Ohio Department of Transportation



Ohio Department of Transportation

FFY 2013 Federal Transit Administration

DBE Program Requirements

For Section 5311 Recipients

DISADVANTAGED BUSINESS ENTERPRISE PROGRAMS

Complete the following steps to figure out whether your system is a Threshold or non-Threshold system:

Step 1: Complete the DBE Threshold Determination Form. See the “Instructions for DBE Threshold Determination Form”.

Step 2: Upon completion of the DBE Threshold Determination Form if it indicates that you are Threshold System then you have to prepare a DBE Plan as indicated in the DBE Determination Worksheet folder.

Threshold Recipients

Section 5311 (Rural Transit Program) recipients who anticipate awarding more than $250,000 in FTA funds in a Federal Fiscal Year (FFY), (October 1 through September 30), exclusive of vehicle purchases, are considered to be threshold recipients for that FFY. Threshold status is based on funds awarded for goods as well as contracted services. All threshold recipients must establish a DBE program, including an annual DBE goal and DBE Plan which must be submitted to ODOT by June 30th. (See the DBE Program Threshold Recipient Requirements for information on establishing a DBE Program.)

DBE goal updates are required when the goal changes. Goal changes are caused by a change in the amount of federal funds awarded for goods and contracted services. For example, if a grantee’s DBE goal changes, the DBE Plan must be updated to reflect the new goal. If you are a threshold recipient for FFY 2013 and developed a DBE Program for a previous FFY, you need only revise and resubmit the existing DBE Plan to reflect your new DBE goal and any new contracting opportunities.

If the recipient expects to award contracts exceeding $250,000 in Federal Funds (excluding vehicles) during the FFY, a public notice outlining the proposed goal must be published by June 30th goal submission deadline. The public notice must be published in a newspaper with the widest circulation in the service area. Documentation verifying the publication must be submitted to ODOT with the DBE goal and Plan.

Non-Threshold Recipients

Section 5311 (Rural Transit Program) recipients who anticipate awarding contract totaling $250,000 or less in FTA funds in a FFY are not required to develop a DBE Program or submit a DBE Plan. All Section 5311 recipients are required to submit a DBE Threshold Determination Form (the attached spreadsheet) which meets the requirements of 49 CFR Sec. 26.45 to determine if they are threshold.

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Semi-Annual Reporting Requirements

All threshold recipients are required to submit semi-annual reports to ODOT for submission to FTA. The due dates are October 15, for the period April 1 – September 30, and by April 15, for the period October 1 – March 31. ODOT will provide the semi-annual report forms to all recipients with a new or existing DBE Program. If a recipient previously met the DBE threshold requirements and is no longer a threshold recipient, a final semi-annual report must be submitted when all payments on a contract are completed.

DBE Program Required Forms for Section 5311 (Rural Transit Program) Recipients

A DBE Threshold Determination Form spreadsheet is provided by ODOT to assist recipients in determining Threshold or Non-Threshold status. The spreadsheet must be submitted annually by ALL Rural Transit Program recipients, by e-mail, by May 15th, to the Office of Transit, DBE Program Coordinator.

The completion of the annual DBE Threshold Determination Form fulfills the DBE requirements for Non-Threshold recipients who do not have an existing DBE Program.

All required DBE forms and information is available on the Office of Transit website or from the Office of Transit DBE Program Coordinator.

The DBE required forms are located at the following link:



Note:

Completion of the DBE Threshold Determination spreadsheet will determine if you are a FFY 2013 Threshold Recipient or Non-Threshold Recipient. Threshold Recipients must submit a new or updated DBE Plan. Please see DBE Program Threshold Recipient Requirements.

This completed spreadsheet is to be returned by May 15, 2012 to the Office of Transit, DBE Program Coordinator.

Instructions for DBE Threshold Determination Form

1. DBE Determination Worksheet – Only Enter in the Yellow highlighted Fields

*Enter Grantee Name:

*Enter Yes or No if you have an existing DBE program prior to CY 2012

2. 5311 Operating Worksheet - Only Enter in the Yellow highlighted Fields

*Enter CY 2012 Total Operating Budget

*Enter CY 2012 5311(federal) Operating Contract (with ODOT)

*Enter current CY 2012 budget data for each chart of account line item

*Enter from pull down menu Yes, No or Partial contracting opportunity*.

If partial then enter the percentage.

*Please note that a “contracting opportunity” is any opportunity that a system has to purchase any service or capital item on the open market using federal funds. For example, fuel can be a contracting opportunity if you can choose where you buy your fuel. If you must buy fuel from a city or county fueling station, it is not a contracting opportunity because you have no choice. Partial contracting opportunities reflect a combination of both situations. For example, 40% of the fuel must be purchased from the county and 60% on the open market.

3. 5311 Capital – Only Enter in the Yellow highlighted Fields

*Enter Total CY 2012 Capital Budget

*Enter CY 2012 5311 Capital Contract (with ODOT)

*Enter Description of Items to be purchased and the Budget Amount

**DO NOT LIST VEHICLES

4. 5311 Capitalized Maintenance - Only Enter in the Yellow highlighted Fields

*Enter Total CY 2012 Capitalized Maintenance Budget

*Enter CY 2012 5311 Capitalized Maintenance Contract (with ODOT)

*Enter current CY 2012 budget data for each chart of account line item

*Enter from pull down menu Yes, No or Partial contracting opportunity.

If partial then enter the percentage.

5. 5316 JARC - Only Enter in the Yellow highlighted Fields

*Enter Total JARC Operating Budget

*Enter CY 2012 JARC Contract (with ODOT)

*Enter current CY 2012 budget data for each chart of account line item

*Enter from pull down menu Yes, No or Partial contracting opportunity.

If partial then enter the percentage.

6. 5317 New Freedom - Only Enter in the Yellow highlighted Fields

*Enter Total JARC Operating Budget

*Enter CY 2012 JARC Contract (with ODOT)

*Enter current CY 2012 budget data for each chart of account line item

*Enter from pull down menu Yes, No or Partial contracting opportunity.

If partial then enter the percentage.

DBE Program Threshold Recipient Requirements

(Section 5311 Threshold Recipients are FTA grantees who anticipate awarding more than $250,000 in FTA funds for prime contracts in a Federal Fiscal Year).

Section 5311 Threshold Recipients must submit a DBE Program to ODOT for approval. The Program must be received in the ODOT Office of Transit by June 30th and must include all of the following requirements:

1. Policy Statement: You must issue a signed and dated policy statement that expresses your commitment to your DBE Program, states its objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts/invoices.

2. Liaison Officer: You must have a DBE Liaison Officer, who shall have direct, independent access to your Chief Executive Officer concerning your DBE Program matters. The DBE Liaison shall be responsible for implementing all aspects of your DBE Program. You must also have adequate staff to administer the program in compliance with this part.

3. DBE Financial Institutions: You must thoroughly investigate the full extent of services offered by financial institutions owned and operated by socially and economically disadvantaged individuals in your community and make reasonable efforts to use these institutions. You must also encourage prime contractors to use such institutions.

4. Prompt Payment Mechanism: You must establish as part of your DBE Program, a contract clause to require prime contractors to pay subcontractors for satisfactory performance no later than a certain amount of days from receipt of each payment you make to the prime contractor. Please see 49 CFR Parts 23 and 26, Section 26.29 for all requirements for this item.

5. DBE Directory: You must maintain and make available to interested persons a directory identifying all firms eligible to participate as DBE’s in your program. Please see 49 CFR Parts 23 and 26, Section 26.33 for all requirements of this item.

6. Over concentration of DBE’s: If you determine that there is an over concentration of DBE’s in a certain market area which may unduly burden the opportunity of non-DBE firms, you must devise appropriate measures to address this over concentration.

7. Monitoring your DBE Program’s participants: You must implement appropriate mechanisms to ensure compliance with the DBE requirements by all program participants. You must set forth these mechanisms in your DBE program. Included should be a monitoring and enforcement mechanism to verify that work committed to DBE’s at contract/purchases award are actually performed by the DBE’s (included should be actual DBE attainments).

8. Goals including Good Faith Efforts: You must set an overall goal for DBE participation in your DOT-assisted contract/purchases, according to the criteria in 49 CFR Part 26, section 26.45. This goal must be submitted to ODOT for approval.

9. Public participation: In establishing an overall goal, you must have a public participation process which includes:

a. Consultation with minority, women’s and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses.

b. A published notice announcing your proposed overall goal, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at your principal office for 30 days following the date of notice, and informing the public that you and the Department will accept comments on the goals for 45 days from the date of the notice. The notice must be published in general circulation media and available minority-focused media and trade association publications.

10. Semi-Annual Uniform Reporting Requirements : Reports summarizing your contract awards/purchases for the semi-annual fiscal periods, including all supporting documentation, must be submitted to ODOT by the established due dates. ODOT will send out the semi-annual reports with reminders.

If you do not have an approved DBE Program, or if you fail to implement your program in good faith, you are in noncompliance with FTA assisted grant program requirements and your Rural Transit Program funding may be withheld.

DBE Program Information Sources:

ODOT, Office of Transit web site with DBE Information and links

select “Federal Compliance” then select “Disadvantaged Business Enterprise

U.S. DEPARTMENT OF TRANSPORTATION – OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION – DBE PROGRAM INFORMATION



FTA – OFFICE OF CIVIL RIGHTS – DBE PROGRAM INFORMATION



ODOT, OFFICE OF CONTRACTS – DBE INFORMATION & DBE UNIFIED CERTIFICATION PROGRAM INFORMATION AND FORMS



ODOT, OFFICE OF TRANSIT - DBE PROGRAM COORDINATOR

Brett Harris at (614) 466-7440 or Brett.Harris@dot.state.oh.us

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