| | | Background The U.S. Department of Transportation (USDOT) has had in effect for more than 20 years a policy of helping small businesses owned and controlled by socially and economically disadvantaged individuals, including minorities and women, in participating in contracting opportunities created by DOT financial assistance programs. The Department, through its Operating Administrations, distributes in excess of $20 billion annually to help finance thousands of projects across the country. Approximately 85% of the assistance dollars is for construction. The major portion of the construction funds is allocated to State highway and transportation agencies for highway construction. The balance is provided to local public transit and airport authorities for mass transit and airport facilities. In 1983, Congress enacted the first disadvantaged business enterprise (DBE) statutory provision. This provision required the Department to ensure that at least 10% of the funds authorized for the highway and transit financial assistance programs be expended with DBEs. In 1987, Congress re-authorized and amended the statutory DBE program. In the transportation legislation of that year, Congress, among other changes, added women to the groups presumed to be disadvantaged. Since 1987 DOT has established a single DBE goal, encompassing both firms owned by women and minority group members. Primarily three major DOT operating administrations are involved in the DBE program. They are the Federal Highway Administration, the Federal Aviation Administration and the Federal Transit Administration. The DOT DBE program is carried out by state and local transportation agencies under the rules and guidelines in the Code of Federal Regulations. (Title 49, Part 26). How the Program Works Among other things, DOT DBE regulations require recipients of DOT Federal financial assistance, namely, state and local transportation agencies, to establish goals for the participation of disadvantaged entrepreneurs and certify the eligibility of DBE firms to participate in their DOT-assisted contracts. Each DOT-assisted State and local transportation agency is required to establish narrowly-tailored DBE goals. Then these DOT-assisted agencies evaluate their DOT-assisted contracts throughout the year and establish contract specific DBE subcontracting goals where these goals are needed to ensure nondiscrimination in federally-assisted procurements. The level of DBE subcontracting goals may vary from their approved DBE goal however, at the end of the year the amount of contract/subcontract awards to DBEs should be consistent with the overall goal. In order for small disadvantaged firms, including those owned by minorities and women, to participate in the DOT-assisted contracts of State and local transportation agencies they must apply for and receive certification as a DBE. To be certified as a DBE, a firm must be a small business owned and controlled by socially and economically disadvantaged individuals. Recipients get information about firms through on-site visits, personal interviews, reviews of licenses, stock ownership, equipment, bonding capacity, work completed, resume of principal owners, financial capacity, and type of work preferred. More information on certification can be obtained from the recipients' DBE Certification Officers located in this Section. DOT and SBA are currently working on an agreement to facilitate participation by DBEs in SBA programs and vice-versa. State Departments of Highways and Transportation (SDH&T) receive supportive services funds from the Federal Highway Administration to help increase DBE participation in Federal-aid highway contracts. The SDH&T may decide to use the funds in-house to provide the supportive services or hire consultants. Supportive services whether done by the State agency or consultants help DBE's to compete in winning contracts. The services include research and development, training and on site-technical assistance, business management assistance, estimating assistance, and assistance in obtaining necessary financing and bonding. | DBECert English | | | | A Disadvantaged Business Enterprise is a small, independent business that is at least 51% owned by one or more socially or economically disadvantaged individuals. At least one of these owners must control the firm's management and daily operations, and the owners must share in the risks and profits commensurate with their ownership interest. | DBE | | | | According to The Small Business Act, socially disadvantaged is defined, as individuals who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities. Economically, disadvantaged is defined as those who are socially disadvantaged, whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business area who are not socially disadvantaged.
Who is presumed to be disadvantaged?
Socially and economically disadvantaged individuals mean any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who is:
Any individual in the following groups, members of which are reputably presumed to be socially and economically disadvantaged:
Black Americans, which includes persons having origins in any of the Black racial groups in Africa;Hispanic Americans, which includes persons having of Mexican, Puerto Rican, Cuban, Dominican, Central or South America, or other Spanish or Portuguese culture or origin, regardless of race; Native Americans, which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; (Tribally-owned concerns mean any concern at least 51 percent owned by an Indian tribe as defined in this section.) Asian Pacific Americans which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Camobodia (Kapuchea), Thailand, Malaysia, Indonesia, the Phillipines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marinas Islands Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru, Federated States of Micronesia or Hong Kong;
Women
Who else may be considered?
White men who can exert proof of their disadvantaged status.
Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective.
| DBE Cert | | | | As a certified DBE, your probability of being selected by Prime contractors is increased because they are able to count your participation as a DBE toward their contract goals
Business development opportunities are provided by NCDOT's Office of Civil Rights and Business Opportunity and Workforce Development to ensure businesses owned and operated by women and disadvantaged individuals have an opportunity to participate on federally funded or assisted projects
The Business Opportunity and Workforce Development Office offers assistance to certified DBE's to help them compete in the marketplace in their current business area or transition into other business areas. The Business Opportunity and Workforce Development Office provides customized development plans as a service to DBE's at "no cost".
NCDOT will maintain a complete directory of all certified DBE's for the entire state, which allows firms' information to be available to all agencies across the state. | DBECert English | | | | The purpose of UCP is to provide "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. In the past, a firm would be required to apply for certification as a DBE with each agency with which the firm wants to work, now the firm applies one time with NCDOT, and if approved, that certification is shared by all other federal recipients in the state.
Any entities or agencies that do not receive federal funding are not required to certify DBE's under the UCP process. | DBECert UCP English | | | | | DBECert Prequal English | | | | According to 49 CFR Part 26, DBE firms are not required to become pre-qualified as a condition of certification, however, NCDOT and other agencies may require firms to become pre-qualified prior to awarding work on contracts. For more information please visit our Prequalification section. | DBECert Authority Prequal English | | | | For more information about the UCP, please visit our Contact section.
For information about DBE Business Development opportunities, contact the Office of Business Opportunity and Workforce Development.
For additional information please visit the: USDOT, Office of Small and Disadvantaged Business Utilization.
How do I search for a DBE? | DBECert UCP BOWD English | | | | Submit this Information Change Request form to the Utilization and Certification Section at 1511 Mail Service Center, Raleigh, NC 27699 or fax it to: (919) 508-1814. | DBECert Contract English | | | | - Must be citizen or lawfully admitted permanent resident of the United States
- Must be an independent entity
- Must be an existing, for profit business
- Must be a "small" business as defined by the US Small Business Administration (SBA), 13 CFR Part 121 in Sector 54
| SPSF | | | | The North Carolina Department of Transportation uses US Small Business Administration (SBA) size standards to determine whether a business entity is small and, thus, eligible for participation in the SPSF program. Size standards have been established for Professional, Scientific, and Technical Services under the North American Industry Classification System (NAICS). The size standards are expressed either in number of employees or annual receipts in millions of dollars, and indicates the maximum allowed for a business and its affiliates to be considered small. | SPSF | | | | Select one of the following that fits your needs:
| SPSF Cert Contact | | | | | SPSF | | | | The applicant must complete a Small Professional Services Firm (SPSF) Contractor's Self-Certification form in its en explained under how to " Become SPSF Certified with NCDOT". | SPSF | | | | The Disadvantaged Business Enterprise, Minority Business Enterprise, and/or Women's Business Enterprise (DBE/MBE/WBE) and the Small Professional Services Firm (SPSF) programs are independent of each other. Firms desiring certification under these programs must complete and submit the forms required for certification under each program. | SPSF | | | | Prequalification as a Private Consulting Firm is an independent process that evaluates a consulting firm's key staff and experience required to perform successfully on a project. For more information on Prequalification, contact Mickey Biedell. SPSF Certification evaluates the firm's ability to meet eligibility standards. For more information on certification, contact Bonnie Robinson. Firms that wish to participate in the SPSF program must be both prequalified as a Private Consulting Firm and certified as a SPSF at the time Letters of Interest are submitted. It should be noted that firms that are SPSF certified but are not prequalified will not show up as a SPSF on the Directory of Transportation Firms. | SPSF | | | | January 18, 2005 - On November 23, 2004, the NCDOT received final approval from the U.S. Department of Transportation (USDOT) to implement the Unified Certification Program (UCP). The UCP is a program mandated by the USDOT to ease the burden on small businesses seeking certification as a Disadvantaged Business Enterprise (DBE). Program participants have agreed to implement the program in phases, with full implementation scheduled to be completed by September 2005 | UCP | | | | You must participate in the UCP if you are required to have a DBE program. 49 CFR Part 26.21 outlines specifically "Who must have a DBE program?" It says specifically: If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the requirements of this part: (1) All FHWA recipients receiving funds authorized by a statute to which this part applies (2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding transit vehicle purchases) exceeding $250,000 in FTA funds in a Federal fiscal year (3) FAA recipients receiving grants for airport planning or development who will award prime contracts exceeding $250,000 in FAA funds in a Federal fiscal year | UCP | | | | As required in 49 CFR Part 26, subpart E, all USDOT direct recipients in North Carolina must agree to participate in a Unified Certification Program, and our failure to do so deems the entire state collectively non-compliant. The penalties for failing to comply could include suspension or termination of Federal funds, or refusal to approve projects, grants, or contracts until the UCP is in place. | UCP | | | | | UCP | | | | To show your agreement, a signature on the Memorandum of Agreement (MOA) from the approval authority in your organization is required. Just click here (30k) to access the MOA. Modify the "NAME OF RECIPIENT ORGANIZATION" fields in the document, but please do not modify any additional fields, as document consistency must be maintained for all recipients. UCP Memorandum of Agreement | UCP | | | | Antecedentes
El Departamento del Transporte de Estados Unidos (U.S. Department of Transportation, USDOT) ha mantenido en vigencia durante más de 20 años una política de ayuda a las empresas comerciales pequeñas controladas por dueños en desventaja social y económica —integrantes de minorías y mujeres— dirigida a su participación en oportunidades de contratación creadas por los programas de asistencia financiera del Departamento de Transporte (DOT). El Departamento distribuye a través de sus administraciones de operaciones más de 20,000 millones de dólares anualmente para financiar miles de proyectos en todo el país. Aproximadamente 85% de la asistencia es para la construcción. La mayor parte de los fondos para la construcción se asigna a las agencias estatales de carreteras y transporte para la construcción de carreteras. El resto se dirige a autoridades de aeropuertos y transporte público local para tránsito masivo e instalaciones de aeropuerto.
En 1983, el Congreso aprobó la primera disposición estatutaria para Empresas Comerciales en Desventaja (Disadvantaged Business Enterprises, DBE). Esta disposición le exige al Departamento garantizar que por lo menos 10% de los fondos autorizados para los programas de asistencia financiera de carreteras y transporte público se invierta en empresas DBE. En 1987, el Congreso volvió a autorizar y enmendó el programa estatutario de DBE. En la legislación de transporte de ese año, el Congreso, entre otros cambios, agregó a las mujeres a los grupos presuntamente en desventaja. Desde 1987, el DOT ha establecido una meta única de DBE que abarca a las empresas cuyos dueños son mujeres e integrantes de grupos minoritarios.
Hay tres grandes administraciones de operaciones del DOT involucradas en el programa DBE: la Administración Federal de Carreteras, la Administración Federal de Aviación y la Administración Federal del Tránsito. El programa de DBE del DOT es implementado por agencias de transporte estatales y locales según las reglas y pautas del Código de Reglamentos Federales (Título 49, Parte 26).
Funcionamiento del programa
Entre otras cosas, los reglamentos de las DBE del Departamento de Transporte exigen que quienes reciban asistencia financiera federal del DOT, es decir las agencias de transporte estatales y locales, establezcan metas para la participación de empresarios en desventaja y certifiquen la elegibilidad de las empresas DBE para participar en sus contratos con asistencia del DOT.
Cada agencia de transporte estatal y local que recibe asistencia del DOT tiene la obligación de establecer metas DBE estrechamente especificadas. Estas agencias que reciben asistencia del DOT evalúan los contratos con asistencia del DOT durante el año y establecen metas de subcontratación DBE específicas en los contratos para garantizar que no haya discriminación en la adquisición federal asistida. El nivel de las metas de subcontratación DBE puede variar con respecto a la meta DBE aprobada; sin embargo, al final del año, el monto de las asignaciones de contratos y subcontratos a las DBE debe coincidir con la meta general.
Para participar en los contratos con asistencia del DOT de las agencias de transporte estatales y locales, las DBE, cuyos dueños son en general integrantes de minorías y mujeres, deben solicitar y obtener certificación DBE. Para obtener certificación DBE, la empresa debe ser pequeña y el dueño que la controle debe ser una persona en desventaja social y económica. Las agencias que reciben fondos federales obtienen información respecto a las empresas en visitas a su sitio; entrevistas personales y revisiones de licencias, propiedad de acciones, equipo, capacidad de fianza, trabajos completados, currículo de los dueños principales, capacidad financiera y tipo de trabajo preferido. Se puede obtener más información sobre certificación consultando a los Funcionarios de certificación DBE de las agencias que reciben fondos federales, cuyos datos de contacto aparecen en esta sección. El Departamento de Transporte y la Administración de Pequeñas Empresas (Small Business Administration, SBA) están colaborando actualmente en un acuerdo para facilitar la participación de las DBE en los programas de la SBA y viceversa.
Los departamentos estatales de carreteras y transportes reciben fondos para servicios de apoyo de parte de la Administración Federal de Carreteras a fin de aumentar la participación de las empresas DBE en los contratos de carreteras con asistencia federal. Los departamentos estatales de carreteras y transportes pueden decidir utilizar los fondos internamente para prestar servicios de apoyo o para contratar consultores. Los servicios de apoyo, prestados por agencias estatales o por consultores, ayudan a las empresas DBE a competir para ganar contratos. Los servicios prestados son investigación y desarrollo, capacitación y asistencia técnica en el sitio, asistencia administrativa comercial, asistencia en el cálculo de costos y asistencia en la obtención del financiamiento y las fianzas necesarias.
| DBECert Spanish | | | | Las empresas comerciales en desventaja son pequeñas empresas independientes en las cuales un 51% es propiedad de una o varias personas en desventaja social o económica. Por lo menos uno de los dueños debe controlar la administración de la empresa y las operaciones diarias, y los dueños deben compartir los riesgos y los beneficios de acuerdo con su parte de la propiedad.
| DBECert Spanish | | | | De acuerdo con la Ley de Pequeñas Empresas, la desventaja social es lo que les ocurre a las personas que han sido sometidas a prejuicio racial, étnico o cultural por ser integrantes de un grupo independientemente con cualidades individuales. La desventaja económica es lo que les ocurre a las personas con desventaja social cuya capacidad de competir en un sistema de libre empresa se ha visto reducida debido a una escasez de capital y oportunidades de crédito en comparación con otras personas del mismo sector comercial que no tienen desventaja social.
Las personas con desventaja social y económica son ciudadanos americanos (o residentes permanentes admitidos legalmente) que pertenecen a uno de los siguientes grupos, cuyos miembros se encuentran con presumible confianza en desventaja social y económica:
Morenos americanos, personas cuyo origen son los grupos raciales morenos africanos Hispanos americanos, personas de cultura u origen mexicano, puertorriqueño, cubano, dominicano, centroamericano, sudamericano o de otras culturas u orígenes españoles o portugueses, independientemente de la raza Nativos americanos, personas que son indios americanos, esquimales, aleutianos o nativos hawaianos; (las empresas propiedad de tribus son aquéllas en las cuales un 51% es propiedad de una tribu india según lo definido en esta sección). Americanos asiáticos del Pacífico, personas cuyos orígenes son Japón, China, Taiwán, Corea, Burma (Myanmar), Vietnam, Laos, Camboya (Kampuchea), Tailandia, Malasia, Indonesia, Las Filipinas, Brunei, Samoa, Guam, el Territorio en Fideicomiso de las Islas del Pacífico (República de Palaos), el Estado Libre Asociado de las Islas Marianas del Norte, Macao, Fiyi, Tonga, Kiribati, Tuvalu, Nauru, los Estados Federados de Micronesia o Hong-Kong Mujeres
Hombres blancos que pueden dar pruebas de encontrarse en desventaja. Todo grupo adicional a cuyos miembros la Administración de Empresas Pequeñas dé la designación de desventaja social y económica en el momento en que la designación de la Administración de Empresas Pequeñas entre en vigencia.
| DBECert Spanish | | | | Como empresa con certificación DBE, su probabilidad de ser seleccionada por contratistas principales aumenta porque pueden contar su participación como empresa DBE para sus metas de contratación. La Oficina de derechos civiles y la Oficina de oportunidades comerciales y desarrollo de la fuerza de trabajo del NCDOT da oportunidades de desarrollo comercial para garantizar que las empresas controladas por dueños que son mujeres y personas en desventaja puedan participar en proyectos con financiamiento o ayuda financiera federal. La Oficina de oportunidades comerciales y desarrollo de la fuerza de trabajo ofrece asistencia a las DBE con certificación para ayudarlas a competir en el mercado de su sector comercial o a pasar a otros sectores comerciales. La Oficina de oportunidades comerciales y desarrollo de la fuerza de trabajo les da planes de desarrollo personalizados a las DBE sin costo para ellas. NCDOT mantiene una guía completa de todas las empresas DBE de todo el estado que permite que la información de la empresa esté a disposición de todas las agencias en todo el estado.
| DBECert Spanish | | | | El propósito de la UCP es establecer un solo lugar de solicitud de certificación a fin de que el solicitante presente su solicitud una sola vez para obtener una certificación DBE que sea aceptada por todas las agencias estatales que reciben fondos federales. Antes, se requería que la empresa solicitara certificación DBE a cada una de las agencias con las cuales deseaba trabajar. Actualmente, la empresa presenta una sola solicitud al NCDOT y, si se aprueba, la certificación sirve para todas las agencias estatales que reciben fondos federales.
Las entidades o agencias que no reciben fondos federales no tienen la obligación de certificar a las DBE según el proceso de UCP. | DBECert Spanish | | | | | DBECert Spanish | | | | De acuerdo con la Parte 26 del Título 49 del Código de Reglamentos Federales, a las DBE no se les exige aprobación previa para la certificación; sin embargo, el NCDOT y otras agencias pueden exigir que las empresas obtengan aprobación previa antes de darles trabajo en contratos. Para obtener más información, vaya a la sección de Aprobación previa. (What file should this link to?) | DBECert Spanish | | | | Para obtener más información sobre el UCP, vaya a nuestra sección Contacto.
Para obtener información sobre oportunidades de desarrollo comercial de DBE, póngase en contacto con la Oficina de oportunidades comerciales y desarrollo de la fuerza de trabajo.
Para obtener información adicional, vaya a
USDOT, Oficina de utilización de empresas pequeñas o en desventaja
(What do these Link too?) | DBECert Spanish | | | | Presente este Formulario de solicitud de cambio de información a la Unidad de Servicios Contractuales, 1509 Mail Service Center, Raleigh, NC 27699 o envíela por fax al (919) 733-3584. (What document does this link to?) | DBECert Spanish |
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