DBE PROGRAM - ct.gov

1 CONNECTICUT DEPARTMENT OF TRANSPORTATION DBE PROGRAM Federal Highway Administration 2018 1 | P a g e Table of Contents Introduction .. 4 SUBPART A GENERAL REQUIREMENTS .. 4 Section Objectives .. 4 Section Applicability .. 5 Section Definitions .. 5 Section Non-discrimination Requirements .. 6 Section Recordkeeping Requirements .. 6 Section Required DBE Contract Assurances .. 7 SUBPART B ADMINISTRATIVE REQUIREMENTS .. 8 Section DBE PROGRAM Requirements .. 8 Section Policy Statement .. 8 Section DBE Liaison Officer.

2 8 Section DBE Financial Institutions .. 11 Section Prompt Payment Mechanisms .. 11 Section DBE Directory .. 12 Section Overconcentration .. 12 Section Business Development Programs .. 13 Section Monitoring and Enforcement Mechanisms .. 14 Section Small Business Enterprise | P a g e Table of Contents SUBPART C GOALS, GOOD FAITH EFFORTS, AND COUNTING .. 18 Section Set-Asides or Quotas .. 18 Section Overall Goals .. 18 Section Goal Attainment .. 19 Section TVMs .. 19 Section Breakout of Estimated Race-Neutral and Race-Conscious Participation.

3 19 Section DBE Good Faith Effort Procedures .. 23 Section Goal Counting .. 27 SUBPART D CERTIFICATION STANDARDS .. 29 Section Certification Standards .. 29 Section Group Membership .. 29 Section Business Size Standards .. 30 Section Social and Economic Disadvantage Standards .. 30 Section Ownership .. 30 Section Control .. 30 Section Other Standards .. 31 SUBPART E CERTIFICATION PROCEDURES .. 32 Section Unified Certification PROGRAM .. 32 Section Procedures for Certification Decisions.

4 32 Section Interstate Certification .. 33 Section Denials of Initial Requests for Certification .. 34 Section Removal of Eligibility .. 34 Section Summary Suspension of Certification .. 37 Section Certification Appeals to DOT .. 37 Section DOT Certification Appeals Decisions .. 38 3 | P a g e Table of Contents SUBPART F - COMPLIANCE AND ENFORCEMENT .. 39 Section Compliance Procedures for Recipients .. 39 Section Enforcement Actions .. 39 Section Enforcement Actions for Firms .. 40 Section Information, Confidentiality, Cooperation.

5 40 URL Summary List Attachments 4 | P a g e The Connecticut Department of Transportation (Department) submits this Disadvantaged Business Enterprise (DBE) PROGRAM Plan to the United States Department of Transportation (DOT), acting through the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) in accordance with 49 CFR Part 26, as amended. 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.

6 The PROGRAM also complies with 49 CFR Part 23, as amended, where applicable. SUBPART A GENERAL REQUIREMENTS The Department s DBE PROGRAM aims to achieve the following DBE regulatory objectives for all types of firms; contractors and consultants: 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.

7 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. To assist the development of firms that can compete successfully in the marketplace outside the DBE PROGRAM . To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs.

8 Introduction Section Objectives 5 | P a g e The DBE PROGRAM applies to all financial assistance where the Department expends DOT funds, as well as to any sub recipient to whom the Department extends federal financial assistance. The DBE PROGRAM requirements do not apply to projects that do not include 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.

9 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.

10 L. 102-240 or by Federal transit laws in Title 49, 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 uses the definitions contained in Part 26, Section , for this PROGRAM . In addition, the following terms not included in Part 26, Section , will have the meanings provided in the Documents section of the manual.