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Disadvantaged BusinessEnterprise ProgramParticipation PlanM 3142Revised October 22, 2021In Response to 49 CFR Part 26, et alWashington State Department of TransportationOffice of Equal Opportunity
Title VI Notice to the PublicIt is the Washington State Department of Transportation’s (WSDOT) policy to assure that no personshall, on the grounds of race, color, national origin or sex, as provided by Title VI of the Civil Rights Actof 1964, be excluded from participation in, be denied the benefits of, or be otherwise discriminatedagainst under any of its programs and activities. Any person who believes his/her Title VI protection hasbeen violated, may file a complaint with WSDOT’s Office of Equal Opportunity (OEO). For additionalinformation regarding Title VI complaint procedures and/or information regarding our non-discriminationobligations, please contact OEO’s Title VI Coordinator at 360-705-7090.Limited English Proficiency (LEP)In accordance with the national origin provisions under Title VI of the Civil Rights Act of 1964,WSDOT will take reasonable steps to provide LEP persons meaningful access to its programs andactivities. 360-705-7090.Individuals may also file a complaint with the Federal funding agency, such as Federal HighwayAdministration (FHWA) or Federal Transit Administration (FTA). FHWA’s complaint procedures can beaccessed from FHWA’s website at www.fhwa.dot.gov/civilrights/programs/iecd.cfm or by contactingOEO’s Title VI Coordinator at 360-705-7090.Individuals may also file a complaint with the Federal funding agency, such as Federal HighwayAdministration (FHWA) or Federal Transit Administration (FTA). FHWA’s complaint procedurescan be accessed from FHWA’s website at www.fhwa.dot.gov/civilrights/programs/iecd.cfm FTA’scomplaint procedures can be accessed from FTA’s website at rights-ada/file-complaint-ftaNotificación de Titulo VI al PúblicoEs la política del Departamento de Transportación del Estado de Washington (WSDOT, por sus siglasen inglés) asegurarse que ninguna persona, por razón de raza, color, origen, nacionalidad o sexo, segúnprovee el Título VI de la Ley de Derechos Civiles de 1964, pueda ser excluido de la participación, negadolos beneficios de o ser discriminado de otra manera bajo cualquiera de sus programas y actividades.Cualquier persona que crea que su protección bajo el Titulo VI ha sido violada, puede presentar unaqueja o reclamación ante la Comisión para la Igualdad de Oportunidades en el Empleo de Estados Unidos(EEOC, por sus siglas en inglés). Para obtener información adicional sobre los procedimientos de quejasy/o reclamaciones bajo el Titulo VI y/o información sobre nuestras obligaciones anti-discriminatorias,pueden contactar al coordinador del Título VI en la EEOC 360-705-7090.Información de la Ley sobre Estadounidenses con Discapacidades (ADA, por sus siglas en inglés)Este material está disponible en un formato alternativo, que puede ser solicitado al enviar un un correoelectrónico a la Oficina de Igualdad de Oportunidades (OEO, por sus siglas en inglés)/ wsdotada@wsdot.wa.gov o llamando gratis al siguiente número de teléfono: 855-362-4ADA (4232). Personas sordas o condiscapacidad auditiva pueden solicitar la misma información llamando al Washington State Relay al 711.
ContentsSubpart A – General Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5Section 26.1: Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5Section 26.3: Applicability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5Section 26.5: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6Section 26.7: Non-discrimination Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9Section 26.11: Record Keeping Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9Section 26.13: Assurances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12Section 26.15: Exemptions/Waivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13Subpart B – Administrative Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14Section 26.21: Program Plan Updates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14Section 26.23: Policy Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14Section 26.25: DBE Liaison Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14Section 26.27: Financial Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30Section 26.29: Prompt Payment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31Section 26.31: DBE Directory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37Section 26.33: Overconcentration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38Section 26.35: Business Development Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38Section 26.37: Monitoring & Enforcement Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40Section 26.39: Small Business Participation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43Subpart C – Goals, Good Faith Effort, and Counting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46Section 26.45: Overall Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46Section 26.47: Failure to Meet Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46Section 26.49: Transit Vehicle Manufacturer Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46Section 26.51(a-c): Means to Achieve Overall Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47Section 26.51(d-g): Contract Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49Section 26.53: Good Faith Efforts Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .52Section 26.53(b): Information to be Submitted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .56Section 26.53(d): Administrative Reconsideration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57Section 26.55: DBE Participation Counting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61Subpart D – DBE Certification Application and Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .73Section 26.61: Burdens of Proof . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .73Section 26.63: Group Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .73Section 26.65: Business Size Determinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .74Section 26.67: Determination of Social and Economic Disadvantage . . . . . . . . . . . . . . . . . . . .75Section 26.69: Determination of Ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .80Section 26.71: Determination of Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83Section 26.73: Other Rules Affecting Certification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .87Disadvantaged Business Enterprise Program Participation PlanRevised October 22, 2021M 3142Page 3
Subpart E – Certification Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91Section 26.81: Unified Certification Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91Section 26.83: Procedures in Making Certification Decision . . . . . . . . . . . . . . . . . . . . . . . . . . .92Section 26.85: Interstate Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .95Section 26.86: Denials of Initial Requests for Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98Section 26.87: Removing a DBEs Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98Section 26.88: Summary Suspension of Certification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102Section 26.89: Appealing Certification Decisions to the USDOT. . . . . . . . . . . . . . . . . . . . . . 103Section 26.91: Effect of USDOT Certification Appeal Decisions . . . . . . . . . . . . . . . . . . . . . . 105Section 26.109: Information Confidentiality Cooperation Retaliation. . . . . . . . . . . . . . . . . . 106Questions or Concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106Page 4Appendix 1DBE Program Bidding & Related Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107Appendix 2WSDOT’s External Complaint Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111Appendix 3WSDOT Policy Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126Appendix 4WSDOT Organization Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132Appendix 5OEO Organization Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133Appendix 6DMCS Powered by B2GNow Audit Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134Appendix 7WSDOT Final DBE Utilization Plan Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135Appendix 8DMCS Compliance Audit Summary Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136Appendix 9DBE Contract Compliance Comprehensive Review Procedure. . . . . . . . . . . . . . . 137Appendix 10WSDOT Small Business Enterprise Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158Appendix 11NAICS Code Availability - WSDOT DBE Disparity Study – 2017 . . . . . . . . . . . . . 171Appendix 1249 CFR Part 26 – Appendix A WSDOT Contract Award DBE Requirements . . . 172Appendix 13WSDOT Design-Build Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175Appendix 14Guidance to RCW 39.10.300 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176Appendix 15WSDOT Regular Dealer Request Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177Appendix 16WSDOT Trucking Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178Appendix 17USDOT QAs-49CFR-Part 26 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181Appendix 18WSDOT DBE Onsite Review Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182Appendix 19Joint Check Request Form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213Appendix 20Links Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214Appendix 21Interagency Agreement (OMWBE) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215Appendix 22Unified Certification Program Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224Disadvantaged Business Enterprise Program Participation Plan M 3142Revised October 22, 2021
Subpart A – General RequirementsSection 26.1: ObjectivesThe objectives of the DBE Program are:a.To ensure nondiscrimination in the award and administration of USDOT-assistedhighway, transit, and airport contracts;b.To create a level playing field on which DBEs can compete fairly for USDOT- assistedcontracts;c.To ensure that the DBE program is narrowly tailored in accordance with applicable law;d.To ensure that only firms that fully meet DBE eligibility standards are permitted toparticipate as DBEs;e.To help remove barriers to DBE participation in USDOT-assisted contracts;f.To promote the use of DBEs in all types of USDOT-assisted contracts and procurementactivities conducted by recipients/sub-recipients;g.To assist the development of firms that can compete successfully in the marketplaceoutside of the DBE program; andh.To provide flexibility to recipients/sub-recipients in establishing and providingopportunities for DBEs.WSDOT has developed this plan as a requirement of 49 CFR Part 26 and as a guideline andprocedural manual to ensure DBEs have fair and equal access to compete for contracts,subcontracts and agreements on USDOT financially assisted projects.Section 26.3: ApplicabilityPursuant to 49 CFR Part 26.3, the DBE Program applies to USDOT financial assistancewhere WSDOT and its sub-recipients expend federal-aid funds including, but not limited to:a.Federal-aid highway funds authorized under Titles I (other than Part B) and V of theIntermodal Surface Transportation Efficiency Act of 1991 (ISTEA), Pub. L 102-240, 150Stat. 1914, or Titles I, III, and V of the Transportation Equity Act for the 21st Century(TEA-21), Pub. L 105-178, 112 Stat. 107;b.Federal Transit funds authorized by Titles I, III, V and VI of ISTEA Pub. L. 102- 240or by Federal transit law in Title 49, U.S. Code or Titles I, III and V of the TEA-21,Pub. L. 105-178;c.Airport funds authorized by 49 U.S.C. 47101; andd.FAST Act - Fixing America’s Surface Transportation Act.Disadvantaged Business Enterprise Program Participation PlanRevised October 22, 2021M 3142Page 5
Entities receiving Federal financial assistance through WSDOT (i.e., sub-recipients) aresubject to the requirements of 49 CFR Part 26, and therefore are required to adopt andcomply with WSDOT’s DBE Program Participation Plan. WSDOT’s Local Agency Guidelines(LAG) Manual provides additional guidance to sub-recipients on DBE program expectations.WSDOT will provide its sub-recipients written notice of the USDOT’s approval of WSDOT’sDBE Program Participation Plan (including a link to an electronic version of the approvedPlan for their use). The sub-recipients shall then provide written confirmation of theiradoption of the Plan.Sub-recipients are expected to work collaboratively with Local Programs and OEO inconducting periodic reviews and/or DBE program audits to ensure their compliance withWSDOT’s approved DBE Program Plan and 49 CFR Part 26.All federal guidance, manuals, policy statements, and directives used or relied upon byWSDOT, or any of its sub-recipients, to implement the DBE Program shall be revised tocorrespond to the provisions contained within the DBE Program Participation Plan andapproved by FHWA. In the event of any conflict between the DBE Program ParticipationPlan with any manual, policy statement, or directive relied upon by WSDOT or any of itssub-recipients in the implementation of the USDOT approved DBE Plan, the DBE ProgramParticipation Plan shall prevail. Where there is a conflict, federal law prevails over state law.Section 26.5: DefinitionsWSDOT has adopted the DBE program definitions of 49 CFR Part 26.5. For a completelist of official definitions pertaining to the USDOT DBE program, see www.ecfr.gov/cgi-bin/text-idx?SID 3d4a36cb8c0e45d725d273a4b52e2d4d&mc true&node pt49.1.26&rgn div5&se49.1.26 15aThe following are additional terms/definitions used by WSDOT in its programimplementation, as mentioned throughout this document:Bid Item Breakdown/Written Confirmation form is a supplemental bid document whichlists each separate bid item under which the DBE will be performing work as part ofthe Condition of Award Goal. It further defines the scope of work and the value of thework as they relate to each bid item for the broader scope of work identified on theUtilization Certification form.CFR means the Code of Federal Regulations.Commercially Useful Function (CUF) means a DBE is responsible for execution of thework of the contract and is carrying out its responsibilities by actually performing,managing, and supervising the work involved. To perform a CUF, the DBE mustalso be responsible, with respect to materials and supplies used on the contract, fornegotiating price, determining quality and quantity, ordering the material, and installing(where applicable), and paying for the material itself.Page 6Disadvantaged Business Enterprise Program Participation Plan M 3142Revised October 22, 2021
Condition of Award (COA) Goal (pertains to bid-build projects) means an assignednumerical percentage of the bid amount of the contract. This is the minimum amountthat the bidder must commit to by submission of the Utilization Certification Formand/or by Good Faith Efforts (GFE) at the time of bid. The Bid Item Breakdown/Written Confirmation form will further describe by line item the scopes of work asidentified on the DBE Utilization form and require the confirmation of both the bidderand the potential Subcontractor. The COA goal will also be applied to change ordersassociated with the contract as managed by the project engineer office on WSDOTor Local Agency projects, with OEO approval. To be considered responsive/successfulthe bidder/contractor must demonstrate good faith efforts in achieving the goal. Thebidder/contractor can demonstrate the good faith efforts in either of two ways:1.The contractor/bidder has obtained sufficient DBE participation to meet theestablished Condition of Award goal; or2.The contractor/bidder provides documentation that evidences its good faithefforts to meet the goal, even though it did not succeed in obtaining sufficientDBE participation to do so.Consultant means one who gives expert or professional advice.Contract in this plan means contract, sub-contract, consultant agreement (inclusive ofMaster agreement, project specific agreement, or task order), purchase order, materialsinvoice, or any other legally binding document between a Prime Contractor/Primeconsultant and their Subcontractor/subconsultants/. Contract means a legally bindingrelationship obligating a seller to furnish supplies or services (including, but not limitedto, construction and professional services) and the buyer to pay for them. For purposesof this part, a lease is considered to be a contract.Contracting Opportunity means a procurement action (by a recipient/sub- onsultant) to obtain a product orservice commercially.DBE Performance/Participation Plans means plans submitted by Bidders /Consultantsthat outlines in detail how the Bidder/Consultant will meet Performance/Participationgoals or inclusion requirements. Performance/Participation plans are associated toDesign Build projects and Consultant Services contracts containing DBE goals.DBE Utilization Certification Form means the form that Prime Contractor submits onCondition of Award projects that identifies which DBE(s) the Prime Contractor iscommitting to use, the scope(s) of work that the DBE is contracted to perform on theproject, and the associated dollar amount. The form is attached as Appendix 1. The BidItem Breakdown/Written Confirmation form (mentioned above) is used in conjunctionwith the DBE Utilization Certification Form. The DBE Utilization Certification formis not used in Design-Build, GCCM, or other alternate delivery method contracts (ref.DBE Performance Plan below).Disadvantaged Business Enterprise Program Participation PlanRevised October 22, 2021M 3142Page 7
Diversity Management and Compliance System (DMCS) is the database whichtracks payments to Prime Contractor/Prime Consultants and all Subcontractor/subconsultants on all WSDOT projects and those Local Agency projects receivingFederal Financial Assistance from WSDOT.Design–build (or design/build, and abbreviated D–B or D/B accordingly) is a projectdelivery system used in the construction industry. It is an alternative deliverymethod (ADM) to deliver a project in which the design and construction services arecontracted by a single entity known as the design–builder or design– build contractor.The scope of work and dollar amount that the Design-Builder indicates they will beSubcontracting to certified DBEs, as shown in the DBE Performance Plan submittedwith the Design-Builder’s Proposal, and for subsequent Work opportunities arisingfrom the Project. The DBE Commitment amount will be incorporated into the Contractand shall be considered a Contract requirement. The Design-Builder shall utilize DBEsto perform the work and supply the materials for which they are committed. Anychanges to the DBE Commitment, as described in the DBE Performance Plan, shallrequire the WSDOT Engineer’s prior written approval.Directory of Certified Firms or DBE Directory means the OMWBE-created directory ofcertified DBE firms. This directory is available on OMWBE’s website at: www.omwbe.wa.gov/. This is the only recognized Directory of DBE firms. The NAICS code andinformation contained in the “Description of Work” column must comport with thework described on the DBE Utilization Certification.General Contractor/Contractor Managed (GC/CM) is an Alternative DeliveryMethodology (ADM) project that allows an owner to engage a construction managerwho provides constructability input during the design phase. At a percentage pointin the design completion the owner and the construction manager negotiate a“guaranteed maximum price for the construction.”Goal means an objective, numerically expressed as a percentage of the total projectdollar amount, that contractors are required to make good faith efforts to achieve.North American Industry Classification System (NAICS) Codes means the six-digitcode used to determine whether or not a business is considered a small businessas determined by the Small Business Administration. The NAICS code designationsare described in the North American Industry Classification Manual-United States,which is available on the internet at the U.S. Census Bureau website: www.census.gov/eos/www/naics. OMWBE, as the Unified Certification Program (UCP) agent forWashington state, determines which NAICS codes most specifically defines the typeof work that the DBE firms are certified to perform.Sub-recipient means a local agency, other jurisdiction or non-profit organization thatreceives financial assistance on a project from USDOT through WSDOT.WSDOT OEO means the Washington State Department of Transportation Office ofEqual Opportunity and is the office that ensures compliance with the requirements of49 CFR Part 26.Page 8Disadvantaged Business Enterprise Program Participation Plan M 3142Revised October 22, 2021
Section 26.7: Non-discrimination RequirementsWSDOT will not exclude any person from participation in, deny any person the benefits of,or otherwise discriminate against anyone in connection with the award and performanceof any contract covered by 49 CFR 26 on the basis of race, color, sex, national origin,or disability.In administering its DBE program, WSDOT will not directly or through contractual or otherarrangements, use criteria or methods of administration that have the effect of defeating orsubstantially impairing accomplishment of the objectives of the DBE program with respectto individuals of a particular race, color, sex, national origin, or disability.WSDOT has instituted a complaint process for any sub-recipient, contractor, subcontractor/subconsultant, or consultant that believes they have been discriminated against based onthe aforementioned factors. See the WSDOT External Discrimination Complaint Procedureand Form (Appendix 2).Complaints can be filed by the public through email at oeoecrbcomplaints@wsdot.wa.govand by phone at 360-705-7090.Section 26.11: Record Keeping RequirementsSection 26.11(a): USDOT Uniform ReportWSDOT will report DBE participation to the FTA and FHWA through the USDOT “UniformReports of DBE Awards or Commitments and Payments” Report semi- annually or annuallyfor FAA.The Uniform Report of DBE Awards or Commitments and Payments Form will be completedper the instructions of 49 CFR Part 26, Appendix B.Section 26.11(b): Other DataIn order to monitor the progress of its DBE Program, WSDOT and its sub-recipients shallmaintain a record keeping system that identifies and assesses DBE contract awards, PrimeContractor/Prime Consultants’ progress in achieving DBE subcontract goals, and other DBEinclusion efforts. WSDOT and its sub-recipients will maintain records showing:1.Procedures followed by WSDOT and its sub-recipients to identify and assess DBEcontract awards and progress in achieving prescribed goals;2.Specific efforts to identify and award contracts to DBEs and/or purchase from DBEs;3.Amount paid to each DBE subcontractor/subconsultant by a contractor and reportedto WSDOT or its sub-recipient on a monthly basis; andDisadvantaged Business Enterprise Program Participation PlanRevised October 22, 2021M 3142Page 9
4.Amount paid to each DBE subcontractor/subconsultant by a contractor based onthe information contained in the Diversity Management and Compliance (DMCS)system and/or “DBE Monthly Report” for the Public Transportation Division (PTD)and reported to the WSDOT or its sub-recipient and obtained at the conclusion ofeach project. This information will be reported from PTD. These reports will include ata minimum:a.The number of contracts awarded to DBEs and or purchases using DBEs;b.A description of the general categories of contracts awarded to DBEs and/orpurchases using DBEs;c.The dollar value of contracts awarded to DBEs and/or purchases using DBEs;d.The percentage of the dollar value of all contracts awarded to DBEs and/orpurchases using DBEs;e.Whether or not the DBE goal was met or exceeded, and by what amount,specified in the bid documents or proposals;f.Written confirmation from the Prime Contractor/Prime Consultant that noretainage has been withheld from the DBE subcontractor/subconsultant(s);g.A written certification from the contracting agency engineer on each federalaid contract with a DBE goal stating that the project staff has reviewed thecontracting records and monitored the work site and determined that the DBE(s)committed at contract award (or subsequently) actually performed the work (withtheir own forces) for which they were committed. If the project goal is not met theagency will document the reason(s) for the shortfall and what, if any enforcementaction was taken; andh.The required records and reports provide information relating to firms owned andcontrolled by minorities separately from information relating to firms owned andcontrolled by women.Records shall be available upon request of an authorized officer or employee of the federalgovernment or WSDOT OEO staff and for projects using FTA funds.WSDOT and its sub-recipients will submit reports conforming in frequency and format toexisting contract reporting requirements of the applicable departmental elements.Where no such contract reporting requirement exists, DBE reports will besubmitted quarterly.WSDOT will submit to FHWA, all reports as listed and defined by the FHWA/WSDOTStewardship agreement as well as other reports as requested. In addition, WSDOT willsubmit to FTA and FAA, all data and information as required/requested by these modes.Page 10Disadvantaged Business Enterprise Program Participation Plan M 3142Revised October 22, 2021
Section 26.11(c): Bidders ListWSDOT and its sub-recipients will create and maintain a bidders list consisting of all thefirms bidding on USDOT-assisted projects. The bidders list will contain information aboutbidders submitting quotes, contracts or bids as contractors, consultants, sub-consultantsand subcontractor/subconsultants.The list will include all firms that bid on prime contracts or bid/quote subcontracts(successful and unsuccessful) on USDOT-assisted projects including both DBEs and nonDBEs. The list will also include the following information:a.Firm name;b.Firm address;c.Firm’s status as a DBE or non-DBE;d.The age of the firm; ande.The annual gross receipts of the firm, in ranges.WSDOT OEO will conduct an annual survey for both WSDOT let contracts and LocalAgencies receiving federal-aid funds through WSDOT’s Local Programs Division ofcontractors and subcontractor/subconsultants. The survey will remain open from October 1through September 30.WSDOT Local Programs Division requires (through its Local Agency Guidelines) bidders onLocal Agency projects with Federal Financial Aid to participate in the Bidders List Surveygenerated by WSDOT OEO.Section 26.11(d):WSDOT OEO will work collaboratively with the Office of Minority and Women’s BusinessEnterprise (OMWBE) to ensure the following records are maintained in accordance withfederal and state statutory requirements:a.DBE program application packages;b.Affidavits of No Change;c.Change Notices; andd.Certification On-Site Review documents.Once a DBE is decertified, OMWBE records the information in the U.S. Department ofTransportation’s (USDOT) database (per 26.85(f)(1)) and maintains the records for sevenyears. These records are scanned and maintained in the DBE Certification program.WSDOT and its sub-recipients will maintain records
correspond to the provisions contained within the DBE Program Participation Plan and approved by FHWA. In the event of any conflict between the DBE Program Participation Plan with any manual, policy statement, or directive relied upon by WSDOT or any of its sub-recipients in the implementation of the USDOT approved DBE Plan, the DBE Program
