HomeMy WebLinkAbout234035 REGIONAL TRANSPORTATION DISTRICT - CONTRACT - CONTRACT - 2201593CONTRACT
THIS CONTRACT, made and entered into this I` day of January, 2002 by and
between the State of Colorado, for the use and benefit of the Department of Regulatory
Agencies, Colorado Office of Certification ("the State") 1560 Broadway, Suite 1540,
Denver, CO 80202, and the Regional Transportation District, 1600 Blake Street, Denver,
Colorado 80202 ("RTD"), and certain affiliated agencies named in a Memorandum of
Understanding attached hereto as Exhibit A and incorporated by reference (collectively
"the RTD affiliated agencies").
WHEREAS, required approval, clearance and coordination has been accomplished
from and with appropriated agencies; and
WHEREAS, the State has formulated a Disadvantaged Business Enterprise (DBE)
Certification Program for minorities, women, and other socially or economically
disadvantaged groups pursuant to the eligibility criteria set forth in 49 CFR 26; and a Small
Business Enterprise (SBE) Certification Program for small businesses as defined in 13 CFR
part 121 and meets the economic disadvantaged described in 49 CFR 26.67; and
WHEREAS, pursuant to Executive Order DO055-87, the State Office of Certification
is specifically designed to investigate and verify that only bona fide disadvantaged
business enterprises (as defined in 49 CFR Part 26) are certified as eligible for participation
in federal, state, or local government procurement contracts; and
WHEREAS, the State has represented that it has the personnel and expertise
necessary to provide the needed information; and
WHEREAS, RTD desires that the State provide certification services for the DBE
and SBE programs of RTD and the RTD affiliated agencies, and the State has determined
that RTD and the RTD affiliated agencies are appropriate agencies for which to provide
these services.
NOW THEREFORE, in consideration of the premises and promises hereinafter set
forth, it is mutually agreed as follows:
1. The State will investigate applications for certification from entities which maintain that
they are a DBE or SBE making application to RTD or the RTD affiliated agencies for
status as a DBE or SBE contractor, vendor, or provider of special services.
2. In determining whether any such entity may be certified as a DBE, the State will apply
criteria established by the U.S. Department of Transportation at 49 CFR, Parts 26.61
through 26.91, which criteria are summarized as follows:
A. Are the principals bona fide members of a minority group or women;
B. Is the business operated in an independent manner;
C. Do the principals of the entity have the power to direct (or cause to be directed)
and make day-to-day as well as major decisions on matters of management, policy
and operation;
1
a
Table of Contents:
PROCESS DEVELOPMENT
INITIAL MEETINGS
THE POSSIBILITIES
COLORADO RECIPIENTS
THE POSSIBILITIES IN DETAIL
THE UCP PROGRAM PLAN
PROGRAM COMMITMENTS
PTOGRAM OVERVIEW AND REQUIREMENTS
IMPACT ON RECIPIENT PROGRAMS
COMMUNICATION
EXECUTIVE COMMITTEE
RECIPROCITY
RATIFICATION PROCESS
DATA REQUIREMENTS
INITIAL CONSOLIDATION
CERTIFICATION OF NON-COLORADO FIRMS
NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)
THIRD PARTY CHALLENGES
APPEALS PROCESS
UCP PARTNER COMPLIANCE
TRAINING
EXHIBITS
ATTACHMENTS
TIMELINE
2
3
3
4
5
8
8
8
9
10
10
10
10
11
11
12
12
12
13
13
14
Unified Certification Program
Development
he new Disadvantaged Business Enterprise (DBE) requirements contained in 49 CFR Part
26 included a provision for a "one -stop" certification process. The process must be defined
and submitted to the Secretary of Transportation for approval not, later than March 4, 2002.
Failure to develop and execute a Unified Certification Program plan (UCP) will result in a loss
of USDOT funding.
In March of 2001, a UCP forum was held in Atlanta, Georgia. Representatives from the following
Colorado based agencies attended.
• Regional Transportation District (RTD): Colorado's primary transit funds recipient.
Colorado Office of Certification (COC): An office of the State of Colorado's Department of
Regulatory Agencies. COC certifies DBE applicants for highway and transit work under 49
CFR Part 26.
The Mayor's Office of Contract Compliance (MOCC): Representing the City & County of
Denver, Aviation funds recipient.
There were two objectives in attending the Atlanta forum: (1) to gather information on how other
USDOT recipients were proceeding with their UCP plans; and (2) to utilize applicable information for
the development of Colorado's UCP plan. Upon our return from this valuable forum, the Colorado
Department of Transportation coordinated a meeting between themselves and the above named
agencies to begin the process of developing Colorado's UCP plan. These agencies represent
Colorado's major USDOT funding recipients and the only two certifying entities within the state. They
will henceforth be referred to collectively as the "UCP Executive Committee" (UCPEx). These initial
meetings were designed to identify Colorado's current certification process, brainstorm possible UCP
solutions, identify all of Colorado's recipients, and draft and implement Colorado's UCP plan.
Initial Meetings: The UCP Executive Committee's initial meetings focused on the current
certification processes. Following were the findings:
• There are currently two DBE certifying agencies within Colorado.
o The Mayor's Office of Contract Compliance (MOCC).
o The Colorado Office of Certification (COC).
• The agencies do not recognize each others certifications.
• CDOT recognizes only COC certified DBE firms.
• RTD recognizes both COC and MOCC'certifications.
• Denver only recognizes MOCC certifications.
• The MOCC provides certification for airport concessions. The COC does not.
• The MOCC's scope is broader than that of the COC.
• The COC is a cash funded entity requiring contracts with various organizations to continue
operations. The MOCC is a Denver city agency supported by the city's general fund.
• There are three separate certification directories as well as three distinctively different work
category/work code systems.
The above highlights of initial meetings clearly indicate that Colorado's certification process, as it
currently stands, does not meet the regulation's requirements for "one -stop shopping to applicants for
certification, such that an applicant is required to apply only once for a DBE certification that will be
honored by all recipients in the state." The committee agreed to continue meeting for the purpose of
brainstorming possible solutions. We further agreed that once those solutions were identified, it
would be necessary to have a statewide meeting of all recipients to gather input, feedback and make
a decision on which potential solution would best serve both the recipients and small business
entities of Colorado. The Colorado Department of Transportation volunteered to act as the lead
agency facilitating the development of Colorado's UCP plan.
The Possibilities: Over the course of several meetings, many potential options were
discussed. The benefits and obstacles of each were presented and discussed at considerable
length. In the final tally, the committee came up with four potentially viable options.
• One Governmental Certifying Agency
• Modal Specific: Certifying agency would be dependent upon type of certification being
sought. One agency for highway/transit and another for aviation concessions.
• Independent Contractor: Privatization of the process eliminating the certification arm of both
the State and City of Denver.
• Interagency Recognition: A form of reciprocity.
3
With the identification of the above as potential UCP options, the committee determined it was time to
get all of Colorado's recipients involved in the process. Since the regulation is very specific regarding
the requirement for all recipients to be bound by the UCP, logic dictates that each should have a
voice in its preparation and design. A statewide meeting of recipients was held at the Colorado
Division offices of the Federal Highway Administration on October 30, 2001. Following is a list of
agencies notified of the meeting and, separately, a listing of those in attendance. The letter of
invitation for this meeting is included herein as Exhibit A.
COLORADO RECIPIENTS
AGENCIES NOTIFIED BY LETTER
o
Northwestern Colorado
o
Akron Washington County
o
City of La Junta
Association of Local
Airport
o
Prowers Area Transit Service
Government
o
Aspen-Pitkin County Airport
o
Roaring Fork Transit Agency
o
Denver Regional Council of
o
Boulder Municipal Airport
o
Seniors' Resource Center
Governments
o
Jefferson County Airport
o
Denver Minority Business
o
Pikes Peak Area Council of
o
Colorado Springs Municipal
Development Center ,
Governments
Airport
o
Mountain Village Metro
o
East Central Council of Local
o
Colorado Springs Airport
District
Governments
o
Cortez Municipal Airport
o
Weld County Transportation
o
Region 6 Southeast Colorado
o
Denver International Airport
Program
Enterprise Development Inc.
o
Mayor's Office of Contract and
o
Grand Valley Transit
& Southeast Council of
Compliance
o
Roaring Fork Railroad Holding
Governments
o
Durango-LaPlata County
Authority
o
Pueblo Area Council of
o
Eagle County Regional Airport
o
T-Rex
Governments
o
Erie Municipal Airport
o
Town of Telluride Transit
o
San Luis Valley Development
o
Centennial Airport
o
City of Telluride
Resources Group
o
Walker Field Airport
o
Tom Frazier- Ft. Collins
o
Upper San Juan Regional
o
Greeley / Weld County Airport
Transit
Planning Commission
o
Gunnison County Airport
o
North Front Range
o
Region 10 League for
o
Yampa Valley Regional
Transportation Council
Economic Assistance &
Airport
o
Pueblo Transit
Planning, Inc.
o
LaJunta Municipal Airport
o
CDOT - Transit & Tail
o
Associated Governments of
o
Lamar Municipal Airport
o
Colorado Springs Transit
Northwest Colorado
o
Lake County Airport
Agency
o
Northwest Colorado Council
o
Ft. Collins/Loveland Airport
o
US Dept of Transportation
of Governments
o
Meeker Airport
o
Federal Highway
o
Upper Arkansas Area Council
o
Montrose Regional Airport
Administration — Western
of Governments
o
Pueblo Memorial Airport
Resource Center
o
Huerfano/Las Animas Area
o
Yuma Municipal Airport
o
Colorado Springs TSU
Council of Governments
o
Garfield County Regional
o
CDOT - Business Programs
o
Archuleta County
Airport
o
Denver Water
o
Bent County
o
Steamboat Springs Airport
o
Rocky Mountain MSDC
o
Town of Breckenridge
o
Sterling Airport
o
FAA Denver Airport Office
o
Town of Crested Butte
o
Front Range Airport
o
Regional Transportation
o
Development Opportunities,
o
South Central COG
District
Inc.
o
Special Transit -Boulder
o
Colorado Office of
o
City of Durango
o
Southern Ute CAP Program
Certification
o
ECCOG - Outback Express
o
Summit State
o
City of Greeley
o
Jackson County Council on
o
Greyhound Lines, Inc.
o
FHWA Colorado Division
Aging
o
Montezuma County Senior
o
CDOT, Division of
Nutritional/Outreach
Aeronautics
o
Mesa County
4
•
Rebecca Tanrath
•
Brenda Weltzer
•
Joe Duran
•
Charmaine Farrar
•
Nance Earley
•
Vickie Farr
•
Bemetta Collins
•
Dante James
•
Lupita Gusman
•
Deborah Gallegos
•
Karen Nakandakare
•
Karen Gonzales
•
Judith Lamb
•
Jennifer Carter
•
Dennis Moss
•
Steve Hatcher
•
Susan Atwood
•
Edna Adeh
•
Laurie Billeter
•
Vicki Philips
•
Sue Podczervinski
•
Ron Hollins
•
Kathie Lucas
•
Larry Worth
•
Kit Williams
•
Gary Taylor
•
Michael Felschow
•
Paul Deines
•
Patrick Barnes
INDIVIDUALS/AGENCIES IN ATTENDANCE
Federal Transit Administration
Federal Highway Administration —Western Resource Center
Federal Highway Administration
Federal Highway Administration
Federal Aviation Administration — Denver Airport Office
Denver Regional Council of Governments
Department of Regulatory Agencies - Colorado Office of Certification
City & County of Denver Mayor's Office of Contract Compliance
City & County of Denver Mayor's Office of Contract Compliance
Colorado Department of Transportation
Colorado Department of Transportation
Colorado Department of Transportation
Colorado Department of Transportation
Colorado Department of Transportation
Erie Municipal Airport
Greyhound Lines, Inc. -
Roaring Fork Transportation Authority
Aspen Airport
Denver Water Board
Colorado Springs Airport
City of Colorado Springs
Rocky Mountain Minority Supplier Development Council
Gunnison County Airport
Northeast Colorado Association of Local Governments
Denver Minority Business Development Center
City of Greeley Transit Services
Colorado Springs TSU
Regional Transportation District
Regional Transportation District
The Possibilities in Detail: We focused our discussion on the events leading up to
this meeting, the background and requirement for a UCP outlined in 49 CFR Part 26 and the
necessity for all Colorado recipients involvement. With the foundation laid, our discussion moved to
the four different formats suggested by the initial committee as viable options. Following is a
synopsis of each option considered:
ONE GOVERNMENTAL CERTIFYING AGENCY: It was proposed that the State of
Colorado have one and only one governmental agency performing DBE certifications for all
recipients within the State.
o Benefits:
• Achieves "One Stop Shopping' requirement.
• Assures continuity of application, investigation, data, and appeal processes.
• Potential cost savings to recipients.
o Issues:
• Which office would be eliminated?
• Difficult to implement. Either the City or the State must agree to eliminate their
certifying office and give certification control to the other agency.
• Potential negative impact on employees of office to be eliminated.
• What status is to be given to the companies currently certified by the
eliminated agency?
• Time to implement thought to be excessive. Coordination through each
agency could be cumbersome. No guarantee the political decision makers
will agree, which puts us back to square one, beyond the time limit specified
in the regulation with no UCP in place.
MODAL SPECIFIC: It was proposed that the COC certify applicants for highway and transit
work while the MOCC certify applicants for FAA concessions:
o Benefits:
• No overlap of responsibility or need for reciprocal recognition.
• Rapid implementation possible.
Minimal cost impact
o Issues:
• Potential customer confusion concerning which agency to apply with
• What status is to be given to the companies currently certified by only one
agency? Must they be re -investigated by the other?
• Transfer of records and data.
• Companies desiring certification for both construction and aviation work would
be required to apply to both agencies. "One Stop Shopping" would not be
achieved.
• MOCC would have to eliminate 75% of its certification work force.
• FHWA indicated it would not approve this option.
• INDEPENDENT CONTRACTOR: Privatize the certification process.
o Benefits:
• Meets regulatory requirement for "One Stop Shopping".
• Assures continuity of application, investigation, data, and appeal processes.
• Potential cost savings to recipients.
• Independent. Objective. Less susceptible to potential political influence in
certification decision process.
I
o Issues:
• Eliminates both certifying agencies.
• Negative employee impact.
• Approval process; through City and State bureaucracies is cumbersome. No
guarantee the" political decision makers will agree which puts us back to
square one, beyond the time limit specified in the regulation with no UCP in
place.
• Who will provide contractor oversight?
• Transfer of records and data. Are there confidentiality and privacy issues?
• Certification authority cannot be delegated. Some form of recipient coalition
would be required to review each case and make certification decisions.
• INTERAGENCY RECOGNITION: Keeps in place current certifying entities. Requires
reciprocal recognition and ability to acquire highway, transit and airport certifications at any
recognized certifying entity.
o Benefits:
• Allows for numerous certifying entities.
• Rapid implementation.
• Cost Effective.
• Immediate increase in number of certified companies.
• Minimized impacted on current certifying entities and employees.
• Capitalizes upon existing positive relationship between the two current
certifying agencies.
• Differing processes between the two agencies can be easily and quickly
brought into mutual conformance with staff training sessions.
o Issues:
• Different agency processes. Uniform processes/forms must be established.
• Grandfathering of currently certified companies. Specifically, those denied by
one agency but certified by another must be resolved.
• Each agency must be granted access to the files of the others.
• No information sharing process that would preclude an applicant from
circumventing the system. A firm may attempt to gain certification from an
alternate agency after being denied by one or more agencies.
7
• CONCERNS COMMON TO ALL PROPOSED SOLUTIONS:
o Funding. How will statewide recipients share certification cost?
o Combined database is crucial and required by regulation. Requires close
coordination for conversion of three systems into one. This activity may be the single
most costly aspect of UCP implementation.
o Training of Personnel
o Continuity of processes and forms
Each of the above potential solutions was discussed at length during this forum. After careful
consideration, this body chose to move forward with a UCP plan based upon the concept of
Interagency Recognition. ' Toward that end, the following is the State of Colorado's proposed Unified
Certification Program plan.
STATE OF COLORADO
DISADVANTAGED BUSINESS ENTERPRISE
UNIFIED CERTIFICATION PROGRAM PLAN
Program Commitments: In accordance with Federal regulation 49 CFR Part 26.81
DOT recipients within the state of Colorado establish the following Unified Certification Program
(UCP). This UCP will follow all certification procedures and standards of 49 CFR, Part 26 and Part
23. The UCP will cooperate fully with oversight, review, and monitoring activities of DOT and its
operating administrations. The UCP will implement DOT directives and guidance concerning
certification matters.
Program Overview and Requirements: Colorado's UCP concept is referred
to as Interagency Recognition. It is one that allows for one or more certifying entities within the state
of Colorado, each operating independently but bound together by this UCP and its requirements.
EACH CERTIFYING ENTITY MUST:
Be formally recognized in writing by the Colorado UCP Executive Committee (UCPEx) as a
certifying entity. This committee is responsible for compliance and oversight of Colorado's
UCP. (Exception: The Colorado Office of Certification and the Denver Mayor's Office of
Contract Compliance will continue certification as currently performed. Formal recognition by
UCPEx will be issued once training has been accomplished and each is in compliance with
this UCP.)
• Recognize as a certified DBE, any business entity that has obtained a valid certification from
any certifying entity formally recognized by the UCPEx as an authorized certifying entity.
• Apply criteria established by the U.S. Department of Transportation in 49 CFR, Part 26 or
Part 23 as applicable, to all business entities applying for DBE certification to perform work on
USDOT assisted highway, aviation, and transit projects.
Apply criteria established by the U.S. Department of Transportation in 49 CFR, Part 23, to all
business entities applying for DBE certification to perform work in the area of airport
concessions.
• Utilize the Uniform Certification Application provided in appendix F to 49 CFR Part 26,
included herein as Attachment 1, for all business entities applying for DBE certification under
49 CFR Part 26 and/or Part 23.
Utilize the Uniform Statement of Findings and Facts, included herein as Attachment 2, to
summarize the certification decisions for all firms making application for DBE certification.
• Utilize standard Renewal Application included herein as Attachment 3. Accept a renewal
affidavit from any firm who submits it to them. If they are not the original certifying agency,
they will forward it to the original certifying agency for processing.
• Utilize standard Letter of Certification included herein as Attachments 4 and 4A.
• Utilize standard Certificate of DBE Certification contained herein as Attachment 5.
• Establish an appeal process consistent with the requirements of 49 CFR Part 26.89.
• Participate in a Unified Certification Directory and provide daily updates regarding new
certifications, renewals, denials and other appropriate information.
• NOT process for certification any DBE application submitted by a firm previously denied by
another certifying entity recognized under this UCP; UNLESS 6 months has elapsed since
the firm was notified of its denial for certification.
• Prior to becoming a recognized certifying entity, attend training sessions sponsored by the
UCPEx to insure all Colorado certifying entities have process continuity and apply certification
standards uniformly. (COC & MOCC excepted as stated in bullet 1).
ALL RECIPIENTS MUST:
• Abide by the provisions of this UCP and requirements of 49 CFR Part 26 & Part 23.
• Recognize as certified DBEs, only those firms contained in the Unified Directory.
• Recognize as certified DBEs, all firms in the directory regardless of the entity proffering the
certification. Providing the certifying entity is formally recognized by the UCPEx to perform
certifications.
• Refer businesses seeking DBE certification to one of the certifying entities formally
recognized by the UCPEx to perform certifications.
• Participate in the funding and/or allocation of resources necessary to implement and continue
operation of the UCP.
Impact on Recipient Programs: The UCP will not establish, recommend, or
alter any agencies' overall DBE Program, other than to supplement an approved program submittal,
DBE goal or goal methodology. DBE goal development, program administration, monitoring, and
reporting remains the sole responsibility of the agency with a USDOT approved DBE Program in
accordance with 49 CFR Part 26.
Communication: Sharing information on any matter related to the operation of the UCP is
a core element of the process. All Colorado UCP partners must be free to communicate openly with
each other. Communication can take the form of, but is not limited to, telephone conversations,
conference call, meetings, correspondence, and/or electronic transmittals.
If any Colorado UCP partner is in receipt of information that is necessary or critical to making a
determination of DBE eligibility, they shall notify and submit the appropriate information to the agency
conducting the review, if known; or to all of the recognized certification entities if the agency is
unknown. Each Colorado UCP partner shall be made aware through use of the Unified Directory of
all status changes affecting certifications.
This UCP plan is a document and program that is certain to undergo revisions, changes and
improvements over the course of time. The UCPEx will strive to keep all recipients informed of
potential changes and solicit continuous input aimed at refining and improving the UCP. The CDOT
Center for Equal Opportunity is the point of contact for all such input, which will subsequently be
relayed to the UCPEx for any necessary action.
Executive Committee: It is impractical to put all decisions regarding the UCP before
the entire UCP partnership. Therefore, the UCP establishes a "Unified Certification Prograrr
Executive Committee (UCPEx)" for the purpose of rendering decisions on issues relevant to the
program both during implementation and throughout it's future evolution. This committee will meet
regularly during UCP implementation and a minimum of semi-annually thereafter: Issues before the
committee will be decided by a majority vote of those in attendance. Minutes of these meetings will
be sent to all UCP partners. The UCP Executive Committee will include, but is not limited to,
appropriate representatives from the following agencies: The Colorado Department of
Transportation, The Regional Transportation District, The Colorado Office of Certification, Denver
Mayor's Office of Contract Compliance and the Aspen Airport.
Reciprocity: Unless and until the DOT requires reciprocity between all state UCP's,
Colorado UCP partners may elect to enter into a written reciprocity agreement with UCP's in other
states or regions. The decision to execute such an agreement will be made by a majority vote of the
UCP Executive Committee. All partners agree that they will not independently execute any
reciprocity agreements with any other agency or entity, including city, county, state or federal
agencies, binding that partner, and subsequently the UCP, to a reciprocity agreement.
Ratification Process: All recipients of federal funds administered by the USDOT, either
directly or indirectly, must ratify and comply with the UCP agreement. Failure to ratify the agreement
may be grounds for the USDOT to find the recipient in "noncompliance" with DBE regulations. A
finding of noncompliance may put the recipients federal funds in jeopardy.
The Draft UCP plan will be forwarded to all Colorado recipients. They are responsible to review the
document and, if necessary, have it reviewed by legal staff, and forward with comments or concerns
to CDOT. As the lead agency for UCP plan development, CDOT will gather all input from the
recipients, make the necessary revisions and finalize the document. A copy of the final document will
be forwarded to all recipients. The recipients will acknowledge receipt and acceptance of the final
UCP by completing and returning to CDOT a letter of receipt and agreement included herein as
Attachment 6. CDOT will, in turn, submit the final UCP plan to USDOT.
10
D. Are non -minority or non -women owner(s) of the entity disproportionately
responsible for operations;
E. Are securities constituting ownership held directly by minorities or women;
F. Are the contributions of capital or expertise by the minorities or women involved
real and substantial; and
G. Do the principals have a personal net worth under $750,000.
3. In determining whether any such entity may be certified as a SBE, the State will apply
criteria established by the Small Business Administration at 13 CFR part 121 to
determine small business size standards. Such entities shall also meet all requirements
for DBE certification with the exception that the principal owner does not need to be
minority -owned or woman -owned.
In conducting the above investigations, special consideration and close scrutiny will be
given to any applicant if: the entity is a newly formed or reorganized firm; there is an
immediately previous and/or continuing employer/employee relationship with the majority
entity; and/or there is a close relationship between the applicant firm and a business which
is non -DBE or non-SBE.
4. As part of the application process, the State will conduct on -site home office
interviews for each in -state applicant, interview all owners or principal employees,
require full disclosure of corporate control including copies of stock certificates and
analysis of corporate documents and stock transfer ledgers, determine bonding
capacity of the applicant by review of financial statements and recent tax returns,
obtain information concerning equipment and key personnel, and determine the type of
work which can be performed by the applicant.
5. Except in extraordinary circumstances, the State shall notify applicants within 90 days
regarding their eligibility for certification. If an applicant fails to provide requested
information within the time specified on the information request, the State will close
the applicant's file without further action and notify the applicant that it must reapply
providing all previously requested information in order to be considered at a future
date.
6. All applicants currently certified by Small Business Administration 8(a) or SDB program
may send the State a copy of their SBA application. The State, through its Office of
Certification, will do an on -site visit for in -state applicants and make determinations
regarding certification as previously stated. If the Office of Certification needs
additional information from the 8(a) or SDB applicant, the Office shall request it
directly.
7. All applicants currently certified by the City & County of Denver Mayor's Office of
Contract Compliance (MOCC) as a DBE or Small Business Enterprise (SBE) may send
the State a copy of their MOCC certification and request State DBE certification based
upon their certification with the MOM The State will review the MOCC's certification
file and approve or disapprove State certification based upon that information. The
State may request additional documentation from the applicant as required (any
information not provided in the original MOCC application). The State need only
FA
Data Requirements: 49 CFR Part 26.81(g) requires "Each UCP shall maintain a
unified DBE directory containing, for all firms certified by the UCP (including those from other states
certified under the provisions of this section), the information required by section 26.31. The UCP
shall make the directory available to the public electronically, on the internet, as well as in print."
Toward that end, the Colorado UCP committee has had several meetings with the Information
Technology experts assigned to each agency. There currently exists, at the Colorado Department of
Regulatory Agencies, a web based directory that can be modified to meet the basic requirements of
a Unified DBE Directory. This registry will be modified and used. CDOT will take the lead in this
effort with input from the UCPEx. An IT subcommittee has been established and has held several
meetings. It was determined that the unified date base implementation will have two phases: First,
immediate development of a unified, on-line, searchable certification directory for use by the general
public; and secondly, an expansion of the data base to include eligibility -specific information for each
applicant company. This second -phase information will not be available to the general public, and
will be limited to the certification offices only. As with the rest of this UCP document, this plan for
data collection and publication will be amended and updated as necessary.
Initial Consolidation: There are currently two certifying entities within the state of
Colorado, the Colorado Office of Certification and the City & County of Denver Mayor's Office of
Contract Compliance. The Colorado UCP shall institute a limited "grandfather clause" that will govern
continued certification of currently certified firms by these entities. This grandfather clause is a one
time only occurrence and is subject to approval of the UCP Executive Committee, which will utilize
the expertise of appropriate legal staff.
All certified DBE firms will be evaluated on their renewal dates by the original certifying entity under
this UCP's guidelines to determine continued eligibility.
"Grandfathering" will be initiated in the following manner:
Firms currently certified by both certification offices.
• Firms currently certified by one certification office and have not applied to and been denied by
the other.
The application records of firms currently certified by one of the entities above that have
previously applied to and been denied DBE certification by the other entity shall be reviewed
on a case by case basis by representatives selected by the UCP Executive Committee.
These representatives must achieve a consensus by majority to allow continued certification
of these firms prior to adding them to the Unified Directory. Additional information may be
requested from the firm for this purpose.
Any firm whose DBE certification is revoked as a result of the above action must be notified in
writing as outlined by 49 CFR Part 26.87 and 26.89 and has all of the rights of appeal granted
therein, to include appeal to USDOT.
After the effective date of this Agreement, and completion of all reviews by the UCP Executive
Committee, only firms certified based on guidelines prescribed in 49 CFR 26 and provisions under
this Agreement shall be recognized as certified and added to the Unified Directory. It should be
11
noted that Airport Concessionaires will continue to be certified under 49 CFR 23, as required by the
FAA, until notified otherwise.
Certification of Non -Colorado Firms: Unless and/or until the USDOT
requires reciprocal recognition of other state UCP's, or unless the Colorado UCP has a reciprocal
agreement with the applicant's state of origin, out of state requests for certification will be processed
in the following manner:
• The applicant must be certified in their home state and provide a copy of their DBE
certification.
• The certification entity may accept a complete copy of the applicant's home state certification
application and all supporting documentation in lieu of the Colorado application.
• The applicant may be required to provide additional documentation at the discretion of the
certifying entity the firm is making application to.
The Colorado UCP certifying entity will contact the applicant's state certifying entity and
request a copy of the site visit report, or transcript and/or statement of findings — whichever is
appropriate.
Once all of the required documentation has been received, the application for certification will
proceed in the same manner as all other applications for certification.
North American Industry Classification System (NAICS) Codes: The
Colorado UCP certifying entities will certify all firms in compliance with 49 CFR Part 26, including
designating specific work types. The NAICS codes will be used for determining small business size
as required by 13 CFR Part 121; and for disignating specific work classifications under which certified
companies will be listed in the unified directory. All firms will be informed of the speck codes and a
short narrative description of that designation.
Any firm may request modification and/or additions to their approved work designation codes by
making a written request to the certifying partner. That request must include the equipment and
experience indicating the firm's ability to perform the particular work type. In addition, the firm must
submit documentation of past contracts on which the firm has performed the specific type of work. A
sample request application is contained herein as Attachment 7.
3rd Party Challenges The Colorado UCP certifying entities shall accept signed written
complaints from any person, including Colorado UCP partners, alleging that a currently certified firm
is ineligible. The complainant must state specific reasons for ineligibility and submit any
documentation in support of the complaint. The firm being challenged will be notified by the original
certifying agency, in writing, of the challenge, the basic grounds, and the relevant regulations. The
original certifying entity will be responsible to thoroughly investigate the complaint, within a
reasonable time, not to exceed 60 days. The agency shall notify the DBE in writing, by certified mail,
of the preliminary findings. If reasonable cause to remove certification eligibility is found, they will
notify the complainant of the specific grounds and inform the firm of the right to appeal the preliminary
finding in accordance with the certifying entities appeal process.
12
Appeals Process: Each certifying entity must have in place an appeals process that
meets the requirements of 49 CFR Part 26. At the time of this writing, Colorado's only two certifying
entities have firmly established appeals processes that will remain intact. Firm' s wishing to appeal a
denial decision will go through the appeals process for the agency that reviewed and made the
original denial decision and then appeal to the USDOT, or may appeal directly to the USDOT.
UCP Partner Compliance A great deal of the discussion has taken place
regarding the need to trust each UCP partner, as well as acknowledging issues that may arise
related to quality and compliance. We acknowledge there are many agency specific issues related to
certification processes. The primary areas of concern are:
o Political Influence Or Interference In Certification Decisions
o Incomplete Or Inadequate Definition Of Processes
o Non -Compliance With 49 CFR Part 26
o Quality Of Decisions
In order for the UCP to succeed and the partners to maintain the level of trust needed to effectively
fo
comply with the UCP requirements, it is necessary to implement minimum requirements r
compliance, as well as a process for dealing with any agency that is found to be i The specific minimum requirements are: n non-compliance.
o All decisions related to certification must be made in compliance with 49 CFR Part 26. This
requires the political independence to make decisions based upon the
requirements.
specfc eligibility
o Outside entities such as construction industry organizations or other politically mandated
organizations cannot be involved in the certification process or decisions.
o All certifying entities must make all decisions and recommendations on certification based
purely upon the eligibility requirements, without consideration of political influence or factors.
o All partners agree that there is no "emergency" certification, nor is there a provision within 49
CFR Part 26 for "conditional" certification. The eligibility requirements are to be determined
with the factors present at the time of application and the decision is to be made in
compliance with Part 26.
If any Colorado UCP partner feels that a particular agency is not complying with the requirements of
49 CFR Part 26, they may make a written complaint to the UCPEx through the Colorado Department
of Transportation Center for Equal Opportunity. The UCPEx will review the complaint and
circumstances fully. If the committee, not including the complaining agency or the agency in
question, achieves consensus that the agency is not complying with the requirements, remedial
action will be taken. The remedial action can take the form of one of the following:
o Written Findings — The UCP Executive Committee may issue a formal written determination
of the issues regarding that agency's certification, procedures, or practices. This
determination will be sent to the senior management official or chief operating officer of the
agency in question, the program administrator, and USDOT. It is hoped that the agency will
review the procedures at issue and make improvements to the process in order to meet 49
CFR Part 26.
13
Monitoring & Concurrence — The UCP Executive Committee may issue a formal written
determination as set out above, as well as provide a procedural review and concurrence
Process. It is the hope of the partners that the agency in question will take this opportunity to
gain additional knowledge and education of the regulations and requirements.
The agency in question will be required to obtain UCP Executive Committee concurrence in
certification determinations for a specific period of time. Depending upon the situation, the
UCP Committee may choose to "pair' the agency with another certifying entity or it may
choose to require concurrence by a majority of the UCP Executive Committee. If an agency
is paired with another certifying entity and a dispute continues to exist, the UCP Executive
Committee will make the final determination.
Non -Compliance — Should the UCP Executive Committee make every effort to correct the
deficiencies in an agency's certification process but is unsuccessful, additional measures
may be necessary. Should the UCPEx find that an agency is not acting in good faith, the
committee will submit its findings to USDOT and the relevant operating agency along with a
formal request for assistance in resolving the issue.
Training: The UCP Executive Committee is committed to implementing a process that meets
the requirements of the regulation and is applied uniformly by all certifying entities. Uniform training is
the key. This committee will develop and initiate training sessions to insure all current and future
certifying entities utilize the same methods and procedures and make sound decisions regarding
DBE certification. All certifying entities will be required to complete these training sessions before
beginning certification investigations. Confirmation of an entities' completion of training will be made
by the UCPEx through their formal letter of recognition.
14
Exhibit A
STATE OF COLORADO
DEPARTMENT OF TRANSPORTATION
EO Center
4201 East Arkansas Avenue
Denver, Colorado 80222
(303) 757-9303
October 10, 2001
Gerald Wallace
Mountain Village Metro District
113 Lost Creek Lane
Mountain Village, CO 81435
Dear Mr. Wallace,
On behalf of the Colorado Department of Transportation, please accept this invitation to
participate in a very important meeting to respond to new requirements within the US DOT
Disadvantaged Business Enterprise (DBE) Program. A statewide meeting is scheduled for
Tuesday, October 30, 2001 from 8:30 am — 4:00 pm, and will be held at the Federal Highway
Administration Colorado Division (555 Zang Street) in the 3rd floor conference room.
In February 1999, the US DOT issued new DBE regulations (49 CFR 26) which require that all
DOT recipients who receive funds from the Federal Aviation Administration (FAA), Federal
Highway Administration (FHWA), and the Federal Transit Administration (FTA) must sign an
agreement to establish a Unified Certification Program for certifying DBEs in their State. This
UCP agreement must be submitted to US DOT for approval by March 4, 2002.
Since May of this year, preliminary planning meetings have been held between CDOT, the
Department of Regulatory Agency, the Regional Transportation District in Denver, and the
Denver's Mayor's Office of Contract Compliance. Based on that preliminary work this statewide
meeting was scheduled. The purpose of the meeting is to:
• Provide information to DOT recipients on UCP requirements
• Share information related to alternatives identified for Colorado's UCP
• Bring program partners responsible for certification together to discuss issues and
strategies related to the Colorado's UCP
• Reach agreements on the future of Colorado's UCP
Unified Certification Process
Page two
Your participation at the meeting is important to the successful implementation of the UCP since
the funding mechanisms for the process will affect us all. Please call me at 303-757-9969 to
discuss the meeting or ask questions about the process. Thank you in advance for working
together with us.
Sincerely,
Debra A. Gallegos, Manager
Center for Equal Opportunity
23218 Federal Register/Vol. 66, No. 89 / Tuesday; May 8, 2001 / Proposed Rules
16. In Appendix E, under Economic Disadvantage, remove and reserve section (13)(2).
17. Add a new Appendix F to read as follows:
Appendix F to Part 26-Uniform Certification Application Form
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
49 C.F.R. PART 26
- UNIFORM CERTIFICATIONAPPLICATION
N=: the instruction page will be drafted after the form is completed.
Under Sec. 26.107 of 49 CFR Part 26, dated February 2, 1999, if at any time, the Department or a recipient has
reason to believe that any person or firm has willfully and knowingly provided incorrect information or made
false statements, the Department may initiate suspension or debarment proceedings against the person or firm
under 49 CFR Part 29, take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, and/or
refer the matter to the Department of Justice under 18 U.S.C. 1001.
Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules 23219
Illl) \U)�1 \I° hlllll .�1°I"1.1(A,A"I ti`
D Should I apply?
Your firm must meet the following requirements to qualify as a DBE under the DOT DBE program:
O Disadvantaged owners are U.S. citizens or legal permanent residents.
O Firm's annual gross income does NOT exceed $17.420 million (averaged over 3 years).
O Firm is at least 51 % owned and controlled by socially and economically disadvantaged individuals.
O Firm meets SBA small business size in the primary industry group (13 CFR part 121).
O Firms owned by ANCs, Indian Tribes, and Native Hawaiian Organizations meet the small business size
requirements and are controlled by socially and economically disadvantaged individuals.
❑ Firms and owners meet the requirements of part 26 concerning licenses and credentials.
O Firm must be for -profit.
Note: Firms must undergo an review.
OO Is there an easier way to apply?
If you are currently certified as an 8(a), or SDB firm, you may be eligible for a streamlined certification
application process pursuant to a Memorandum of Understanding (MOU) between DOT and the SBA.
Under the MOU, the certifying agency to which you are applying will accept your current SBA application
package in lieu of requiring you to submit and entirely new application. You must still meet the
requirements for the DBE program.
Oa What documents must I submit with this application?
The following documents must be attached to your application. Missing documents or incomplete
information will delay the processing of your application.
All Applicants
0 Work experience resumes that include places of
ownersbiptemployment and corresponding dates.
0 Personal Net Worth statement or statement from CPA.
O Social & economic disadvantage statement.
0 Entire copy of personal taz returns for the last 3 yrs, if
applicable.
O Documented proof of contributions used to acquire ownership
for each owner (e.g. both sides of cancelled checks).
O Signed loan agreement and security agreements.
D Description of real estate and proof of ownership listed.
0 List of equipment leased and signed lease agreements.
0 List of construction equipment and/or vehicles owned and
titles/proof of ownership.
O Signed leases for office/storage space.
O End of Year Balance Sheets and Income Statements for the
past 3 years (or life affirm if less than 3 years). A new business
must provide a current Balance Sheet.
0 Copies of relevant licenses.
0 DBE/MBEWBE, SBA 8(a) or SDB certifications or denials
and decertification.
0 Bank Authorization and Signatory cards.
0 Schedule of salaries paid to all officers, managers, owners or
directors of the firm (W-2s).
Sole Proprietorship
0 Assumed time, fictitious name or other registration certificate
from appropriate governmental agency.
Partnership or Joint Venture
D Original and any amended Partnership or Joint Venture
Agreements.
O Assumed time, fictitious name, or other registration
Certificate from appropriate governmental agency, if applicable.
O Partnership tax returns for last 3 years.
Conzoration or LLC
0 Official Articles of Incorporation (signed by the state official).
0 Both sides of all Corporate Stock Certificates and Stock.
0 Transfer Ledger.
O Entire copy of corporate tax terms for the last 3 yrs.
0 Shareholders' Agreement. -
0 Minutes of all stockholders and Board of Directors meetings.
O Corporate By-laws and my amendments.
NOTE: The specific state or recipient to which you are
applying may have additional requirements-
(9)
Where can I find more information?
U.S. DOT— http•//osdbuweb dot gov/businesc/dbe/index html
23220 Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules
Section 1: CERTIFICATION INFORMATION
(a) Is your firm currently certified Cl
for any of the following
programs? (If Yes, attach a copy of
your certii ication(s)).
of
s home state conducted an on -site visit?
u res, on _I_/ u
O a(a) Stop! You may not have to complete this application. Ask about the
O SDB streamlined application process under the SBA/DOT MOU.
(b) Has your firm applied for certification for any program listed in i(a) in the past? O Yes, on _/_/_ O No
If Yes, identify: Other names your company has used:
Identification and certification numbers:
(c) Has this firm or any of its owners, Board of Directors, officers or management personnel been denied
certification or decertified before by any agency in any state, local or Federal entity? C3 Yes, on _/_/ C3 No
If Yes, identify State and name of agency:
Section 2: GENERAL INFORMATION
2. Contact Information.
Contact person: Legal name of firm:
Phone #: Cell #: Fax #:
E-mail: Web site('firm has one):
Street address of firm: (No P.O. box no.)
Mailing address of firm:
City:
County/Parish:
State:
Zip:
3_ Rucinncc Prnfiln
Primary nature of business/NAICS code: I Federal tax ID:
-Secunty
Federal identification number or Applicant's Social number:
This firm was established on _( /_
I(we) have owned this firm since:
Did the business exist under a different type of ownership prior to the date indicated above? O Yes O No
If Yes, Explain.
Method of acquisition (check all that apply):
O Started new business O Bought existing business O Inherited business O Secured concession
O Merger or consolidation O Other lain
Has this firm operated under a different name during the past five years? O Yes O No
If Yes, explain.
Has this firm applied for reorganization under Chapter I and/or liquidation under Chapter 7, within the last 3
ears? (If Yes, provide court a ers) O Yes O No
Type of firm (check all applicable):
O Sole proprietorship (provide a copy of the assumed name certificate)
O Partnership (provide copies of all partnership agreements and the assumed name certificate)
O Corporation (provide Articles of Incorporation, copies of the stock certificates (both sides), Stock Transfer Ledger,
Shareholders' Agreement, all minutes of the shareholders' meetings and Board of Directors' meetings, the Corporate Bylaws
and Bylaws Amendments (if applicable), the Corporate Bank Resolution and Bank Signature Cards)
O Limited Liability Partnership
O Joint Venture
D Other
Number of employees: Permanent Full-time Temporary Full-time _ Seasonal Full-time
_
Permanent Part-time _ Temporary Part-time _ Seasonal Part-time
Where do you obtain seasonal employees?
Does your firm directly pay, in its own name, all its era to ees? 0 Yes O No
Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules 23221
If No, explain
Specify the gross receipts of the firm for the last 3 years: Year ending Total receipts $
(Attach copies of full tax returns for each year) Year ending Total receipts $
Year ending Total receipts $
Section 3: OWNERSHIP
4. Identify all individuals or holding companies with any ownership interest List their cash, equipment
and/or real estate and/or other investment in the firm; and attach the documentation of the source of
these investments. (Attach work experience resumes of each person; Ifmore than two owners, attach a separate sheet)
riref Uo.o—
Name: Title: Home Phone #:
Home Address (street and number):
City: -
State:
Zip:
Gender: D Male O Female
Ethnic group (Attach proof of status): -
D African American D Hispanic ❑ Native American
D Caucasian D Asian Pacific. D Asian Indian
D Other Ethnic Grou (ex lain)
U.S. Citizen: O Yes O No
Legal permanent resident: D Yes D No
Number of years owned:
Initial investment to
acquire ownership
interest in firm:
T= Dollar Value
Cash $
Real Estate $
Equipment $
Other
Percentage owned:
Familial relationship to other owners:
.. _.
Shares of Stock: Number Percentage
dabs. Date acquired
Method Acquired
Additional contributions made by anyone since the business was started/ac uired:
4--a bey......
Name:
Title: Home Phone #:
Home Address (street and number):
City:
State:
Zip:
Gender: D Male D Female
Ethnic group (Attach proof of status):
U.S. Citizen: D Yes D No
D African American D Hispanic D Native American
Legal permanent resident: D Yes
D No D Caucasian D Asian Pacific D Asian Indian
❑ Other Ethnic Grou (explain)
Number of years owned:
Initial investment to 1= Dollar Value
Percents a owned:
acquire ownership Cash $
Familial relationship to other owners:
interest in firm: Real Estate $
Equipment $
Other
Shares of Stock: dumber
Percentage clalu Date acquired
_ Method Acquired
Additional contributions made by
anyone since the business was started/acquired:
Section 4: CONTROL
5. Identify officers & Board of Directors. (Attach work experience resumes of each person; If additional space is
required atearh n senarnte shaotl
Name
Title/Date A inted
Ethnicit
Gender
Company
Officers
1.
2.
maintain the minimum documentation that it deems necessary since the original
certification file is available at the MOCC.
8. Out of state applicants that are DOT certified must provide the Office of Certification a
copy of their home state certification and a copy of their original application for DOT
DBE certification. The Office of Certification will contact the home state certification
office to verify site visit.
9. The State will prepare and mail, by certified mail, notices of denial to applicants not
meeting the eligibility criteria and mail by regular mail or e-mail a copy to RTD and/or
the appropriate affiliate.
10.The State will send renewal reminder notifications, by regular mail, to certified
companies a minimum of 45 days prior to their annual renewal date. A second
notification will be sent to all companies who have failed to respond to the initial
notification and are considered "inactive". The second notification shall take place not
more than 30 days after the company has entered inactive status. RTD will not initiate
correspondence to inactive companies regarding their failure to renew.
1 1 .The State shall provide RTD and the RTD affiliates with monthly reports regarding the
State's certification activities, including updated lists of certified contractors and
subcontractors, plus denial letters. The State shall also provide application forms
electronically to RTD and the RTD affiliates. As close to January 1, 2002 as possible,
the State shall provide RTD and the RTD affiliates with the existing updated list of
certified DBEs (both from the Colorado Department of Transportation and from RTD).
The existing updated list shall be provided electronically, in ACCESS or EXCEL format.
12.At all times during the performance of this agreement, each party shall strictly adhere
to all applicable federal and state laws, rules and regulations that have been or may
hereafter be established. The State shall comply with all applicable requirements
imposed by the US Department of Transportation ("DOT"), including but not limited to
administrative requirements approved in accordance with appropriate Office of
Management and Budget Circulars, and requirements relating to procurement utilization
and disposition of property purchased in whole or in part with DOT funds. If any
applicable federal laws require additional or more stringent DBE or SBE certification
procedures than those set forth above, then the State shall comply with such federal
laws. It is the intent of this agreement that the State shall perform on RTD's and the
RTD affiliates' behalf all DBE and SBE certification functions that RTD and the RTD
affiliates would otherwise legally be required to perform.
13.The State shall keep on file and available for RTD's (and, through RTD, the RTD
affiliates') review, audit and evaluation for a minimum of 3 1/2 years:
A. A copy of this agreement;
B. Information on the service area and certification eligibility standards used;
C. Complete and accurate participant written records documenting certification
information of applicants, and referrals provided in the DOT program; and
3
23222 Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules
3.
4.
5.
Board of
1.
Directors
2.
3.
4.
5.
6. Identify management personnel who control the firm in the following areas. (Attach work experience resumes,
including dates. of employment at each comnanv for inch ner,nn• limn,, then ------
Financial
7. Identify persons or firms who Provide the fallawino cervirec
Name of firm
Name of erson
Address
Phone No.
External
management or
technicall
computer service
Accountant
Attorney
Principal
1.
suppliers
Materials or equipment supplied
2.
Materials or equipment supplied
8. Identify those union(s), business(es), or professional associations (s) in which the owner (s) or
management personnel have membership.
Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules 23223
2.
9. Attach a Hat of equipment and/or, vehicles.within your firm's possession or under your control (indicate
separately), office space (owned or leased) and storage space (owned or leased), including signed leasing
agreements.
tu. rmanciat Information.
(a) Banking Information
Name of bank: Phone No: ( )
Name of officer:
Address of bank: City: State:_ Zip:
(b) Bonding Information: If you have bonding capacity, identify:
Name of agenfor broker _. Phone No: ( )
Address of agent/broker City: State:_ Zip:
Bonding limit: Aggregate limit $ - Project limit $
(c) Attach copies of year end balance sheet and profit and loss (income) statements for the last 3 years, or if
business has been in operation for less than one year, provide a current balance sheet, a projected profit and loss
statement for the next 12 month period and a projected balance sheet for the end of that period.
11. Identify all sources, amount and purposes of money loaned to the firm, including name of person or firm
securing the loan, if other than owner. (Attach copies of all loan agreements)
Name of Source Address of Source Amount
1.
2.
3.
12. List current licences (e.g. contractnr envineer nrrhitert If r otr ) /drr—L -:e.
Name of Individual or Firm
Name of License
Expiration
Date
License No her
1.
2.
3.
13. Does your firm have key personnel insurance? O Yes O No
(If Yes, attach a list of the persons named and the value)
14. List the 3 lareest contracts completed by this firm in the nast 3 vpnrs.
Name of owner/contractor
Na
lype of work performed
1.
2.
3.
23224 Federal Register/Vol. 66, No. 89/Tuesday; May 8, 2001/Proposed Rules
t 5. List all active iohs this firm is currently workine nn. llfadditiannl.cnare is rentdred nttnrh n tor....,to .h-ti
Name or prime contractor
and project number
Location of project
Type of work
Date
project
began
Anticipated
completion
date
1.
2.
3.
Section 5: AFFILIATION
16. Affiliation with other businesses.:
(a) Affiliate companies:
(b) Do any of the people fisted in question 4, 5 or 6 perform a management or supervisory function for any other
business? O Yes O No
If Yes, identify: Person: Title:
Business: Function:
(c) Do any of the people listed in questions 4, 5 or 6 own or work for other firms that have a business relationship
with yours? (E. G., ownership interest, shared office space, financial investments, equipment leases or personal sharing) O Yes O No
If Yes, identify: Firm: Person: Business relationship:
(d) Whether affiliated or not, is the applicant firm co -located at any or its business locations, or does it share a
telephone number, P.O. Box, office space, yard, warehouse, facilities, equipment, or office staff, with any other
business, organization, or entity? O Yes O No
If Yes, identify: Firm's name: tax ID number:
Explain nature of shared facilities:
(e) At present or in the past 5 years:
Has this firm been a subsidi of any other firm? O Yes O No
Has this firm consisted of a partnership in which one or more of the partners
are other funs? O Yes O No
If you answered Yes to any of these
questions, identify on a separate piece of
paper any relevant names, addresses, dates,
Has any other firm owned 5% or more of this firm? O Yes O No
Has this firm had any subsidiaries? O Yes O No
and explanations.
Has this firm owned 5% or more of any other firm? O Yes O No
Section 6: OTHER
17. Are you a trucking firm? O Yes O No
(If Yes, attach proof of ownership of a fully operational truck and trailer. Documentation should include insurance and
titles)
18. Are you a regular dealer? O Yes O No
(If Yes, attach proof of warehouse, product lines carried, and distribution equipment)
Federal Register/Vol. 66, No. 89/Tuesday, May 8, 2001/Proposed Rules 23225
AFFIDAVIT OF CERTIFICATION
A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH THIS
APPLICATION IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION, 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 PEALTIES AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW.
I (full name), swear or affirm under penalty of law. that I,am:
(title) of applicant firm (firth name) and that I have read and understood all of the
questions in this application and that all of the foregoing information and statements submitted in this application
and its: attachments and supporting, documents are true and correct to the best of my knowledge, and that all
responses to the questions in are full and complete, omitting no material information:.. The responses include all
material information necessary to fully and accurately identify and explain the operations, capabilities and pertinent
historyof the named firm as well as the ownership, control, and affiliations thereof..
I recognize that the information submitted in this application is for the purpose of inducing certification approval by
a government agency. I understand that a government agency may, by means it deems appropriate, determine the
accuracy and truth of the statements in the application, and I authorize such agency to contact any entity named in
the application, and the named tum's bonding companies, banking institutions, credit agencies, contractors, clients,
and other certifying agencies for the purpose of verifying the information supplied and determining the named
firm's eligibility.
I agree to submit to government audit, examination and review of books, records, documents and files, in whatever
form they exist, of the named firm and its affiliates, inspection of its places(s) of business and equipment, and to
permit interviews of its principals, agents, and employees. I understand that refusal to permit such inquiries shall
be grounds for denial of certification.
If awarded a contract or subcontract, I agree to promptly and directly provide the prime contractor, if any, and the
Department, recipient agency, or federal funding agency on an ongoing basis, current, complete and accurate -
information regarding (1) work performed on the project; (2) payments; and (3) proposed changes, if any, to the
foregoing arrangements.
I agree to provide written notice to the recipient agency or Unified Certification Program (UCP) of any material
change in the information contained in the original application within 30 calendar days of such change (e.g.,
ownership, address, telephone number, etc.).
I acknowledge and agree that any misrepresentations in this application 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 declare under penalty of perjury that the foregoing is true and correct.
Signature of owner, officer or partner Date(mm/dd/yy)
I declare under penalty of perjury that the information provided in this application and supporting documents
relating to my disadvantaged status and me is true and correct.
Print Name:
Signature Date
Print Name: Signature Date
23226 Federal Register/Vol. 66, No. 89/Tuesday; May 8, 2001/Proposed Rules
Print Name:
Signature
Date
Print Name:
Signature
Date
Print Name:
Signature
Date
STATE OF
} SS:
Subscribed and sworn to before me this day of 20
Signature of Notary Public Printed/typed name of Notary Public
County of residence
Date commission expires
Federal Register / Vol. 66, No. 89 / Tuesday, May 8, 2001 / Proposed Rules 23227
AFFIDAVIT OF SOCIAL AND F ON MI DIS DVANTAGE
This form must be signed and notarized for gph owner upon which disadvantaged status is relied.
SOCIAL DISADVANTAGE
I hereby certify under penalty of perjury that I am a member of one of the following groups:
O African American O Hispanic O Native American O Caucasian O Asian Pacific O Asian Indian
O Other Ethnic Group (explain)
And that I have held myself out as a member of that group and have acted as a member of that group.
I further certify that I am an owner of the company seeking DBE certification and that I have experienced social
disadvantage due to the effects of discrimination based upon my (check all that apply)
O race D ethnicity O gender O other (explain)
Print Name: Signature Date
PERSONAL FINANCIAL STATEMENT
I hereby certify under penalty of perjury that my personal net worth does not exceed $750,000.
Print Name: Signature Date
This statement is supported by (check one)
❑ A signed, notarized statement of personal net worth, with appropriate supporting documentation.
O A signed, notarized statement from a certified public accountant (CPA) attesting that the he/she has examined
my personal net worth and determined, consistent with the provisions of §26.67(a)(2) and generally accepted
accounting standards, that my personal net worth does not exceed $750,000.
STATE OF
COUNTY OF
Subscribed and sworn to before me this
Printed/typed name of Notary Public
Signature of Notary Public
County of residence
[FR Doc. 01-11317 Filed 5-7-01; 8:45 am)
BILLING CODE 4910-62-C
) SS:
day of
r�
Date commission expires
Attachment 2
STATEMENT OF FINDINGS & FACTS
investigator: date prepared:
NAME OF COMPANY
DBA
ADDRESS
DATE ESTABLISHED
LEGAL STRUCTURE
AVERAGE INCOME
TYPE OF BUSINESS
PRINCIPALS
BOARD OF DIRECTORS
ON -SITE
CURRENTLY CERTIFIED WITH
Physical„
Mailing
Phone (303) fax (303)
$0.00
none ❑ SBA ❑ other
BACKGROUND
FINDINGS
26.61(c) Presumptive Groups: was identified as a member of a presumed disadvantaged group
in a face-to-face meeting, hand has supplied a copy of for the file.
26.63(a) Rebuttal: The presumption is not rebutted
26.65 Business size:
26.67(a)(I) Social disadvantage:
26.67(a)(2) Economic disadvantage:
26.69(a) Decision must consider all factors in the application All information pertaining to this
application was viewed separately for content. However, my evaluation of the
application is based on the information as a whole.
26.69(b) Percentage of ownership:
26.69(c) Real, substantial, and continuing ownership:
26.69(d) Securities:
26.69(e) Real and substantial contributions:
26.69(f) Contributions of expertise
26.69(g) Property settlement inheritance
26.69(h) Permissible presumption when contributions arc not demonstrated'
26.69(i) Marital assets:
26.71(b) Independence:
26.71(c) Restrictions on control:
26.71(d) Power to direct:
26.71(e)-(h) Disproportionateresponsibility Delegation Managerial/Technical
competence, Licenses:
26.71(i) Differences in remuneration:
26.710) Outside employment:
26.71(k) Family-nmbusiness
26.71(m) Necessary equipment:
26.71(n) Types of work vis-a-vis the ability to control•
SUMMARY
RECOMMENDATIONS
CERTIFY ❑
DENY ❑ Denial citations
26.61(c)
26.63(a)
26.65
26.67(a)(1)
26.67(a)(2)
26.69(a )
26.69(b)
26.69(c)
26.69(d)
26.69(e)
26.69(f)
26.69(g)
26.fi9(h )
26.71(b)
26.71(c)
26.71(d)
26.71(e)-(h)
26.71(i)
26.71(I)
26.71(k)
26.71(in)
26.71(n)
26.69(i)
Investigator:
Reviewer
Reviewer's comments
Date
Date
D. Complete, accurately documented accounting of all funds received and expended
pursuant to this agreement.
14.This Contract is for a period of one year from January 1, 2002 through December 31,
2002, unless extended or renewed in writing executed by both parties. Any
obligations by the parties to indemnify each other, or to cooperate in the defense of
third -party claims, shall extend beyond the term of this agreement.
14.In return for the State's services and commitments in this agreement RTD and the RTD
affiliates shall pay the State a total of $75,000 (seventy-five thousand dollars) upon
execution of this agreement or January 18, 2002, whichever is later, the total sum to
be collected by RTD from itself and the RTD affiliates as set forth in Exhibit A hereto
and transferred from RTD to the State. RTD will provide the State the breakout of the
funds paid by the RTD affiliates,and the amount of dollars which are federal funds, at
the time of the payment of this contract. The RTD affiliates will receive the same
services as stated above for RTD.
15.The State, through the Office of Certification Director, shall provide investigative
services as outlined in Title VI, as needed, at the request of the RTD Business
Opportunity Administrative Officer when a certified DBE or SBE claims that a prime
contractor discriminated against it in providing subcontracting opportunities on local
contracts of RTD or any of the RTD affiliates when the Nondiscrimination Program is
utilized.
16.Unless a written Contract amendment is entered into, no additional services, materials
or compensation will be provided.
17.Anything in this Contract to the contrary notwithstanding, all notices required or given
under this Contract shall be sent by registered or certified mail to the parties at the
addresses indicated below. Notices so transmitted shall be deemed effective on the
seventh day following such posting in the U.S. Mail or equivalent. Either party hereto
shall have the right to change any representative or address it may have given to the
other party by giving such party written notice of such change.
As of the signing of this Contract, the representatives and addresses are as follows:
Regional Transportation District:
Business Opportunity Admin. Officer
Regional Transportation District
1600 Blake Street
Agencies
Denver, CO 80202
State:
Bernetta L. Collins, Director
Colorado Office of Certification
Department of Regulatory
1560 Broadway, Suite 1540
Denver, CO 80202
Attachment 3
STATE OF COLOR -ADO
I. Legal name of business
List dba, if any
2. Street address
3- Mailing address (if different)
UNIFORM RENEWAL APPLICATION / CHANGE AFFIDAVIT
for
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
4. Business telephone number (_ )
5. E-mail
6. Name of contact
+4
Number City State Z11+4
Fax number( )
During the past year changes have occurred in the firm's: (Please submit supporting documentation for all "yes" responses to question I a-g.)
a. Legal structure of business (Proprietorship, Partnership, Corporation, etc.)..... ........................... ........ .... .................... .... .......
0 Yes
O No
b. Ownership...... ............. .......... .............. .................... ........... . _............ ............. ..........
_.... Yes
O No
(includes changes in interests of existing owners and the addition or removal of owners)
c. Corporation's Directors/Officers........... ...... ..... ......... ............ ........ ....... .......... ........ .... ......... ._................... ................... ........
...0 Yes
O No
orits bylaws ...... ........ _.......... ................................. ....... .............. ........_.... ....... .............. .......... ....... ...... ........... ..... ........ ......O
Yes
0No
J. Partnership Agreement. ....... .. .. .... I . .......... ... - ........ ... I ........... .... I_- ... ..... -_.1 -.111 ........ 1 .... ... - . ..... ......
greement..................................._....._..........................._....._..........-_.............................._............:..........._0
-0Yes
0No
e. Joint Venture Agreement . .................. ............... ........ .......................................... ............ ............ .......... .... ,...................... .......
O Yes
ONo
f Limited Liability Company Operating Agreement_............................_......................_..........._.._.._..........._......_.................
O Yes
0No
g. Duties ofthe owner(s)orother key personnel ............ ._._........ ....................._........_._...................._.................................._.0Yes
0No
2. Did any stockholder, director, officer, partner and/or manager establish a new business relationship with, or purchase
ownership interest in, any other firm? (Business relationships may include, but are not limited to, ownership, shared space,
employees, utilities, equipment or financing, etc.)
O Yes
O No
3. Has the disadvantaged status of any of the firm's disadvantaged owners changed in the past year?.._ .............................................
0 Yes
O No
4. The personal net worth of the disadvantaged owner is .... ............ ........ ..._...._..... ............. ...... ..... ............. ..............$
PLEASE REMEMBER TO INCLUDE COPIES OF YOUR BUSINESS AND PERSONAL INCOME TAX RETURNS WHEN SUBMITTING
THIS AFFIDAVIT.
t he undersigned swears under penalty of perjury: that the responses and accompanying documents are true, complete, and correct; that the firm
continues to meet SBA and US Department of Transportation small business size criteria; that the disadvantaged status of the firm's disadvantaged
FSigned
chan ed; and that an changes regarding the firm's ownershi or control have been noted on this affidavit.
e: Signature and date:
State of
orn before me this day of
(Notary Public)
(Address of Notar )
NOTE: Submit this form and associated documentation to the certification entity that originally certified your firm as a DBE.
Colorado Office of Certification Denver Mayor's Office of Contract Compliance
1560 Broadway, Suite 1550 216 16th Street, Suite 1550
Denver, CO 80202 Denver, CO 80202
Attachment 4
Certification
Offices
City & County of Denver
Mayor's Office of
Contract Compliance
2161 d' St... Suite 1550
Denver, CO 80202
Phone 720.913.1700
FAX 720.913.1809
Dept. Of Regulatory Agencies
Co%redo Office of Certification
1560 Broadway
Denver, CO 80202
Phone 303.894.2355
FAX 303.894.7834
u
SAMPLE LETTER
COLORADO UNIFIED DBE CERTIFICATION
Date
Ms. Jane Doe
2345 My Business
Somewhere In, CO 80202
Dear Ms. Doe:
The Colorado Unified Certification Program (UCP) is pleased to notify you that your firm has
met the requirements for certification as a bona fide Disadvantaged Business Enterprise
(DBE) in accordance with UCP policies and procedures, and with federal regulation 49 CFR
Parts 26 and/or 23. Please direct all inquiries to the UCP Certification Office that maintains
your certification file. That office is identified in the left margin of this letter.
Attached is your DBE certificate that reflects the effective and expiration dates of your
certification. In order to maintain your certification, you must submit an annual update. A
reminder will be sent to you at least 45 days prior to the anniversary date of your
certification. It is your responsibility to ensure that your certification is kept up to date by
submitting the required documentation as necessary.
If there is any change in the ownership or control of your firm, you must notify the
certification office immediately. Failure to report these changes to the appropriate office or
other violation of the rules of the DBE Program may result in the revocation of your
certification, or possible legal actions as set forth in the federal regulations.
Your firm's name will appear in the Colorado Unified DBE directory. The directory is
available in print and on the internet at: http://www. . The work codes for
which you are certified will be listed in this directory and are identified on the attached Work
Code List.
Sincerely,
Certifying Entity Signature Block
Attachment:: Work Code List
DBE Certificate
Attachment 4 A
SAMP T.F.
COLORADO UNIFIED DBE CERTIFICATION
Work Code List
BUSINESS NAME XYL Sf I FSERVICES, INC. CERTIFICATION
DATES
2./ 15/02 - 2/2E/05
ADDRESS 1234 FIRII Avenue PHONE NUMBER
Denver, CO 80200 (987) 654-3210
❑ Prime Contractor X Subcontractor ❑ Supplier ❑ Manufacturer FAX NUMBER
❑ Consultant ❑ Professional Services (987) G54-3211
This business enterprise is certified to perform the following Work Codes on DBE
contracts in which the DBE performs the work with its own resources and workforce.
NAICS CODE CATEGORY WORK DESCRIPTION
235930 Excavating & Earthwork - Buildings Excavation, Snow Removal
234990 Foundation Drainage, Site Storm Sewer Systems Install Water, Sewer and Storm Utilities
234110 Excavating & Earthwork - Highway Excavation, Snow Removal
234910 Pipe Installation - Highway Install Water, Sewer and Storm Utilities
Certification Office:
Signature Date
A/WorkCodeList 2/02
Colorado Uniform DBE Certificate
Business Name
IS HEREBY CERTIFIED AS A DISADVANTAGED BUSINESS ENTERPRISE
AND MAY PERFORM WORK ON FEDERALLY FUNDED DBE PROJECTS IN THE
STATE OF COLORADO
Certification Office
Date Issued:
Signature
Expires:
Title
Attachment 5
ori1v1r1,L+ I-v K11YIUATE
Colorado Unified Certification Program Plan
Attachment 6
Date
Recipient Name
Street Address
City, State, Zip
SUBJECT: Letter of Receipt and Ratification
State of Colorado Unified DBE Certification Program
This letter certifies that _(Recipient Name) has
received and reviewed a copy of the State of Colorado Unified DBE Certification
Program (UCP). We understand that as a recipient of USDOT funding, we are required
to participate in the UCP or risk losing USDOT funding as outlined in CFR 49 Part
26.81.
This letter further certifies that _(Recipient Name)
ratifies the UCP and is in agreement with and will abide by its provisions.
(signature)
_(Typed Name)_
(Title)
Attachment 7
DISADVANTAGED BUSINESS ENTERPRISE
Request for North American Industry Classification System (NAICS) Code Review
L151 aria aaacn Documentation of the 5 largest contracts or supply invoices completed for the NAICS code reouestert
usr all equipment you own or lease used to perform the work for the NAICS code requested. Copies of current lease
agreements or proof of payment must be attached.
Please attach any other documentation or information relevant to the review of the NAICS code your firm requested.
This can include documentation of technical licenses, leases of property or facilities, training or expertise.
UNIFIED CERTIFICATION PROGRAM PLAN
IMPLEMENTATION TIMELINE
March 4, 2002:
Submit UCP Program Plan to USDOT
• UCP is considered to be in full effect and its provisions are binding upon all
UCP Partners.
• All recipients must recognize all DBE companies holding current
certifications, regardless of certifying entity, as certified DBEs.
• Initial data transfer initiated to Interim Unified Directory.
March 15, 2002
Follow-up mailing to all recipients who failed to respond.
March 31, 2002
Phase I Unified Directory is functional
April 30, 2002
Draft of Rules governing UCP Executive Committee Forwarded to recipients.
May 31, 2002
Rules governing UCP Executive Committee finalized.
June 4, 2002
UCP Executive Committee meets to evaluate first 90 Days of implementation.
June 30, 2002
UCP Executive Committee completes "grandfathering" review as outlined in UCP
Program Plan page 12.
[September 30, 2002
Training Plan completed.
ptember 30, 2002
Statewide meeting to evaluate first 180 days of implementation.
December 31, 2002
Certifying entities fully trained.
December 31, 2002
UCP Executive Committee quarterly review.
March 31, 2003
UCP Executive Committee first year review.
September 30, 2003
Phase II Unified Directory is fully implemented. Long
term solution in place.
18.DEPARTMENT OF REGULATORY AGENCIES GENERAL CONTRACT PROVISIONS FOR
REVENUE CONTRACTS.
COLORADO DEPARTMENT OF REGULATORY AGENCIES - HEREINAFTER, UNDER THE
General Contract Provisions, referred to as "DORA".
A. The parties of this contract intend that the relationship between them
contemplated by this contract is that of employer -independent -contractor. No
agent, employee or servant of Department of Regulatory Agencies shall be or
shall be deemed to be an employee, agent or servant of RTD. DORA will be
solely and entirely responsible for its acts and the acts of its agents, employees,
servants and subcontractors during the performance of this contract.
B. At all times during the performance of this contract, DORA shall strictly adhere
to all applicable federal and state laws that have been or may hereafter be
established.
C. DORA authorizes RTD, or the RTD affiliates, to perform audits and to make
inspections for the purpose of evaluating performance under this contract.
D. Either party shall have the right to terminate this contract by giving the other
party thirty (30) days notice by certified mail, return receipt requested. If notice
is so given, this contract shall terminate on the expiration of the thirty days, and
the liability of the parties hereunder for the further performance of the terms of
this contract shall thereupon cease, but the parties shall not be relieved of the
duty to perform their obligations up to the date of termination. RTD shall pay
the State on a pro rata basis for all services properly performed pursuant to the
contract up to the date of termination. In addition, termination shall not relieve
the State of its obligation to retain records for three and one-half (3 112) years
following the date of termination pursuant to the provisions of the contract.
E. This contract is intended as the complete integration of all understandings
between the parties. No prior or contemporaneous addition, deletion, or other
amendment hereto shall have any force or effect whatsoever, unless embodied
herein in writing. No subsequent notation, renewal, addition, deletion, or other
amendment hereto shall have any force or effect unless embodied in a written
contract executed and approved pursuant to the State Fiscal Rules.
F. If this contract involves the expenditure of federal funds, this contract is
contingent upon continued availability of federal funds for payment pursuant to
the terms of this contract.
G. The laws of the State of Colorado and rules and regulations issued pursuant
thereto shall be applied to the interpretation, execution and enforcement of this
contract. Any provision of this contract whether or not incorporated herein by
reference which provides for arbitration by any extra judicial body or person
which is otherwise in conflict with said laws, rules or regulations shall be
considered null and void. Nothing contained in any provisions incorporated
herein by reference which purports to negate this or any other special provision
in whole or in part shall be valid or enforceable or available in any action at law
whether by way of complaint, defense or otherwise. Any provision rendered
null and void shall not invalidate the remainder of this contract to the extent
that the contract is capable of execution.
E
r
H. The signatories hereto aver that they are familiar with 18-8-301, et seq.,
(Bribery and Corrupt Influences) and 18-8-401, et seq., (Abuse of Public Office)
C.R.S. 1986, and that no violation of such provisions is present.
I. The signatories aver that to their knowledge, no state employee has a personal
or beneficial interest whatsoever in the service or property described herein.
11
EXHIBIT A
MEMORANDUM OF UNDERSTANDING
This Memorandum of Understanding is made effective January 1, 2001 by and
among the parties set forth below. The Regional Transportation District ("RTD") has
formed a coalition of state transit agencies ("the RTD affiliates") for which the State of
Colorado Department of Regulatory Agencies ("the State") shall perform DBE and SBE
certification pursuant to a Contract between RTD and the State. This Memorandum of
Understanding is attached and incorporated by reference into the RTD-State Contract as
Exhibit A to the Contract.
The State shall provide services to RTD and the RTD affiliates as set forth in the
RTD-State Contract.
The State has requested that, for administrative convenience, each of the RTD
affiliates pay RTD their portion of the Contract, with ETD to forward the payments of RTD
and the RTD affiliates to the State. The obligations of the parties are subject to the
appropriation of funds.
The RTD affiliates and the amounts each are to pay under the RTD-State Contract
and this Memorandum of Understanding are as follows:
Pueblo Transit
$ 1,000.00
Transfort, Fort Collins
$ 4,000.00
Town of Telluride
$ 2,000.00
City of Greeley
$ 2,000.00
Roaring Fork Transit Agency
$ 2,000.00
City of Colorado Springs
$ 4,000.00
Mountain Village
$ 2,000.00
Grand Valley, Grand Junction
$ 500.00
RTD $47 600.
$57,500.00*
Any of the RTD affiliates paying with federal funds must provide the State and RTD
with the applicable federal grant numbers.
Signatures on file at RTD
* Change effective as of January 1, 2002, for the January 2002 - December 2002
calendar year, RTD affiliate amounts remain unchanged.
IN WITNESS WHEREOF, the parties have executed this contract on the day first above
written.
STATE OF COLORADO
Bill Owens, Governor
By
M. Michael Cooke
Executive Director
Department of Regulatory Agencies
REGIONAL TRANSPORTATION DISTRICT
By v� y
Clarence W. Marsella
General Manager
APPROVED AS TO LEGAL FORM FOR RTD:
By G�.7
Ja s Stadler
RT Associate General Counsel
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
Unified Certification Program Plan
STATE OF COLORADO