SUB-RECIPIENTS DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM

Organizational SUB-RECIPIENTS DBE PROGRAM REQUIREMENTS

OVERVIEW OF SUB-RECIPIENT PLAN -------------------------------------------------------------------------------------------- As a requirement of US Department of Transportation fund

recipients are required to implement a DBE program in accordance with 49 CFR 26 Organizations should appoint a Chief Diversity and Civil Rights Officer or equivalent to serve as the DBE Liaison Officer The DBE Liaison Officer is delegated by the chief executive of your organization (e.g., Secretary of State at the state level) and has the responsibility for the development, implementation and monitoring of the DBE program in accordance with the Departments nondiscrimination policy A sub-recipient is an entity that receives USDOT funds through your organization All sub-recipients must follow the requirements of 49 CFR 26 and must submit a DBE Implementation Plan to Your Organization Your Organization should ensure that sub-recipients comply with all DBE requirements

Your OrganizationS RAIL AND TRANSIT DIVISION OVERALL DBE GOAL -------------------------------------------------------------------------------------------- Your Organization should establish a race/gender-conscious

goal (e.g., 4%) Your organization should seek to achieve DBE participation through setting DBE goals on federally funded contracts Your Organizations DBE program and overall goal apply to all funds administered including FTA grants to sub-recipients Therefore, sub-recipients are required to assess to set DBE goals on contracting opportunities Sub-recipients must also comply and report all DBE participation on contracting opportunities

SUB-RECIPIENT DBE LIAISON OFFICER -------------------------------------------------------------------------------------------- Each sub-recipient must designate a DBE Liaison Officer

(DBELO) who should be responsible for developing, implementing, and monitoring the DBE Program Plan DBELO ensures that the sub-recipient is fully and properly advised concerning DBE Program Plan matters DBELOs duties and responsibilities include gathering data, reviewing contracts for compliance, analyze DBE participation and conducting outreach to DBEs

SUB-RECIPIENT APPLICABILITY -------------------------------------------------------------------------------------------- DBE requirements apply to all sub-recipients with contracting

opportunities Opportunities include but not limited to professional consultant services, construction work and purchase of goods and services Where no subcontracting opportunities exist, DBE requirements are not applicable Sub-recipients with operating assistance and non-vehicle capital projects (with contracting opportunities) must meet all requirements DBE requirements for vehicle projects (TVMs) are satisfied by the vehicle manufacturer and are not passed on to the sub-recipient

SUB-RECIPIENTS IMPLEMENTATION AGREEMENTS -------------------------------------------------------------------------------------------- All sub-recipients must adhere to Your

Organizations DBE program plan All sub-recipients must submit completed Implementation Agreements signed by the appropriate officer having legal authority to obligate the sub-recipient Sub-recipients must revise and resubmit Implementation Agreements if there are significant changes to plans Your Organization should conduct an annual review of all sub-recipients to ensure program compliance

SUB-RECIPIENTS OBLIGATIONS --------------------------------------------------------------------------------------------Required contract clauses

Non-discrimination clauses in contracting Each

contract a sub-recipient signs with a contractor must include a non-discrimination assurance as required by 49 CFR 2613
Prompt payment procedures to subcontractors All

subcontractors must be paid within 30 days of payments to the prime for work completed by subcontractors as stipulated by 49 CFR 26.29

SUB-RECIPIENTS OBLIGATIONS (Contd) ---------------------------------------------------------------------------------------------

Required reporting
Sub-recipients must submit a completed

Awards/Commitments and an Actual Payments spreadsheet twice annually to Your Organization

The purpose of the spreadsheets is to gather the reporting

data so that Your Organization can properly report to the FTA on a semi-annual basis
When must sub-recipient report:
Data for October 1 to March 31 must be submitted to Your Organization

by April 15 Data for April 1 to September 30 must be submitted to Your Organization by October 15

SUB-RECIPIENTS OBLIGATIONS (Contd) ---------------------------------------------------------------------------------------------

Reporting requirements
What sub-recipients must report:
On the Award/Commitments Form, sub-recipients must

report on all contracts awarded during the reporting period

Awarded can include the procurement of goods and

services in any manner (i.e. purchasing supplies at a store.)

On the Actual Payments Form, sub-recipients must report

payments on all completed contracts and subcontracts

Completed can include final payment on a large contract or

more informal procurements that are awarded and completed in the same instant (i.e. purchasing supplies at a store

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ACTIVE CONTRACTS STATUS

Sub-recipients should work with Your Organization to maintain a matrix reflecting the status of ongoing contracts. Information to include: Grant number Total value of grant Contracts awarded under grant Date awarded Value of contracts Name of contractor awarded DBE goal DBE commitment DBE contractor or subcontractor Amount paid to prime and to DBE

SUB-RECIPIENTS OBLIGATIONS (CONTD) ---------------------------------------------------------------------------------------------

Creation of Bidders List

Sub-recipients should create and maintain a bidders list consisting of information about all DBE and non-DBE firms that bid, quote or seek to work on federally-assisted contracts:

Firm name Firm contact information Firms status (whether DBE or non-DBE) Age of the firm The annual gross receipts of the firm (gross receipts brackets)