as a DBE.

Since (name of firm) failed to respond to our letter, the PA UCP deemed this to be a failure to cooperate under Section 26.109(c). This Section provides that all participants are required to cooperate fully and promptly and failure to do so can constitute an independent ground for removal of certification. Consequently, (name of firm) is no longer eligible to remain in the DBE Program and we have removed (name of firm) from the PA UCP list of certified DBEs.

(Name of firm) may appeal this determination to the United State Department of

Transportation, Departmental Office of Civil Rights, 1200 New Jersey Avenue, SE W-

35, Washington, DC 20590, within 90 days of the date of this letter. You must include information and arguments concerning why the decision should be reversed. For a complete view of how to appeal to US DOT, please be referred to 49 CFR 26.89. Please note that during the pendency of your appeal, the PA UCP’s disposition remains in effect.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

Disadvantaged Business

Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Withdrawal Process

If a firm wishes to withdraw their application, they must do so by submitting a letter to the CP on company letterhead.

Acknowledgment letter from the CP is then sent to the firm indicating they are being withdrawn from the PA UCP database.

The shared database is then updated with the appropriate dates/information.

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

Company Name

Company Address

RE: Pennsylvania Unified Certification Program

Certification Withdrawal

Certification Number:__________________ [if applicable]

Dear___________:

Revised October 2007

This letter will confirm receipt of your letter dated (insert date of letter), in which you have confirmed that you wish to have your DBE firm removed from the PA UCP directory and that you no longer wish to be certified as a DBE under the federal regulation set forth in 49 Code of

Federal Regulations Part ___ (fill in Part 23 or 26 or both if they apply).

This letter serves as notification that (insert firm name) has been removed from the

Pennsylvania Unified Certification Program (PA UCP) as requested.

If this was not the intent of the letter, please contact (insert contact name and phone number) immediately. If you wish to seek certification in the future, you may apply through any of the five (5) certifying agencies in Pennsylvania. You may find them listed on the PA UCP website at www.paucp.com

. We wish you continuing success in your business endeavors.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

City of Philadelphia

Philadelphia International Airport

Department of Minority, Women and Disadvantaged Business

Office Disadvantaged Business Enterprises Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program

Expansion Process

If a firm wishes to expand their certification codes prior to annual affidavit submission, the firm must request the expansion in writing to the originating CP.

The reviewer must complete the “Expansion Pre-interview and Review Format” document and “Expansion Interview and Review Format” document to determine eligibility of the requested expansion classification(s).

The shared database is then updated with the appropriate dates/information.

PA UCP Procedures Manual

Moving Pennsylvania forward and creating economic opportunities for all.

EXPANSION PRE-INTERVIEW and Review Format

PRE-INTERVIEW and Review Format for Firms Applying to the PA UCP for

EXPANSION Under 49 CFR Parts 23 and 26

Name of Firm:

Any time more space/explanation is required, so state and attach a lettered comment.

A. What is the additional DBE classification or product (if firm is already a supplier)?

B. Does the resume and/or information on file reflect that the disadvantaged owner has training, a license, experience, etc. with regard to #1? Explain, citing the owner’s name.

C. Does item A require special machinery, equipment, instruments, etc.? Explain:

D. Other:

Not for public distribution. For internal use only

Moving Pennsylvania forward and creating economic opportunities for all.

EXPANSION INTERVIEW and Review Format

INTERVIEW and Review Format for Firms Applying to the PA UCP for

EXPANSION Under 49 CFR Parts 23 and 26

Name of Firm:

If an item is not applicable or more space/explanation is required, so state and attach a numbered comment with any necessary referenced labeled documentation, keeping in mind this format does not prohibit follow-up or tailor-made questions. The italicized items require the

interviewer’s input.

On-site By Phone Other Interview done

Provide details:

1.

What education, credentials, and/or experience do you have to undertake this additional

DBE classification or product expansion?

2.

What documentation can you offer?

3.

What will your role be?

4.

What will you delegate and to whom?

5.

What decisions can your delegate(s) make on his/her own and what must he/she clear with you first?

6.

Is delegated authority revocable? Explain:

7.

Do you have the power to hire/fire those to whom authority is delegated? Explain:

Revised 09-15-06

Interview for Expansion

Page 1 of 3

8.

How have you obtained the special machinery, equipment, instruments, etc. needed?

9.

How long has this firm performed this type of work?

10.

[If a visit is made] May I see the files to the 3 largest contracts/subcontracts that your firm is either working on or has completed in this new area? Review these, asking any

necessary questions, and report your results here.

11.

How do you handle each new product from acquisition through sale?

12.

May I see some documentation on the purchasing end and on the selling end of the new product(s) you would like to supply? Affix as Attachment ____ and explain what the

documentation reveals about the crediting potential.

13.

[If a visit is made] May I see your inventory of this product(s)? Report results here.

14.

Is the inventory in space the firm owns or leases? May I see the lease and evidence of payment?

15.

If you do any independent verification pertaining to this matter such as contacting outside parties and/or doing a job site visit, state your results here.

Revised 09-15-06

Interview for Expansion

Page 2 of 3

RECOMMENDATION

Expand into

Deny expansion

Other

Explain recommendation:

Interviewer/Reviewer:

Interviewee(s):

Place of Interview:

Date of Interview:

Not for public distribution. For internal use only.

Revised 09-15-06

Interview for Expansion

Page 3 of 3

ANNUAL AFFIDAVIT PROCESS

Annual Affidavit Procedures/ Process

Approximately 60 days prior to the DBE’s anniversary date, the DBE will be sent a letter requesting an annual affidavit to be completed and returned to the certifying participant within 30 days. If that timeline passes and nothing is received, a second appealable letter will be sent stating that the PA UCP proposes to remove the firm’s eligibility for failure to cooperate with the certification process in accordance with 49 CFR Section

26.109. The letter also states that a timely response (30 days) will stay the PA UCP’s decision to remove the firm’s eligibility. If there is no response to the second letter, a third letter will be sent stating the DBE’s eligibility has been removed for failing to cooperate and this decision may be appealed to US DOT .

In accordance with the regulation, the PA UCP will not treat the applicant as it would a new applicant.

The applicant does not bear the burden of proving its eligibility like a new applicant. The certifying participant may not necessarily take all the steps prescribed for certification applicants by 49 CFR. Section 26.83 (c)(1)-(7), e.g. the performance of an on-site visit and job site visit. These visits will be performed any time there is reason to believe that a firm may no longer be eligible to participate in the DBE program.

In addition, failure of a DBE to provide information within the period of time requested will be deemed lack of cooperation within the meaning provided in 49 CFR Section

26.109. Failure to cooperate with reasonable requests from the certifying participant constitutes a separate ground for removal of eligibility. The firm will be afforded notice and an opportunity to attend an informal hearing or submit written documentation addressing why it failed to cooperate consistent with 49 CFR Section 26.87.

The certifying participant will conduct a business size analysis, review the Affidavit of Certification

and questions asked on the form, other factors that may be relevant, and may perform a supplementary investigation for continued eligibility.

If it is determined that there is no reason to remove the DBE’s eligibility, the certifying participant will send a letter of continued eligibility.

If it is determined that there is reasonable cause to believe that the firm is ineligible, the certifying participant will issue a

detailed appealable letter initiating the proceeding for removal of eligibility.

The certifying participants will make every attempt to handle annual affidavits in an expeditious manner and ensure that the most active firms are given due consideration in a timely manner.

Letters for Certified Firms #14

Moving Pennsylvania forward and creating economic opportunities for all.

Certifying Participant

Address:

Phone:

Fax:

E-mail:

DBE ANNUAL AFFIDAVIT

Please complete the following information, sign, notarize and return to the address above along with most recent federal tax return(s) for the DBE firm and any affiliate firms.

Contact person and Title:

Federal Tax ID:

Legal name of firm:

Phone #: Other Phone #: Fax #:

E-mail:

Street address of firm (No P.O. Box): City:

(7) Website

(if have one

):

County/Parish: State: Zip:

Mailing address of firm (if different): City: County/Parish: State: Zip:

Type of firm (check all that apply):

Sole Proprietorship

Partnership

Corporation

Limited Liability Partnership

Limited Liability Company

Joint Venture

ACDBE

Other, Describe:_______________________________

Number of employees:

Full time:________ Part time:________ Temporary:________ = Total:________

Out of State Firms

• Is the firm currently certified in your home state? Yes No o

If yes, when was the latest on-site conducted? _______________

(please include copy of certification letter/certificate if possible)

o

If no, when was your firm’s DBE status removed? _______________

(please include copy of removal of eligibility letter)

PAUCP rev. 11/2014

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Owners/Shareholders, Officers or Board of Directors

• Since your last submission, have there been any changes to the firm’s owners/shareholders, officers or board of directors?

Yes No

• Do any of the firm’s current owners/shareholders, officers or board of directors perform a management/supervisory function or have ownership in any other firm(s)?

Yes No

• Since your last submission, have there been any changes to the disadvantaged owner(s) responsibilities within the firm?

Yes No

• Since your last submission, have you or any owners/shareholders sold or transferred any interest in the business?

Yes No

Personal Net Worth (PNW)

• Since your last submission, has the disadvantaged owner(s) acquired any new real estate?

Yes No

• Since your last submission, have there been changes to the PNW of the disadvantaged owner(s)?

Yes No

• Is the PNW of the disadvantaged owner(s) equal to or less than $1,320,000?

Yes No

• Since your last submission, have there been any contributions or transfers of assets to/from your firm and to/from any of its owners?

Yes No

Trucking Firms

• Since your last submission, has the firm acquired or sold any trucks?

Yes No

Business Activities

• Since your last submission, has your firm begun to work in any new areas and/or provided new services or supplies?

Yes No o

If yes, please provide a description and NAICS code(s) below and attach any documentation to support your claim (i.e. contracts, invoices, etc.)

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

PLEASE NOTE: You cannot submit the affidavit of no change if, this year, there have been any change in circumstances affecting your ability to meet the size, disadvantaged status, ownership, or control requirements of the DBE program or any material change in the information provided in your application form that you have not yet reported to the PA UCP, as required by 49 C.F.R. 26.83(i). If such a change has occurred, you must submit to us immediately a separate notice in the form of an affidavit concerning that change.

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AFFIDAVIT OF CERTIFICATION

This form must be signed and notarized for each owner upon which disadvantaged status is relied.

A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH THIS ANNUAL AFFIDAVIT IS

SUFFICIENT CAUSE FOR REVOCATION OF A PRIOR APPROVAL, INITIATION OF SUSPENSION OR DEBARMENT

PROCEEDINGS, AND MAY SUBJECT THE PERSON AND/OR ENTITY MAKING THE FALSE STATEMENT TO ANY

AND ALL CIVIL AND CRIMINAL PENALTIES AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE

LAW.

State/Commonwealth of )

County of ) ss.

Before me, the undersigned notary public, this day, personally, appeared ___________________________ to me known, who being duly sworn according to law, deposes the following:

I certify that I, ____________________, am a socially and economically disadvantaged who is the owner/coowner of ______________________ (hereinafter “company”). As such, I acknowledge and agree that any misrepresentations in this annual affidavit or in records pertaining to a contract or subcontract will be grounds for terminating any contract or subcontract which may be awarded; denial or revocation of certification; suspension and debarment; and for initiating action under federal and/or state law concerning false statement, fraud or other applicable offenses.

I affirm that there have been no changes in circumstances affecting the company’s ability to meet size, disadvantaged status, ownership, and/or control requirements of Part 26 nor have there been any material changes in the information provided in the company’s application form, except for changes about which I have notified the recipient under 49 CFR 26.83(i).

I further affirm that my company continues to meet the Small Business Administration size criteria and the overall gross receipts cap of Part 26.

I further certify that my personal net worth does not exceed $1,320,000.

I further certify that the attached Federal Business tax return for the company and/or affiliate firms, signed

_________________, 20____ is the company’s most recent submission and is a true, correct and complete copy of the original.

I acknowledge that any distortion, false statements, or non-disclosure of information will be deemed to be a material misrepresentation and is subject to prosecution under both Federal and State Law.

(SIGNATURE OF AFFIANT) (DATE)

(SEAL)

(PRINTED NAME)

SWORN AND SUBSCRIBED BEFORE ME

THIS DAY OF_ _, 20

(TITLE)

(COMPANY NAME)

(SIGNATURE OF NOTARY PUBLIC)

My Commission Expires:

Desired Work Location

Please indicate the County(ies) to denote the geographical area of the Commonwealth where you would consider doing work.

[ ] STATEWIDE

[ ] Adams

[ ] Allegheny

[ ] Cambria

[ ] Cameron

[ ] Armstrong [ ] Carbon

[ ] Beaver [ ] Centre

[ ] Bedford

[ ] Berks

[ ] Blair

[ ] Bradford

[ ] Bucks

[ ] Butler

[ ] Chester

[ ] Clarion

[ ] Clearfield

[ ] Clinton

[ ] Columbia

[ ] Crawford

[ ] Cumberland [ ] Huntingdon [ ] Lycoming

[ ] Dauphin

[ ] Delaware

[ ] Elk

[ ] Erie

[ ] Fayette

[ ] Forest

[ ] Franklin

[ ] Indiana

[ ] Jefferson

[ ] Juniata

[ ] McKean

[ ] Mercer

[ ] Mifflin

[ ] Lackawanna [ ] Monroe

[ ] Lancaster

[ ] Lawrence

[ ] Lebanon

[ ] Philadelphia [ ] Venango

[ ] Pike [ ] Warren

[ ] Potter

[ ] Schuylkill

[ ] Washington

[ ] Wayne

[ ] Montgomery [ ] Somerset

[ ] Montour

[ ] Snyder

[ ] Sullivan

[ ] Northampton [ ] Susquehanna

[ ] Westmoreland

[ ] Wyoming

[ ] York

[ ] Fulton

[ ] Greene

[ ] Lehigh

[ ] Luzerne

[ ] Northumber’d [ ] Tioga

[ ] Perry [ ] Union

County Map of Pennsylvania

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Annual Affidavit Notification

Revised Feb 2011

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Request for Annual Affidavit Information

Dear _________________:

This is to inform you that your Pennsylvania Unified Certification Program (PA UCP)

Disadvantaged Business Enterprise (DBE) Certification anniversary date is in the month of

_______. In order to continue your DBE eligibility, you must submit the attached DBE Annual

Affidavit along with the required attachments by __MM/DD/YYYY__.

The affidavit must be completed in its entirety. Please be sure to review the DBE Annual

Affidavit Supporting Documents Checklist. The required information should be sent to CP

Name and Address.

Your failure to submit this information by __MM/DD/YYYY__ will be deemed a failure to cooperate under 49 CFR 26, Section 109(c). Your firm will be afforded the opportunity to appeal this decision in accordance with 49 CFR 26, Section 26.87.

Upon receipt and review of your Annual Affidavit, CP Name will notify you regarding your continued eligibility. Should you have any questions regarding this matter, please contact CP

Name and Contact Info.

Sincerely,

(CP Name, title)

Attachment

Certifying Participants

Allegheny County

City of Philadelphia

Philadelphia International Airport

Department of Minority, Women and Disadvantaged Business

Office Disadvantaged Business Enterprises Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

This Letter Should Be Sent By: “Certified Mail”

Annual Affidavit 2 nd

notice – Final request for additional info

(February 2011)

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Annual Affidavit 2 nd

request

Dear:

This is a follow-up to our letter dated ______________ informing you to submit an “Annual

Affidavit” as required by 49 CFR 26, Section 26.83. As of this writing, our records indicate you did not respond to this requirement; therefore, we must deem this a failure to cooperate with the certification process in accordance with Section 26.109(c).

In order to remain certified, you must submit the required information to (CP name and

address) by ______________. Your timely response will stay the decision to remove your firm’s eligibility for failure to cooperate.

However, your failure to respond to the above will result in your DBE eligibility being removed for failure to cooperate with the certification process. In accordance with Section 26.87, you have the right to appeal the decision. If you choose to appeal this decision to remove your firm’s eligibility for failing to cooperate, you must submit a written request for a hearing by

_____________.

Your failure to submit the required information or request a hearing will result in your firm being ineligible to reapply for DBE certification for a period of six (6) months.

Should you have any questions regarding this matter, please contact (CP name and telephone

number).

Sincerely,

(CP Name)

(CP Title)

Attachments

Certifying Participants

Allegheny County

City of Philadelphia

Philadelphia International Airport

Department of Minority, Women and Disadvantaged Business

Office Disadvantaged Business Enterprises Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

This Letter Should Be Sent By: “Certified Mail”

Date

Revised October 2007

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Removal of DBE firm’s Eligibility

Dear:

This is to advise you of the Pennsylvania Unified Certification Program’s (PA UCP) determination that your firm is no longer eligible to participate in the Disadvantaged Business

Enterprise (DBE) program. This action is being taken in accordance with 49 CFR 26, Section

26.87, which outlines procedures for removal of a DBE firm’s eligibility.

Prior to taking this action, the PA UCP afforded your firm at least two opportunities to provide information deemed necessary to determine your continued eligibility as a DBE. Since your firm failed to respond to either the informational request or an informal hearing, the PA UCP deemed this to be a failure to cooperate under Section 26.109(c). This Section provides that the failure to respond to requests for information constitutes an independent ground for removal of certification.

Consistent with Section 26.87 of Part 26, the PA UCP offered your firm the opportunity for an informal hearing. Since your firm did not respond, the PA UCP has concluded that your firm is no longer eligible to remain in the DBE program and must be removed from the PA UCP list of certified DBEs. You have the opportunity to reapply for DBE certification after a period of six

(6) months from the date of this letter.

You may appeal this determination to the United States Department of Transportation,

Departmental Office of Civil Rights, 1200 New Jersey Avenue, SE W-35, Washington, DC

20590, within 90 days of the date of this letter. You must include information and arguments concerning why the decision should be reversed. For a complete view of how to appeal to US

DOT, please be referred to 49 CFR 26.89. Please note that during the pendency of your appeal, the PA UCP’s disposition remains in effect.

Sincerely,

(CP Name)

(CP Title)

Certifying Participants

Allegheny County

City of Philadelphia

Philadelphia International Airport

Department of Minority, Women and Disadvantaged Business

Office Disadvantaged Business Enterprises Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program

Moving Pennsylvania forward and creating economic opportunities for all.

CONTINUED ELIGIBILITY PRE-INTERVIEW and Review Format

PRE-INTERVIEW and Review Format for Firms Applying to the PA UCP for CONTINUED

ELIGIBILITY Under 49 CFR Parts 23 and 26

Name of Firm:

When going through this format, check off as appropriate. Any time more explanation is required than asked for herein so state and attach a lettered comment with any necessary referenced and labeled documentation.

A. The body of the Recertification Affidavit is complete.

B. All applicable attachments are there.

C. Firm appears to be small based on the receipts of the latest tax return when taken with the 2 previous returns

(Attach your calculations if need be.)

Explain:

D. What is the personal net worth (PNW) of the individual(s) making up the disadvantaged ownership? $

(PNW is figured according to 49 CFR 26.67 which excludes interest in applicant firm & equity in primary residence; attach your calculations if need be.)

E. What, if any, changes seem to have occurred in the firm’s type of ownership, type of work, structure, operation, loans/investments, and/or documents?

F. What, if any, additional information should be gathered about changes noted in item E?

Revised 09-15-06

Pre-Interview format for

Continued Eligibility page 1 of 2

G. Other:

IF THERE ARE, AT THIS POINT, FINDINGS THAT POINT TO A SITUATION WHERE A

THRESHOLD REQUIREMENT(S)* MAY NOT BE MET, DO ANY OTHER NECESSARY

WORK TO ESTABLISH THAT, IF NEED BE, AND SUBMIT THIS PRE-INTERVIEW

FORMAT AND ACCOMPANYING WORK TO YOUR SUPERVISOR, COVERED BY A

MEMO EXPLAINING HOW A DENIAL RECOMMENATION IS IN ORDER.

*Being for profit, small, having at least 51% ownership by disadvantaged people ($1.32M PNW maximum) who are U.S. citizens or permanent residents are threshold requirements. (Keep in mind in regard to size, if on the face of it the firm appears too big, you will have to explore with the applicant any exclusions and/or get more background on number of employees before you can definitively say a firm is not small. Related internal size forms will have to be part of your submission to your supervisor.)

Not for public distribution. For internal use only

Revised 09-15-06

Pre-Interview format for

Continued Eligibility page 2 of 2

Moving Pennsylvania forward and creating economic opportunities for all.

CONTINUED ELIGIBILITY INTERVIEW and Review Format

INTERVIEW and Review Format for Firms Applying to the PA UCP for CONTINUED

ELIGIBILITY Under 49 CFR Parts 23 and 26

Name of Firm:

If an item is not applicable or more space/explanation is required, so state and attach a numbered comment with any necessary referenced labeled documentation, keeping in mind this format does not prohibit follow-up or tailor-made questions. The italicized items require the

interviewer’s input.

Interview done

Provide details:

1.

On-site By Phone Other

Discuss with and gather from the disadvantaged owner information and documentation about changes which seem to have occurred in the firm’s type of ownership, type of work, structure, operation, loans/investments, and/or documents.

1

Note results below.

2.

[If a visit is made] May I see the files to the 3 largest contracts/subcontracts that your firm is either working on or has completed? Review these, asking necessary questions,

and report your results here:

3.

If a job site visit was made, set forth any details here:

1

Refer to items E & F of the pre-interview format.

Revised 09-15-06

Interview for Continued Eligibility

Page 1 of 2

RECOMMENDATION

Recertify as _________________________________________________

Issue Reasonable Cause letter

Other

Explain recommendation:

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Interviewer/Reviewer: ___________________________________________________________

Interviewee(s):_________________________________________________________________

Place of Interview: ______________________________________________________________

Date of Interview: ______________________________________________________________

Not for public distribution. For internal use only.

Revised 09-15-06

Interview for Continued Eligibility

Page 2 of 2

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

(Firm Name, Address)

RE:

Pennsylvania Unified Certification Program

DBE Certification Continued Eligibility

DBE Certification #

Anniversary Date - Annually, on:

Attention:

The Pennsylvania Department of Transportation (PennDOT), a certifying participant in the

Pennsylvania Unified Certification Program (PA UCP), has reviewed your Annual Affidavit as a

Disadvantaged Business Enterprise (DBE) and is pleased to inform you that your firm appears to meet the requirements established by the United States Department of Transportation in Title 49,

Part 26 of the Code of Federal Regulations. Consequently, your firm can continue as a DBE to participate in the program in the following classification(s) only:

(Insert approved NAICS codes)

DBE certification continues from the date of this letter, but is contingent upon the firm renewing its eligibility annually with our office. You will be notified in advance of your obligation to provide to our office a copy of your renewal documents. These documents are also available online at www.paucp.com

. However, the responsibility to assure continued certification is yours. Failure to continue your eligibility will result in immediate action to decertify the firm.

As long as your firm is listed in the PA UCP DBE Directory at www.paucp.com

, you are DBE certified in Pennsylvania. In order to maintain an accurate Directory, we are requesting that you make the PA UCP aware of any changes in your address, telephone number or specific geographical area where your firm is willing to perform work. If you wish to expand your status to include another type of business, you must contact the PA UCP for reevaluation prior to undertaking any projects as a DBE in the expanded area.

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprises

City of Philadelphia

Philadelphia International Airport

DBE Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

In the event of a change in circumstances affecting your ability to meet size, disadvantage, ownership, and control requirements of Part 26 or any material change in the information provided in your application form; you must inform the PA UCP by means of a Notice of

Change Affidavit describing in detail the nature of such changes. You must submit a Notice of

Change Affidavit (also available online) within 30 days of the occurrence of the change. Failure to do so will be deemed a failure to cooperate. We would also remind you that the PA UCP reserves the right to review your firm at any time to ensure compliance with the program.

Supplier firms that wish to act as a regular dealer must be aware that regular dealer credit cannot be given for drop shipments.

Certified firms with a "trucking" classification must be aware that certain conditions must be met in order to be considered commercially useful. Foremost, the DBE trucking firm must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. The DBE trucking firm must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. For a full list of these conditions, consult Part 26.55 (d)(1) through (6) of the aforementioned regulations.

We are pleased to continue to have you as a Disadvantaged Business Enterprise and wish you continued success in acquiring work within the DBE program. If you have any questions, please contact my office at 717-787-5891 or 1-800-468-4201.

Sincerely,

(CP Name, Title)

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Date

(Firm Name, Address)

RE: Pennsylvania Unified Certification Program

Continued Eligibility for ________________

DBE Certification # _____ Reassessment: _________ __, ____

Removal of Eligibility for _______________________

Dear _________:

The _________________________, a certifying participant in the Pennsylvania Unified

Certification Program (PA UCP), has reviewed your request for recertification as a

Disadvantaged Business Enterprise (DBE) and is pleased to inform you that your firm appears to meet the requirements established by the United States Department of Transportation in Title 49,

Part 26 of the Code of Federal Regulations. Consequently, your firm can continue as a DBE to participate in the program in the following classification(s) only:

Insert – NAICS Code _____

If you wish to expand your status to include another type of business, you must contact the PA

UCP for reevaluation prior to undertaking any projects as a DBE in the expanded area.

In the event of a change in circumstances affecting your ability to meet size, disadvantage, ownership, and control requirements of Part 26 or any material change in the information provided; you must inform the PA UCP by means of a sworn affidavit by the owners, describing in detail the nature of such changes. You must provide this written “Notice of Change” within

30 days of the occurrence of the change. Failure to do so will be deemed a failure to cooperate.

We would also remind you that the PA UCP reserves the right to review your firm at any time to ensure compliance with the program.

We are pleased to continue to have you as a Disadvantaged Business Enterprise and wish you continued success in acquiring work within the DBE program. If you have any questions, please contact (insert relevant party, etc).

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

DBE Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE

Program Office

The PA UCP, however, acting through _______________________, has concluded that your firm does not meet the standards for continued eligibility as a DBE in relation to

__________________________________, as set forth by Title 49, Part 26 of the Code of

Federal Regulations.

(Insert portions of the record evidence and the regulatory provisions used to render the decision)

Consequently, you are hereby notified that your firm does not meet the qualifications for continued certification as a DBE in the area of ____________________.

If, after careful review of the US DOT Rules and Regulations, you still believe your firm should remain certified in __________________________, you may submit a written request for a hearing with the PA UCP’s DBE Certification Appeals Committee. At this hearing you may respond to the reason(s) set forth in this letter regarding DBE ineligibility as well as provide information and arguments concerning why your firm should remain certified in

__________________________________. Please forward any request for a hearing accompanied by your written documentation, if applicable, to (insert the name of the certifying

participant), such that it is received by (insert date – 30 days from date of letter).

Otherwise your firm and/or any company principals have the opportunity to re-apply for DBE status in the area of ___________________________after a period of six (6) months from the date of this letter.

Your failure to contest the finding of ineligibility for _______________________ will not jeopardize your firm’s DBE status in the area of ___________________.

Should you have any questions regarding the substance of the ineligibility finding, please contact

(insert relevant party, etc.)

Sincerely,

(CP Name)

(CP Title)

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

This Letter Should Be Sent By: “Certified Mail”

Reasonable Cause Letter

Date

(Firm Name, Address)

Revised October 2007

RE

:

Pennsylvania Unified Certification Program

Initiation of Proceeding to Remove DBE Eligibility

Dear _____________________:

The ___________________________, a certifying participant in the Pennsylvania Unified

Certification Program (UCP), has reviewed the application submitted on behalf of your firm for recertification. Upon review, the UCP has concluded that your firm does not meet the standards for continued certification as a Disadvantaged Business Enterprise (DBE) as required by Title 49

Part 26 of the Code of Federal Regulations.

(Insert portions of the record evidence and the regulatory provisions used to render a decision)

Consequently, you are hereby notified that your firm does not meet the qualifications for continued certification as a DBE.

If, after careful review of the US DOT Rules and Regulations, you still believe your firm should remain certified, you may submit a written request for a hearing with the UCP's DBE

Certification Appeals Committee. At this hearing you may respond to the reason(s) set forth in this letter regarding DBE eligibility as well as provide information and arguments concerning why your firm should remain certified. If you do not wish to attend a hearing you may submit a written response to the reason(s) set forth in this letter regarding DBE eligibility. Your written response should contain information and arguments concerning why your firm should remain certified. Please forward any request for a hearing accompanied by your written documentation, if applicable, to

(insert certifying participant contact information),

such that it is received

(count 30 days

from date of letter & insert that date.)

Should you have any questions regarding the substance of this matter, please contact (insert

relevant party, etc.)

Sincerely,

(CP Name, title)

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

DBE Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE

Program Office

Moving Pennsylvania forward and creating economic opportunities for all.

Date

DBE did not submit a written response or request for hearing

Certifying Participant

Address:

Phone:

Fax:

E-mail:

October 2007

Re: Pennsylvania Unified Certification Program

Removal of Eligibility

Dear :

This is to advise you of the Pennsylvania Unified Certification Program’s (PA UCP) determination that (name of firm) is no longer eligible to participate in the Disadvantaged

Business Enterprise (DBE) Program. This action is being taken in accordance with 49 Code of

Federal Regulations, Part 26, Section 26.87, which outlines procedures for removal of a DBE’s eligibility.

Consistent with Section 26.87 (d), the PA UCP offered (name of firm) the opportunity submit a written response to our letter dated _________, ____ or request an informal administrative hearing regarding your firm’s continued eligibility as a DBE. Since (name of firm) failed to respond to our letter, the PA UCP deemed this to be a failure to cooperate under

Section 26.109(c). This Section provides that all participants are required to cooperate fully and promptly and failure to do so can constitute an independent ground for removal of certification.

Consequently, (name of firm) is no longer eligible to remain in the DBE Program and we have removed (name of firm) from the PA UCP list of certified DBEs.

(Name of firm) may appeal this determination to the United State Department of

Transportation, Departmental Office of Civil Rights, 1200 New Jersey Avenue, SE W-35,

Washington, DC 20590, within 90 days of the date of this letter. You must include information and arguments concerning why the decision should be reversed. For a complete view of how to appeal to US DOT, please be referred to 49 CFR 26.89. Please note that during the pendency of your appeal, the PA UCP’s disposition remains in effect.

Sincerely,

Certifying Participants

Allegheny County

Department of Minority, Women and

Disadvantaged Business Enterprise

City of Philadelphia

Philadelphia International Airport

DBE Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE

Program Office

APPEAL PROCESS

Purpose:

The Pennsylvania Unified Certification Program (PA UCP) Disadvantaged Business

Enterprise (DBE) Certification Appeals Committee (Committee) entertains appeals concerning the denial of certification and appeals concerning the removal of eligibility by any of its Certifying Participants (CP). In accordance with the certification standards and procedures of 49 Code of Federal Regulations (C.F.R.), Part 23 (Part 23) and 26

(Part 26), the PA UCP affords firms denied certification or facing the removal of eligibility an administrative due process hearing in a manner consistent with state law.

The Committee will act on behalf of the entire PA UCP and all PA UCP members will honor its determinations.

Composition:

The Committee is comprised of nine (9) voting members representing each of the nine

(9) organizations in the PA UCP Oversight Committee. One of the nine (9) voting members will serve as Chairperson for a two-year term. A two-year term is necessary to ensure continuity of leadership. All Committee voting members will be appointed for a one-year term by their respective organizations. All Voting Members will be responsible for designating an alternate who can attend the scheduled hearing in their absence. Advisers are available to the Committee on an as-needed basis, including a legal adviser on a rotational basis.

Training:

The PA UCP Oversight Committee is responsible for ensuring that proper training and support is provided to the Committee.

Operating Procedures:

Any firm aggrieved by a denial or removal of eligibility decision will be afforded the opportunity to file an appeal with the Committee. However, consistent with institutional guidance an aggrieved firm will be informed that it does not forfeit the right to take an appeal to US DOT if it first elects to appeal to the Committee. The firm will also be informed that the ninety (90) day appeal right to US DOT set forth in Section 26.89(c) does not start to run until a final decision has been rendered by the Committee. A decision will be deemed final when the firm is advised of the determination in a written letter detailing the Committee’s findings and the portions of the record evidence that supported each finding. This letter shall provide the address and time frame for taking an appeal to US DOT. Firms that elect to file an appeal with the Committee as the result of an initial denial decision or removal of eligibility will be given thirty (30) calendar days to do so. Appellants must state their intention and reason(s) for the appeal in writing to the CP that issued the denial or recommended removal of eligibility. That CP will be responsible for notifying the Chairperson of the request so that the firm may be

placed on the agenda. The appellant’s letter will be acknowledged by a notice from the

Committee informing them as to the date, location, and time for the hearing.

The Committee will conduct its regularly scheduled hearings in Harrisburg,

Pennsylvania, at the headquarters of the Pennsylvania Department of Transportation or the Pennsylvania Turnpike Commission. Each proceeding will last approximately sixty

(60) minutes. In the event that there are extenuating circumstances, the Committee may afford the appellant additional time.

If an appellant is unable to attend the scheduled meeting, he or she must submit a written explanation and justification for his or her inability to attend the meeting. The

DBE regulation set forth in 49 CFR Part 26 requires that appeals for removal of eligibility be heard as soon as possible and does not afford the Committee the discretion to continue a proceeding over an extended period of time. In addition, Part 26 also allows an appellant to present information and arguments in writing in lieu of a hearing.

Therefore, while the Committee will review and evaluate every request on a case-bycase basis, it will be unable to grant a continuance in the absence of compelling circumstances.

During each hearing, a presenter from the CP that made the denial determination or removal of eligibility will make a brief presentation outlining the reasons for a given determination. The presenter will be given up to fifteen (15) minutes to make this presentation. The presenter will originate from the CP that made the determination but will not be able to vote or participate in any deliberations at the conclusion of the proceeding.

Following this, the appellant will be given up to fifteen (15) minutes to present its position. Absent a compelling reason, the Committee will consider all record evidence but will not consider new information provided at the time of the proceeding.

Following both presentations, the Committee members will be given up to fifteen (15) minutes to seek clarification relating to any points addressed in either presentation. The proceeding will then adjourn and the Committee members will be given up to fifteen (15) minutes to deliberate and make a determination as to the firm’s eligibility.

Special Procedures for Removal of Eligibility Proceedings:

Consistent with Section 26.87 of Part 26, firms recommended for denial of recertification or subject to removal of eligibility for any reason will be afforded the opportunity to participate in an informal administrative due process hearing. A stenographer will be present and a verbatim transcript will be made. The hearing will be conducted in a similar fashion to the initial denial proceedings with the addition of the stenographer and the transcript. Firms wishing to obtain copies of the transcript will be asked to contact the CP that generated the proceeding. Section 26.87 hearings will be conducted during regularly scheduled hearings. However, a special hearing may be convened on an as-

needed basis and in the event of a conflict of interest involving any Committee members or other circumstances.

A proceeding to remove eligibility may be based upon a written complaint that satisfies the specificity requirements of Part 26. US DOT, a certifying member, or any third party may initiate a proceeding. Consistent with Part 26, the Committee will not accept a general allegation or an anonymous complaint.

Consistent with Section 26.109(b), the Committee will keep the identity of a given complainant confidential at the election of the complainant. If such confidentiality will hinder an investigation or result in a denial of administrative due process to other parties, the Committee will advise the complainant of the need to waive this privilege.

Consistent with Section 26.87 of Part 26, the Committee is obligated to ensure that the separation of functions component of an ineligibility proceeding is honored. To this end, every voting member involved in the removal of eligibility proceeding will originate from an office or personnel that did not take part in any action leading to or seeking to implement the removal of eligibility and does not take direction from an office or personnel involved in the initial action that gave rise to the proceeding. Potential conflicts of interest will be anticipated and addressed either by the Committee directly or, upon request by the Committee Chairperson, by the Oversight Committee.

In a Section 26.87 hearing, the firm will be afforded the opportunity to advance arguments against the ineligibility determination and to respond to determinations made by the initiating complainant. Consistent with Section 26.87, a DBE firm will retain its certification status during the pendency of any ineligibility proceeding.

Internal Procedures:

The Committee Chairperson will be responsible for scheduling the hearings and for generating an agenda. The hearing dates will be scheduled in advance. A minimum of two (2) firms should be on the agenda in order to convene a hearing. The starting time of the hearing will be at the discretion of the Chairperson. Appeals must be received at least thirty (30) days prior to the next scheduled hearing in order to be placed on the agenda. The individual presenter will be responsible for generating a background package and for submitting this package to each Committee members no later than ten

(10) days prior to the scheduled hearing. This packet will be limited to relevant record evidence and a two-page maximum executive summary.

Committee Dispositions:

Five (5) voting members constitute a quorum. The Committee will meet in an executive session to make a determination following each appeal. Non-legal advisers will be excused from these sessions. The decision to certify or deny will be by a majority vote.

In the event of a tie vote, the Chairperson’s vote will dictate the outcome of the appeal.

The Chairperson of the Committee will be responsible for generating a letter relative to all Committee dispositions. In the event that a denial or removal of eligibility is upheld, the firm will be provided with a letter delineating the reasons for the denial or removal of eligibility under Part 26 and relating the portions of the record evidence that gave rise to the determination. The firm will be advised of its right to initiate an appeal with US DOT.

In the event that a firm is granted certification or is adjudged to be qualified to remain in the program, a letter informing the firm of Committee’s decision will be sent and also indicate that a follow-up letter will be sent by the certifying participant that currently retains the file. The follow up letter to the firm will include all necessary details relative to DBE certification (e.g. certification number, anniversary date, the type(s) of work the firm can perform in the program, etc.).

The Committee will entertain appeals brought by an initial applicant or a DBE facing a removal of eligibility. In either instance, the provisions of Part 26, Subparts D and E will be applied uniformly by the Committee in making a disposition.

Ineligibility decisions will be based upon the criteria set forth in Part 26, Subparts D and

E including changes in the firm’s circumstances that render it ineligible; information that was not available at the time of the initial certification; a change in the certification standards since the firm was certified; or a documented finding that the certification was factually erroneous. Following an ineligibility proceeding and decision, the Chairperson of the Committee will generate a written notice of the decision setting forth the reasons for the decision and the portions of the record evidence that gave rise to each and every conclusion. The complainant or the concerned operating administration of US DOT will also be provided with this notice. The Chairperson will also advise the firm of its appeal rights to US DOT once the Committee has made an administratively final determination.

The appellant will be notified in writing of the determination of the Committee within fifteen (15) days following the hearing or proceeding. If the firm receives a favorable determination, a follow-up letter will be sent by the certifying participant that currently retains the file. The follow up letter to the firm will include all necessary details relative to DBE certification (e.g. certification number, anniversary date, the type(s) of work the firm can perform in the program, etc.).

Waiting Period for Reapplication:

Any firm that wishes to reapply to the PA UCP following a denial determination may do so six (6) months after the hearing or proceeding date.

Confidentiality for Applicant Submissions:

The Committee members will make every effort to ensure that all documents containing financial information and findings related to an individual review remain confidential,

including, but not limited to, the individual personal net worth statements and accompanying documentation submitted by prospective or existing DBE firms as well as complainants.

Information for US DOT:

If a firm takes their appeal to US DOT, the CP must provide US DOT with a well organized, indexed, and paginated transcript of the entire administrative record within

20 days of the request.

Moving Pennsylvania forward and creating economic opportunities for all.

Firm Name, Address

Appeal chair Agency

Address

Phone

Fax

E-mail

Date

Re: Disposition of Your Initial Application for DBE Certification by the PA DBE

Unified Certification Program Appeals Committee

Dear :

This will confirm that the Pennsylvania Disadvantaged Business Enterprise (DBE)

Unified Certification Program (PA UCP) Appeals Committee (Committee) entertained your denial of initial DBE certification during an informal hearing conducted on

__________. The

Committee is pleased to inform you that it has determined that you meet the eligibility standards for certification as a DBE.

In the near future, you will receive information from the PA UCP, acting through the

(Certifying Participant), relating to the entry of your firm in the PA UCP DBE Directory and other certification matters.

The Committee wishes you much success in the DBE program.

Very truly yours,

Name, Agency

Chairperson

PA UCP DBE Appeals Committee

Certifying Participants

Allegheny County

Office of Minority, Women and

Disadvantaged Business Enterprises

City of Philadelphia

Philadelphia International Airport

DBE Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program Office

Certifying Participant

Address:

Phone:

Fax:

E-mail:

Moving Pennsylvania forward and creating economic opportunities for all.

Decertification Letter—Appeal Rights

Date

(Firm Name, Address)

RE

:

Pennsylvania Unified Certification Program

Appeal Committee Determination

Dear _____________________:

Revised October 2007

Following your administrative due process hearing on _____________, the Pennsylvania Unified

Certification Program (PA UCP), acting through its Disadvantaged Business Enterprise (DBE)

Certification Appeals Committee (Committee), determined that your firm does not meet the standards for continuing DBE certification under the federal regulation set forth in Title 49 Code of Federal Regulations (C.F.R.) Part 26 (Part 26) for the following reasons:

(Insert portions of the record evidence and the regulatory provisions used to render a decision)

In view of the foregoing, the information presented at the appeal, and other information provided by your firm, the Committee concluded that your firm does not qualify for continuing certification in the stated categories discussed above in that it does not qualify as a DBE under

Section(s) ___________ of Part 26. This determination resulted from a due process hearing that was conducted in a manner consistent with state law as mandated by Section 26.87 of Part 26.

Should you wish to appeal this determination, your firm has the right to file an appeal with the

United States Department of Transportation within ninety (90) days in the manner outlined in

Section 26.89 of Part 26.

The address to which this appeal must be sent, is, as follows:

United States Department of Transportation

Departmental Office of Civil Rights

1200 New Jersey Avenue, SE W-35

Washington, D.C. 20590

Sincerely,

(Name, Title

)

Certifying Participants

Allegheny County

City of Philadelphia

Philadelphia International Airport

Department of Minority, Women and Disadvantaged Business

Office Disadvantaged Business Enterprises Enterprise Program Office

PENNDOT

Bureau of Equal

Opportunity

Port Authority of

Allegheny County

Office of Equal

Opportunity

SEPTA

DBE Program

OVERSIGHT COMMITTEE

The Oversight Committee is comprised of nine (9) voting members which includes:

• Allegheny County Airport Authority

• Allegheny County, Department of Minority, Women, and Disadvantaged

Business Enterprise

• Allegheny County, Department of Public Works

• Port Authority of Allegheny County

• Delaware River Port Authority

• Pennsylvania Department of Transportation (PennDOT)

• Pennsylvania Turnpike Commission

• City of Philadelphia

• Southeastern Pennsylvania Transportation Authority (SEPTA)

The Oversight Committee will schedule and conduct meetings (at a minimum of one every quarter) to maintain and ensure the integrity of the PA UCP.

ROLES AND RESPONSIBILITIES OF THE OVERSIGHT COMMITTEE

• Ensure the PA UCP is functioning as designed

• Monitor the public and legal environment for awareness to keep abreast of regulatory changes

• Coordinate and initiate education and training when required

• Ensure continuity of process

• Resolve disputes among the certifying entities

• Ensure end-user customer satisfaction

• Ensure a system of internal controls is in place to provide for reliability and validity of the PA UCP database

• Ensure integrity of the Certification and Appeals Processes

• Ensure the maintenance of the Web site

• Ensure adequate resources and budget for the ongoing operation of the PA UCP

• Provide centralized communication with US DOT

• Develop and maintain the PA UCP strategic plan

• Ensure timely execution of the implementation plan and milestone calendar

• To review, update, and finalize annual budget for the upcoming fiscal/calendar year (Jan. 1 – Dec. 31)

PA DBE Program Brochure is available from www.padbe.com

PA UCP Web Site

Training Manual

Revised:

April 2008

Table of Contents

OVERVIEW................................................................................................................................142

BASIC FEATURES AND FUNCTIONALITY................................................................................................142

AREAS OF THE UCP WEB SITE....................................................................................................................142

PUBLIC AREA...................................................................................................................................................................................143

INTERNAL AREA.............................................................................................................................................................................143

USING THE PUBLIC AREA OF THE WEB SITE...................................................................145

SEARCH THE DATABASE OF CERTIFIED COMPANIES..........................................................................................................146

VIEW THE TERMS & USE CONDITOINS DOCUMENT.............................................................................................................148

LEARN MORE ABOUT THE PROGRAM......................................................................................................................................148

LEARN HOW TO BECOME CERTIFIED.......................................................................................................................................148

DOWNLOAD CERTIFICATION FORMS.......................................................................................................................................148

VIEW IMPORTANT NEWS & EVENTS.........................................................................................................................................148

VIEW IMPORTANT WEB LINKS...................................................................................................................................................148

VIEW A LIST OF AGANCY CONTACT INFORMATION (PHONE NUMBERS AND ADDRESSES).....................................149

VIEW A HELP PAGE........................................................................................................................................................................149

USING THE INTERNAL AREA OF THE UCP WEB SITE.....................................................150

FLOWCHART OF KEY USER INTERACTIONS WITHTHTE INTERNAL ARA OF THE UCP WEB SITE............................150

ACTIONS AVAILABLE TO ALL INTERNAL USERS.................................................................................150

LOG INTO INTERNAL AREA OF WEB STIE................................................................................................................................150

LOG OUT OF INTERNAL AREA OF WEB SITE ..........................................................................................................................152

SEARCH FOR AN APLICANT OR COMPANY.............................................................................................................................152

REVIEW CONTENTS OF AN APPLICATION OR COMPANY....................................................................................................154

RUN REPORTS..................................................................................................................................................................................156

VIEW CONTACT INFORMATION..................................................................................................................................................157

ACTIONS AVAILABLE TO CERTIFYING PARTICIPANTS......................................................................158

ADD A NEW APPLICANT..............................................................................................................................................................159

CERTIFY APPLICATION................................................................................................................................................................163

UPDATE CONTENTS OF AN APPLICATION OR RECORD....................................................................................................164

REVOKE A CERTIFICATION........................................................................................................................................................165

DENY AN APPLICATION..............................................................................................................................................................167

RECEIVE NO CHANGE AFFIDAVIT............................................................................................................................................169

APPROVE NO CHANGE AFFIDAVIT..........................................................................................................................................171

RECERTIFY A PREVIOUSLY CERTIFIED COMPANY............................................................................................................172

FORWARD APPLICATION TO ANOTHER UCP AGENCY.......................................................................................................173

RECEIVE APPLICATION FROM ANOTHER UCP AGENCY....................................................................................................175

ADMINISTRATIVE ACTIVITIES............................................................................................177

MANAGE USERS.............................................................................................................................................178

ADD A NEW USER...........................................................................................................................................................................178

MODIFY AN EXISTING USER’S INFORMATION.......................................................................................................................180

DELETE AN EXISTING USER........................................................................................................................................................183

MANAGE LINKS.............................................................................................................................................184

ADD NEW LINKS.............................................................................................................................................................................184

MODIFY LINKS................................................................................................................................................................................187

DELETE LINKS.................................................................................................................................................................................188

MANAGE NEWS AND EVENTS....................................................................................................................189

ADD NEW NEWS OR EVENT ITEM..............................................................................................................................................189

MODIFY EXISTING NEWS OR EVENT ITEM.............................................................................................................................192

DELETE EXISTING NEWS OR EVENT ITEM..............................................................................................................................193

OVERVIEW

The United States Department of Transportation, under 49 CFR Part 26, mandated that every state establish a Unified Certification Program (UCP). The purpose of the UCP is to provide onestop shopping for certification by Disadvantaged Business Enterprise (DBE) firms in

Pennsylvania. A Pennsylvania UCP Task Force was developed to create the UCP. The Task

Force decided to comply with the directive by using mandatory reciprocity among five (5) certifying entities. In an effort to share information among the certifying entities, the Task Force decided to create a single web based application to provide a listing of certified business and their pertinent information (address, phone number, type of business, etc). This document represents the training manual for that web site.

BASIC FEATURES AND FUNTIONALITY

The web site supports the following basic features:

Provides a public directory listing all certified businesses

Allows users to access basic and advanced information about certified companies

Provides online ability to download certain UCP forms

Supports Ad-hoc querying capabilities (limited for the general public, advanced for internal users from certifying agencies)

Enables authorized users to enter new applications, maintain them through certification and recertification, denial, and track ongoing status

Generates reports that can be loaded into Microsoft Excel

In addition, the UCP web site:

Eliminates duplication of effort by different agencies. Data is entered once, and is available to all agencies.

Eliminates duplication of effort by DBEs. DBEs that once had to manage separate certifications with state agencies now can manage a single certification with participating state agencies.

Enables customer self-service. Potential applicants can locate general information regarding the application process themselves, online, on their own schedule. Companies seeking DBEs can perform their own searches on-line. This will also have the positive impact of reducing call volume to each agency.

Enables each agency to analyze data statewide as opposed to only its own agency. (Ex: how many applications are Pending/Denied statewide at any given time?)

AREAS OF THE WEB SITE

There are two parts of the PA UCP web site: The public side of the web site that is available to the General Public, and the Internal area, which is accessible only to authorized members of the

PA UCP organizations

Public Area

The public area is accessed by pointing a web browser that is connected to the Internet to http://www.paucp.com. Visitors to the public area can perform the following actions:

Search the database of certified companies (members of the public can search for certified companies only that have the Activate to Public checked) o

Print or Download search results

Download a pre-generated DBE directory

View a Terms & User Conditions document

Learn more about the program

Learn how to become certified

View Important News & Events

View a list of Important Web Links

View a list of Contact Information (phone numbers and addresses)

Members of the general public cannot:

Access the internal side of the UCP web site

Access or search any information about non-certified UCP firms

Access information relating to certified UCP firms that is only accessible on the Internal area of the web site

Internal Area

The internal area of the PA UCP Web Site is accessed by first pointing a web browser that is connected to the Internet to http://www.paucp.com. Then, an authorized internal user must log in by using an individually assigned User ID and password. Once logged in, a user can perform one of several activities, depending on whether their security level is that of a Secondary User,

Primary User, or Administrator.

Secondary Users:

Secondary users are employees of UCP associated agencies that do not directly certify applicants

(ex. Allegheny County Airport Authority). These individuals use the web site in a “read-only” mode primarily to search for information about applicants, certified, and denied companies.

Secondary Users can:

Perform all functions available to the general public

Access the internal side of the UCP web site through a secure user ID and password

View information for applicants/certified companies “owned” by other certifying agencies

Run Reports

Secondary Users cannot:

Add, Modify, or Change any information

Primary Users:

Primary users are employees of UCP certifying agencies that directly certify applicants

(PennDOT as an example). These individuals use the web site for adding new applicants, certifying/denying existing applicants, and modifying existing records.

Primary users can:

Perform all functions available to the general public

Access the internal side of the UCP web site through a secure user ID and password

Add/modify information for applicants or companies “owned” by the primary user’s certifying agency

View information for applicants or companies “owned” by other certifying agencies

Run reports

Administrators:

Administrators are designated UCP employees responsible for system administration of the UCP system.

Administrators can:

Perform all functions available to the general public

Perform all functions available to Primary Users (but as with Primary Users,

Administrators can only add/modify information for applicants or companies “owned” by the administrator’s agency)

Add/modify/delete user information, including passwords

Add/modify/delete Links

Add/modify/delete News and Events

USING THE PUBLIC AREA OF THE WEB SITE

The section of the web site available to the general public can be reached by typing this web address in the browser of a computer connected to the public internet: http://www.paucp.com

A sample of the main welcoming screen is shown below:

From this main page, the general public can:

Search the database of certified companies

View a Terms & User Conditions document

Learn more about the program

Learn how to become certified

View Important News & Events

View a list of Important Web Links

View a list of Contact Information (phone numbers and addresses)

Download a pre-generated DBE directory

View a help page

Search the Database of Certified Participants

1. The user can search the database of currently certified UCP companies by typing in one or more search criteria into the search boxes on the right side of the page. a. DBE Firm Name: i. Type all or part of the firm name. The system will automatically search for

DBE firm names that contain the search text (ex. if you search on “Smith”, it will find “Smith Paving” as well as “Jones & Smith Printing”) b. NAICS Code: i. Type in the full or partial NAICS code. To look up a searchable list of

NAICS codes, click the “View List of Codes” link. A pop-up window showing NAICS codes will display. Use Ctrl-F to search that pop-up window if desired. c. Type of Business: i. Leave at “All” or select a type of business from the drop down list. d. DBE Type: i. Leave at “All” or select a type of DBE from the drop down list e. Residing County: i. Leave at “All” or select a county from the drop down list

2. After all desired search criteria have been entered into the search box, click the “Search” button to perform the search.

3. Next, the Search Results screen will appear (example shown below). The user’s search criteria will be displayed, followed by the search results, which may contain no certified companies, one certified company, or several certified companies. As shown, only limited, publicly available information about certified companies is displayed (Name,

DBE Type, Service Category, NAICS Code, Work Description, Contact Name, Phone

Number, Fax Number, E-mail Address, and Mailing Address).

4. If the user desires to download the search information, they may do so by clicking the

“Download Search Results” button. The search results will then be sent to that user’s

Internet browser as a tab delimited file. You will be prompted as to whether to save the file or open it in a program on your local computer workstation. You should save it to your local workstation with a descriptive name, then open the file using Microsoft Excel.

• Note: Open Excel first, then open your new file from within Excel

View the Terms & Use Conditions Document

To view the Terms & User Conditions document, which is a document stating the approved uses of the information available on the web site, the user clicks on the “View Terms & User

Conditions” button on the main page, or any page where the button appears.

Learn More About the Program

To view the “Learn More About the Program Page” the user clicks on the “Learn More About the Program” link from the main page. The Learn More About the Program page will then appear.

Learn How to Become Certified

To view the “Learn How to Become Certified” page, the user clicks on the “Learn How to

Become Certified” link from the main page. The Learn How to Become Certified page will then appear.

Download Certification Forms

To download electronic copies of certification forms, the user clicks on the “Download

Certification Forms” button on the main page. The user is then taken to a Download Certification

Forms page where they can download the appropriate documents depending on their requirements.

View Important News & Events

Specific Important News & Events will be shown on the main page in the left menu bar. To view more details and the full list of News & Events, the user can click on the “More News” link in the left menu bar. The News & Events screen will then appear, showing the full list of news and events.

View Important Web Links

Specific Important web links will be shown on the main page in the left menu bar. To view more details and the full list of web links the user can click on the “More Links” link in the left menu

bar. The Important Web Links screen will then appear, showing the full list of Web Links. The user can click on a listed link and be taken to that web site.

View A List of Agency Contact Information (Phone Numbers and Addresses)

Clicking on the “Contact Us” button in the top menu bar will display a list of PA UCP contact phone numbers and addresses.

View a Help Page

If the user is on any section of the web site, they can click on the “Help” button on the top menu bar, and a help screen will display.

USING THE INTERNAL AREA OF THE UCP WEB SITE

The internal area of the PA UCP Web Site is accessed by first pointing a web browser that is connected to the Internet to http://www.paucp.com. Then, an authorized internal user must log in by using an individually assigned User ID and password. Once logged in, a user can perform one of several activities, depending on whether their security level is that of a Secondary User,

Primary User, or Administrator. These activities are detailed in this document.

The flowchart on this page shows the high level flow of how PA UCP users interact with the system on a daily basis for New Applications and the Yearly review process for certified companies.

ACTIONS AVAILABLE TO ALL INTERNAL USERS

In order to perform the actions available in this section of the manual, you must have an assigned user ID and password.

If you have the security level of a “Secondary User” you will not be able to update or change any information you see.

If you have the security level of a “Primary User” or “Administrator” you will be able to change information for companies that your certifying organization “owns”.

Log Into Internal Area of Website

In order to log into the internal area of the web site:

• A user must first have a PA UCP User ID and password.

1. Navigate to the home page of the PAUCP by typing the web address into your browser: www.paucp.com. The screen will appear as shown below.

2. In the top right corner of the screen, key in your User ID and Password

3. Either hit enter or click the “Log On” button (immediately to the right of the Password field). The internal web page should appear, welcoming you by name, and displaying the internal menu (example shown below).

Log Out of Internal Area of Web Site

Whenever an internal user is done with using the internal area of the PA UCP web site, they should log out of the web site. As a note, after 30 minutes of inactivity a user will automatically be logged off of the system (any unsaved work will be discarded).

In order to log out of the PA UCP Web Site:

• A user must be logged into the Internal Area of the PA UCP Web Site

1. On the top menu bar of the PA UCP web site, click on the “Exit” button (shown above)

2. The web site will log you out and return you to the public screen of the web site.

Search for an Applicant of Company

In order to search for an applicant or a certified company:

You must be logged into the internal side of the web site

Any user who can log into the internal area of the web site can perform searches (security levels of Secondary User, Primary User, or Administrator)

1. If the Search page is not on the screen already, click on the Search button on the menu

(on the left). The search page will appear as shown below:

2. On the search page, type in as little or as much search criteria as desired. More information will help narrow the search, but too much information may narrow the search too far. Key in at least one piece of search criteria.

For text fields (ex. Organization Name, Contact Last Name, City, etc.) the system will automatically perform a wild card search. (For example, keying in just

“Paving” into Organizational name would find “Callahan Paving” as well as

“Smith Paving” and “Parker and Smith Paving”). For the date fields (example:

Application Received, Application Denied), key in a date range by selecting a

From date and a To date in the date drop down boxes. If you would like to search for results on a single day, then make the From date and the To date the same.

The date fields allow searching the current status of any company’s record. For example, searching on “Application Received” and a date range will show any applications waiting in a status of Application Received in that date range. If an application was then certified, and the search was repeated, it would no longer show up in that identical search.

3. After keying in desired search criteria, click the “Search” button to perform the search.

4. Upon completion of the search, the “Search Results” page will appear (example shown below). It will show you the search criteria, and any applicants or companies in the database that match the criteria.

5. On the search results screen, you can perform one of several actions.

If you are not a member of the agency that owns the company, you can only view the record. Click the “Review” button to review the record. The company’s information will display in a “Review” screen

If you are a member of the agency that owns the company, you can Update the company’s information, activate the record for public viewing, certify/recertify the company, or deny/revoke the certification by clicking the appropriate button in the right of the company’s row.

If you want to download the search information to your local workstation, as a tab delimited file, then click the “Download Search Results” button. You will be prompted as to whether to save the file or open it in a program on your local computer workstation.

You should save it to your local workstation with a descriptive name, then open the file using Microsoft Excel. o Note: Please see Appendix 2 for detailed instructions regarding exporting this information and importing it into Excel. Steps in this appendix must be followed to ensure data is imported correctly into Excel.

Review Contents of an Application of Company

In order to review contents of an application or company:

You must be logged into the internal side of the web site

Any user who can log into the internal area of the web site can perform advanced searches (security levels of Secondary User, Primary User, or Administrator)

You will not be able to change any displayed information unless:

Your account is configured as a primary user.

You are part of the organization that currently holds “ownership” of the application or company

1. Go to the Search screen and locate the company you would like to review.

2. To the right of the company, click on the “Review” button (note: if you are a

Primary User and a member of the “owning” organization, you will see an

“Update” button instead of a “Review” button. Click this “Update” button instead.

3. The Review screen will appear (see portion of screen shown below as an example). The information can be viewed only, not edited (unless you are a primary user and a member of the “owning” agency, in which case you will be able to edit the record.

Run Reports

In order to run reports:

You must be logged into the internal side of the web site

Any user who can log into the internal area of the web site can run reports (security levels of Secondary User, Primary User, or Administrator)

1. Click on the “Reports” menu item (on the left menu). The reports screen will display (sample shown below):

2. Click the radio button next to the report you would like to run

3. Change the Month and Year in the “From” criteria and the “To” criteria to match the date range you would like to run.

The “From” date will start and include information about the first day of

• the month you select. Example: January 2008 will include information starting with January 1, 2008

The “To” date will end and include information for the last day of the month you select. Example: January 2008 will include information ending with January 31, 2008

4. Click the “Submit” button to run the report.

5. The report will be delivered to your Internet Browser in a Tab Delimited format.

Your browser will ask whether to save the file or open it. You should save the file with a descriptive name, then open it using Microsoft Excel (the data can be utilized in Microsoft Excel, Microsoft Access, or Microsoft Word as desired).

• Note: Open Excel first, then open your new file from within Excel

View Contact Information

The contact information area allows users of the internal area of the web site to contact other users of the web site at other agencies. In order to view contact information:

You must be logged into the internal side of the web site

Any user who can log into the internal area of the web site can access Contact

Information (security levels of Secondary User, Primary User, or Administrator)

1. Click on the “Contact Us” menu item (on the top menu). The Contact Us screen will display (sample shown below):

2. The screen will display information for each UCP Organization, based on which organization is selected in the drop-down box. To view information for another organization, select that organization from the drop down box.

• Note that the information for each individual is accessed from that person’s account on the PA

UCP web site. Only a PA UCP administrator can update this information.

ACTIONS AVAILABLE TO CERTIFYING PARTICIPANTS

In order to perform the actions available in this section of the manual, you must have an assigned user ID and password. You must also have the security level of a Primary User or Administrator

If you have the security level of a “Secondary User” you will not be able to perform any of the actions in this section

If you have the security level of a “Primary User” or “Administrator” you will be able to perform the actions in this section. You will also be able to change information for companies that your certifying organization “owns”.

Add A New Applicant

Before adding a new UCP application to the UCP web site, you should first search to make sure the applicant does not have an existing record in the UCP web site (indicating a previous application or duplicate certification).

When keying in a new application, you will note that the system only prompts for a bare minimum of information in order to add an application. The rest of the information from the application will be required to be keyed in only if the application is later certified.

In order to add a new UCP application, you must be a primary user or an administrator. As a primary user, you will only be able to add an application for your own agency. If you intend to give this application to another agency, you should either pass the application before entering it in the system, or enter it under your agency, then perform the procedure “Forward Application to

Another UCP Agency” (procedure covered elsewhere in this manual).

1. From the internal menu, enter search criteria for the new application, and click the

“Search” button. In this example (shown below), we are searching to see if a previous application or certification exists for “paving”. We could also have searched to see if a previous application or certification exists for the Federal ID#.

2. On the search screen; check to see if any results appear. If any results appear, ensure that they do not represent this same company. It is likely that no results will be returned, and your screen will appear as in the example shown below. o

3. After you are certain this applicant does not exist in the system, click the “Add New

Applicant” button. The Add New Applicant Screen will appear (as shown on the next pages)

Note that your agency will default into the record (“Certifying Organization” in the top right corner of screen). The “Application Received” Date will also default into the screen. You can adjust the date if necessary.

4. Fill in all available information into the screen. When complete, click the “Submit” button to save the information. You will be asked “Are you sure you want to Save?”

Click OK if you want to proceed, or Click CANCEL if you want to cancel without saving.

5. If you clicked OK, the system will confirm that your applicant was added.

Certify Application

In order to certify an application:

An application must have been previously entered and saved (the status on the search screen will show as “Application Received”).

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to certify.

2. To the right of the company, click on the “Certify” (or “Recertify” if the company was previously certified

3. The Certify a Business screen will appear (see example below). Type information into each field.

The certification date will default to today’s date. This can be adjusted if necessary

The certification number is automatically assigned (appears in the

Certification Classification section)

Look up NAICS codes if necessary by clicking on the “View NAICS

Codes” button. A small pop-up window will appear on screen (it make

• take a few moments to appear). It is searchable by pressing ctrl-F (while holding down the CTRL key, press the F key)

In the Desired Work Locations section, check off as many counties as the applicant has indicated on their application.

4. When the desired information has been keyed in, click the “Submit” button to save the application.

5. You will be prompted “Are you sure you want to Save? OK or CANCEL”. If you click “OK”, the company’s certification will be saved. If you click “CANCEL, the company’s certification will not be saved.

6. If you clicked OK, the system will save the certification, and will display

“Certified Successfully”

Update Contents of an Application or Record

In order to update the contents of an application or a company record:

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to certify.

2. To the right of the company, click on the "Update" button

3. The Update screen will appear (see example below). Update information as desired, then click the “Submit” button to save the changes.

4. The system will respond that the changes were saved.

Revoke a Certification

In order to revoke the certification of a company that is currently certified:

The company must be currently be certified

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Revoke” button

3. The Revoke Certification screen will appear (see below for example).

4. The revoke certification date will default, but can be adjusted if desired.

5. Type in the reason the certification was revoked.

6. Be sure to uncheck the Activate to Public Side checkbox to remove listing from public search.

7. Click Submit when complete. You will be asked “Revoke Certification, Are you

Sure?” Click OK to proceed, or CANCEL to exit without saving.

8. If you click OK, the system will confirm that the changes were saved.

Deny an Application

In order to deny an application:

An application must have been previously entered and saved (the status on the search screen will show as “Application Received”).

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to deny.

2. To the right of the company, click on the “Deny” button (if the deny button is not available, the company is either not at a status of “Application Received” or your organization does not have ownership of this application).

3. The Deny Certification screen will appear (example shown below).

4. The certification denial date will default in as today’s date. It can be adjusted if needed.

5. Type a reason for the certification denial into the reason field.

6. Be sure to uncheck the Activate to Public checkbox to remove listing from public search.

7. Click the “Submit” button when complete

8. The system will ask “Deny Certification, Are you Sure?” To proceed, click OK. To cancel the denial, click CANCEL.

9. If you click OK, the system will respond “Changes Saved”

Receive No Change Affidavit

In order to receive a No Change Affidavit for a certified company:

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Update” button

3. The Update screen will appear. At the bottom of the screen, click on the button

“No Change Affidavit Received” (example of screen shown below),

4. A Pop-up window will appear asking for the date the No Change Affidavit was received. Key the date in as MM/DD/YY (in the same format as the example that appears in the pop-up windows) and click OK.

5. After clicking OK, the system will respond “No Change Affidavit Received”

Approve No Change Affidavit

In order to approve a No Change Affidavit for a certified company:

A No Change Affidavit must have previously been received for this company (and not yet approved)

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Update” button

3. The Update screen will appear. At the bottom of the screen, click on the button

“No Change Affidavit Approved” (example screen shown below).

4. A Pop-up window will appear asking for the date the No Change Affidavit was approved. Key the date in as MM/DD/YY (in the same format as the example that appears in the pop-up windows) and click OK.

5. After clicking OK, the system will respond “No Change Affidavit Approved”

Recertify a Previously Certified Company

In order for an existing certification to be extended, it must be recertified.

In order to recertify a previously certified company:

The company must currently be in a certified status

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User” or “Administrator”.

You must be part of the organization that currently holds “ownership” of the application.

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Recertify” button

3. The “Certify a Business” screen will appear. Verify that the new certification date, anniversary date, and expiration date are correct. Then click the “Submit” button at the bottom of the page to save the information.

Forward Application to Another UCP Agency

Sometimes it may be necessary to pass “ownership” of an application or company to another certifying UCP organization. This is called forwarding the Application to another UCP agency.

In order to be able to forward an Application:

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that currently holds “ownership” of the application.

You must know which agency you want to forward the application to.

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Update” button

3. Scroll to the bottom of the screen and click the “Forward to Another

Organization” button.

4. The system will display a pop-up window. Select the appropriate agency from the drop-down box to forward the application to. Then click the “Submit” button.

5. The system will respond that the changes were saved successfully.

6. Next, notify a representative at the agency you selected that they will have to log into the system and receive the forwarded application

7. Note that if you search again on the application, the status will show as being forwarded. You will no longer be able to update this application (since it now owned by the other agency) (see example below)

Receive Application From Another UCP Agency

Sometimes it may be necessary to pass “ownership” of an application or company to another certifying UCP organization. This is called forwarding the Application to another UCP agency.

If another agency has notified you that an application has been forwarded to your agency, follow this procedure to receive it. Please note that in order to receive a forwarded application:

You must be logged into the internal part of the web site

Your account must have the security level of a “Primary User”.

You must be part of the organization that the application was forwarded to

1. Go to the Search screen and locate the company you would like to work with

2. To the right of the company, click on the “Receive” button

3. A pop-up box will appear on the screen stating “Please hit the Receive

Application button to receive the application.

4. Click OK on this pop-up box, and the Update Application window will appear.

5. Scroll all the way to the bottom of the page, and click the “Receive Application” button.

6. The system will refresh the screen, which will now show that the status is

"Application Received".

ADMINISTRATIVE ACTIVITIES

In order to perform the actions available in this section of the manual, you must have an assigned

User ID and Password. You must also have the security level of an Administrator

If you have the security level of a “Secondary User” or “Primary User” you will not be able to perform any of the actions in this section

If you have the security level of an “Administrator” you will be able to perform the actions in this section.

MANAGE USERS

Administrators can:

Add New Users

Update information about existing users (including changing a password)

Delete Users from the system.

In order to perform any of these user management functions, you must have the security level of a System Administrator in the PA UCP system.

The information on the user management screens is what is used to create the internal “Contact

Us” screen. If any information needs to be changed on the internal “Contact Us” screen, it can be updated by updating information about that user.

Add A New User

In order to add a new user to the PA UCP web site, you must be:

An administrator

Logged into the Internal part of the web site.

1. On the Manage menu, click on “Users.” The Manage Users screen will appear (shown below). Note that if the Manage menu is not available, you do not have the security level of an Administrator.

2. Next, click on the “Add User” Button. The Add User screen will display as shown.

3. On the Add user screen, fill in the information shown. Fields marked with an asterisk are required fields, and must be filled in. The information filled in on this screen will also show up as part of the internal part of the web site, on the directory that appears when

“Contact Us” is clicked.

For the “Role” field, the following security restrictions are associated with each role:

Administrator:

Allows user to add/modify users and passwords.

Allows user to add/modify/delete Links

Allows user to add/modify/delete News & Events

Allows user to add/modify letter templates (future functionality)

Primary:

Allows user to Add/edit applicants and certified companies for their agency

Secondary:

Allows user view-only access information to applicants and certified companies for any agency.

For User ID, this is the user ID that the user will key in each time they log on. Every user of the PA UCP web site must have a unique user ID

For Password, the password must be keyed in twice to prevent miskeying. The password will not show up on the screen.

When all desired fields have been completed, click “Submit” to save the new user.

4. Test the new account by logging in as that user. Then notify the user of their User ID and password.

Modify An Existing User's Information

In order to modify an existing user’s information (ex. Password, phone number, etc..), you must be:

An administrator

Logged into the Internal part of the web site.

1. On the Manage menu, click on “Users” The Manage Users screen will appear

(shown below)

2. Click on the “Modify” icon to the right of the user’s name you want to modify.

3. On the Edit User screen, modify information as desired. Fields marked with an asterisk are required fields, and must be filled in. The information filled in on this screen will also show up as part of the internal directory that appears when

“Contact Us” is clicked.

For the “Role” field, the following security restrictions are associated with each role:

Administrator:

Allows user to add/modify users and passwords.

Allows user to add/modify/delete Links

Allows user to add/modify/delete News & Events

Allows user to add/modify letter templates (future functionality)

Primary:

Allows user to Add/edit applicants and certified companies for their agency

Secondary:

Allows user view-only access information to applicants and certified companies for any agency.

For User ID, this is the user ID that the user will key in each time they log on.

Every user of the PA UCP web site must have a unique user ID

For Password, the password must be keyed in twice to prevent miskeying. The password will not show up on the screen.

4. When all desired fields have been completed, click “Submit” to save the updated information.

Delete An Existing User

In order to Delete an existing user you must be:

An administrator

Logged into the Internal part of the web site.

1. On the Manage menu, click on “Users” The Manage Users screen will appear.

2. Click on the “Delete” icon to the right of the user’s name you want to modify.

3. The user will be deleted and the screen will update to reflect the deletion

MANAGE LINKS

This set of utilities allows a system administrator to maintain the Important Links listed on the web site (both internally and those available to the general public).

Administrators can:

Add New Links

Update information about existing links

Delete Links from the system.

Add New Links

In order to add new links:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “Links” The Manage Important Links screen will appear (shown below)

2. Click on the “Add Important Links” button

3. Type in the following information:

Label: This is the text that the end user will see. It should be a short description of the web link

URL: This is the web address needed in order to reach the web site.

Example: http://www.paucp.com

Description: This is a longer description of what the web link is

Display On (check-off one or more selections): o o o

Select “Internal Site” to show this link to Internal users (those who have signed in with a user ID and password

Select “External Site” to show this link to users who are accessing the public side of the web site

Select “External Site Nav” to make this link appear in the menu bar to users who are accessing the public side of the web site. Note

that only a limited number of links should ever have this flag activated at any one time (only a limited number will effectively fit on the home page at once).

Link Type: Choose one of the link types. This controls which category the link will appear in on-screen

4. When all information has been entered, click the “Submit” button to save the link

5. Click on “Important Links” and check to make sure the link appears as desired in the listing. Click on the link itself to be sure it connects to the specified web address as desired.

Modify Links

In order to modify existing links:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “Links” The Manage Important Links screen will appear

2. Click on the “Modify” icon to the right of the link you would like to modify. The

Updated Link screen will appear.

3. Update the fields as desired.

Label: This is the text that the end user will see. It should be a short description of the web link

URL: This is the web address needed in order to reach the web site.

Example: http://www.paucp.com

Description: This is a longer description of what the web link is

Display On (check-off one or more selections):

Select “Internal Site” to show this link to Internal users (those who have signed in with a user ID and password

Select “External Site” to show this link to users who are accessing the public side of the web site

Select “External Site Nav” to make this link appear in the menu bar to users who are accessing the public side of the web site. Note that only a limited number of links should ever have this flag activated at any one time (only a limited number will effectively fit on the home page at once).

Link Type: Choose one of the link types. This controls which category the link will appear in on-screen

4. When all information has been updated as desired, click the “Submit” button to save the updates

5. Click on “Important Links” and check to make sure the link appears as desired in the listing. Click on the link itself to be sure it connects to the specified web address as desired.

Delete Links

In order to delete existing links:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “Links” The Manage Important Links screen will appear

2. Click on the “Delete” icon to the right of the link you would like to remove.

3. The link will be removed from the list of links – the screen will refresh and the link will no longer display in the list.

MANAGE NEWS AND EVENTS

This set of utilities allows a system administrator to maintain the News and Events listed on the web site (both on the internal side of the web site and the public side of the web site).

Administrators can:

Add New News or Events

Update information about existing News or Events

Delete existing News or Events from the system.

Add New News or Event Item

In order to add a new News or Event item:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “News and Events” The Manage News & Events screen will appear (shown below)

2. Click on the “Add News Item” button or “Add Event Item” button. The Add screen will appear (as shown below). Note that the Add News Item and Add

Event Item screens are nearly identical.

3. Type information into the fields on the screen:

Label: This is a short one-line description of the item

URL: This is the web site the user should visit for more information if any is available. The user will be able to click on this link. (note: this field is

• not available if entering information for an Event).

Description: This is a longer description of the item

Start Date: This is the month, day, and year that the item will start appearing on the web site. Prior to the date, the item will not appear.

End Date: This is the last month, day, and year that the item will appear on the web site. After this date, the item will no longer appear

Display On (check-off all that apply): o o o

Internal Site: If this is checked, the item will appear to internal users (those signed in with a user ID and password)

External Site: If this is checked, the item will appear to external users (members of the general public)

External Site Home Page: If this is checked, the item is flagged as having a high priority, and it will appear on the public home page.

Note that only a limited number of items should ever have this flag activated at any one time (only a limited number will effectively fit on the home page at once).

4. When complete, click the “Submit” button to save the new entry

Modify Existing News or Event Item

In order to modify an existing News or Event item:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “News & Events” The Manage News & Events screen will appear

2. Click on the “Modify” icon to the right of the news item or event you want to modify.

The Edit screen will appear.

3. Modify information in the fields on the screen as desired: o

Label: This is a short one-line description of the item o

URL: This is the web site the user should visit for more information if any is o available. The user will be able to click on this link. (note: this field is not available if entering information for an Event).

Description: This is a longer description of the item o o o

Start Date: This is the month, day, and year that the item will start appearing on the web site. Prior to the date, the item will not appear.

End Date: This is the last month, day, and year that the item will appear on the web site. After this date, the item will no longer appear

Display On (check-off all that apply):

Internal Site: If this is checked, the item will appear to internal users

(those signed in with a user ID and password)

External Site: If this is checked, the item will appear to external users

(members of the general public)

External Site Home Page: If this is checked, the item is flagged as having a high priority, and it will appear on the public home page. Note that only a limited number of items should ever have this flag activated at any one time (only a limited number will effectively fit on the home page at once).

4. When complete, click the “Submit” button to save the updated entry

Delete Existing News or Event Item

In order to delete an existing News or Event item:

The user must have the security level of an Administrator

The user must be logged into the internal area of the web site

1. On the Manage menu, click on “News & Events” The Manage News & Events screen will appear.

2. Click on the “Delete” icon to the right of the news item or event you want to remove.

3. The list of News & Events will update to reflect that the News item or Event has been deleted (the deleted item will no longer appear on the screen).

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