NYSDOT 2010 DBE Program Plan The NYSDOT Disadvantaged Business Enterprise (DBE) Program seeks to...

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Transcript of NYSDOT 2010 DBE Program Plan The NYSDOT Disadvantaged Business Enterprise (DBE) Program seeks to...

  • New York State Department of Transportation

    2010

    “Disadvantaged Business Enterprise (DBE) Program Plan”

    DRAFT COPY

    In Association with Federal Highway Administration (FHWA)

    In Accordance with Code of Federal Regulations (CFR) Title 49–Transportation, Part 26

    Draft Date: January 2010

  • i

    DBE Program Plan

    TABLE OF CONTENTS

    1 Program Policy, Purpose, Scope and Authority ..............................................................................1—1

    1.1 Policy........................................................................................................................................1—1

    1.2 Program Objectives .................................................................................................................1—1

    1.3 Purpose of DBE Program Plan .................................................................................................1—2

    1.4 Prohibited Discrimination........................................................................................................1—2

    1.5 Scope .......................................................................................................................................1—2

    1.6 Authority and Applicable Laws................................................................................................1—2

    1.7 Program Regulations ...............................................................................................................1—3

    1.8 Definition of Terms..................................................................................................................1—3

    2 Program Responsibilities................................................................................................................... 2-1

    2.1 New York State Department of Transportation (NYSDOT)........................................................ 2-1

    2.1.1 Audit & Civil Rights Division (ACRD) .................................................................................. 2-1

    A. DBE Program Policy and Procedures.................................................................................... 2-1 B. DBE Goal Setting and Good Faith Efforts ............................................................................ 2-1 C. DBE Reporting ...................................................................................................................... 2-2 D. DBE Eligibility and Certification .......................................................................................... 2-2 E. NYSDOT’s External DBE Spokesperson............................................................................. 2-2

    2.1.2 NYSDOT Contracting Offices.............................................................................................. 2-2

    A. Office of Construction........................................................................................................... 2-2 B. Office of Design .................................................................................................................... 2-3 C. Contract Management Bureau ............................................................................................... 2-3 D. A&E or Non-A&E Contract Sponsoring Groups .................................................................. 2-3 E. Purchasing Unit ..................................................................................................................... 2-3

    2.2 Sub-recipients (including Government Organizations, Non-Government Organizations and Metropolitan Planning Organizations) .................................................................................................. 2-3

    2.2.1 Sub-recipient Adoption of NYSDOT DBE Program Policy & Procedure ............................. 2-4

    2.2.2 Sub-recipient Preparation/Submission of DBE Program Document to NYSDOT for Approval.2-4

    3 DBE Goal Development.................................................................................................................... 3-1

    3.1 Overall Annual DBE Goal ........................................................................................................... 3-1

    3.1.1 Establishing Base Figure - Determining Relative DBE Availability ..................................... 3-1

    3.1.2 Adjustment to Base Figure ................................................................................................ 3-2

    3.1.3 Race Neutral Analysis ........................................................................................................ 3-2

  • ii

    3.1.4 Public Participation and Outreach Efforts ......................................................................... 3-2

    3.1.5 Goal Submission ................................................................................................................ 3-3

    3.2 Contract Specific Goals .............................................................................................................. 3-3

    3.2.1 Construction Contract Goals ............................................................................................. 3-4

    3.2.2 A&E Professional Services Contracts ................................................................................. 3-7

    3.2.3 Non-A&E Professional Services Contracts ......................................................................... 3-7

    3.3 Counting DBE Participation Towards Meeting Goals ................................................................ 3-8

    3.4 Counting DBE Participation of Sub-recipients Towards Meeting Annual Goals........................ 3-9

    3.4.1 Sub-recipients Adopting the NYSDOT DBE Program ......................................................... 3-9

    3.4.2 Sub-recipients With Their Own Approved DBE Program .................................................. 3-9

    4 Ensuring DBE Participation (Contract Compliance Oversight) ........................................................ 4-1

    4.1 Overall Policy Statement ........................................................................................................... 4-1

    4.2 Procedures to Ensure DBE Participation ................................................................................... 4-1

    4.2.1 Pre-Bid Procedures ............................................................................................................ 4-1

    A. DBE Contractor Notification................................................................................................. 4-1 B. DBE Waivers–Pre-Bid Construction Contracts................................................................... 4-1 C. DBE Contract Submission Requirements.............................................................................. 4-2 D. NYS UCP Directory of Certified DBEs ................................................................................ 4-2 E. Recording DBE Commitments.............................................................................................. 4-2

    4.2.2 Bid Opening and Contract Award...................................................................................... 4-2

    A. DBE Commitment for Contract Award................................................................................. 4-2 B. DBE Commitments ............................................................................................................... 4-3 C. DBE Waivers–Pre-Bid or Pre-Proposal Submission........................................................... 4-3 D. DBE Participation Conditions ............................................................................................... 4-3 E. Good Faith Efforts Methodology .......................................................................................... 4-4 F. Good Faith Efforts Documentation ....................................................................................... 4-5 G. Review of DBE Good Faith Efforts (GFE) ........................................................................... 4-6 H. Good Faith Efforts Review Process....................................................................................... 4-9 I. Contractor Appeal and Administrative Reconsideration ..................................................... 4-10

    4.2.3 DBE Participation Towards Contract Specific Goals (DBE Attainments) ......................... 4-10

    A. Credit towards contract specific goals................................................................................. 4-10 B. Good Faith Efforts for Substituting DBEs........................................................................... 4-11 C. Crediting for DBE Prime Contractors ................................................................................. 4-11

    4.3 Contract Performance ............................................................................................................. 4-11

    4.3.1 DBE Approval ................................................................................................................... 4-11

    4.3.2 Commercially Useful Function......................................................................................... 4-11

    A. DBE Management ............................................................................................................... 4-12 B. DBE Workforce................................................................................................................... 4-12 C. DBE Equipment................................................................................................................... 4-13