9-F. DBE Program Forms.pdf

RFP 269-2026-123

DISADVANTAGED BUSINESS ENTERPRISE (DBE)

City Of Charlotte: Charlotte Area Transit System (CATS)

DISADVANTAGED BUSINESS ENTERPRISE (DBE) CONTRACT PROVISIONS & FORMS

THE DBE GOAL FOR THIS CONTRACT IS: 0.0%

This contract is subject to the requirements of 49 C.F.R. Part 26 participation by DBE in Department of Transportation Financial Assistance Programs

(a) Policy. As a recipient of funds from the Federal Transit Administration (“FTA”), the City has established a Disadvantaged Business Enterprise Program (“DBE Program”) in accordance with regulations of the U.S.

Department of Transportation (“DOT”), 49 C.F.R. Part 26 and has committed to ensuring compliance on all FTA-funded projects through monitoring, reporting, and goal setting. As used in this Section, Contractor shall mean Consultant and subcontractor shall mean subconsultant.

The DBE Program is incorporated into and made a part of the Bidding Documents and resulting Contract.

Copies of the DBE Program may be obtained online at http://charmeck.org/city/charlotte/cats/about/Business/procurement/Pages/dbesbe.aspx; under “City of Charlotte’s DBE Program (document)” on the www.ridetransit.org “Doing Business with CATS as a DBE/SBE” page.

It is the policy of the City to ensure that DBEs, as defined in 49 C.F.R. Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. The City’s objectives are as follows:

1. To ensure nondiscrimination in the award and administration of DOT-assisted contracts;

2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;

3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law;

4. To ensure that only firms that fully meet 49 C.F.R. Part 26 eligibility standards are permitted to participate as DBEs;

5. To help remove barriers to the participation of DBEs in DOT-assisted contracts; and

6. To assist the development of firms that can compete successfully in the marketplace outside the DBE Program.

The CATS Civil Rights Officer has been designated as the DBE Liaison Officer (“DBELO”). In that capacity, he/she is responsible for implementing all aspects of the DBE Program. Implementation of the DBE Program is accorded the same priority as compliance with all other legal obligations incurred by the City in its financial assistance agreements with the DOT.

(b) DBE Assurances. The Contractor and its subcontractors shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Contract. The Contractor shall carry out applicable requirements of 49 CFR, Part 26 in the award and administration of this DOT-assisted Contract. Failure by the Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or such other remedy as the City deems appropriate. Each subcontract the Contractor signs with a subcontractor must include the assurance in this paragraph (see 49 CFR 26.13(b)).

1. The paragraph above shall be included in each subcontract the Contractor signs with any subcontractor, both DBE and non-DBE subcontractors.

(c) Prompt Payment. The Contractor is required to pay each subcontractor (DBEs and non-DBEs) under this Contract for satisfactory performance of its contract no later than seven (7) days from receipt of each http://charmeck.org/city/charlotte/cats/about/Business/procurement/Pages/dbesbe.aspx http://www.ridetransit.org/ progress payment or final payment the full amount the Contractor receives from the City for each subcontractor’s work and materials under the subcontract. Any delay or postponement of payment from the above referenced time frame may result in liquidated damages and/or sanctions as stipulated in Contract Documents. Exceptions may occur only for good cause following written approval by the City.

The Contractor is required to return retainage payments to each subcontractor within seven (7) after the subcontractors’ work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City.

1. The paragraphs above apply to both DBE and non-DBE subcontractors.

2. For purposes of this Section, a subcontractor’s work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the City. When the City has made incremental acceptance of a portion of the Contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed.

(d) DBE Goal. Although the City has not established a DBE goal for this Contract, DBE firms and small businesses shall have an equal opportunity to participate in this Contract. The Contractor shall adhere to the following:

1. Take affirmative steps to use as many of the race-neutral means of achieving DBE participation identified in 49 CFR 26.51(b) as practicable to afford opportunities to DBEs to participate in this Contract. A race-neutral measure is one that is, or can be, used to assist all small businesses.

2. A DBE firm must perform commercially useful function, i.e., must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing, and supervising the work; and

3. A DBE firm must be certified by NC-DOT before its participation is reportable under paragraph (d) below.

(e) Report to the City. Even though no separate goal has been set for this Contract, the Bidder must submit its proposed DBE (if any) and non-DBE utilization on Disadvantaged Business Enterprise (DBE) – Form A listing all subcontractors and suppliers that will be providing goods or services under the Contract. This form is to include all subcontractors the Bidder proposes to use, not just the DBE subcontractors (if any).

Bidders are required to list the names, contact information, annual gross receipts, age of firm, respective scope of work/service to be performed, NAICS Code, NCDOT Reporting Number, the dollar values of each subcontract that the Bidder proposes for participation in the Contract work, and the dollar value of total DBE participation for the Contract.

Even though no separate goal has been set for this Contract, the Contractor shall report its DBE participation obtained through race-neutral means throughout the period of performance. The Contractor shall submit a monthly report on DBE Participation with each request for payment from the City. Such information shall be provided for both DBE and non-DBE subcontractors on Disadvantaged Business Enterprise (DBE) – Form B. Failure to submit this form with every request for payment will result in delays in payment.

(f) Records. On request, the Contractor shall make available for inspection, and assure that its subcontractors make available for inspection:

1. Records of prompt payments made in accordance with paragraph (c) above;

2. The names and addresses of DBE subcontractors, vendors, and suppliers under this Contract;

3. The dollar amount and nature of work of each DBE subcontractor;

4. The social/economic disadvantaged category of the DBE firms, i.e. Black American, Hispanic American, Native American, Subcontinent Asian American, Asian Pacific American, Non- Minority Women, or Other; and

5. Other related materials and information.

(g) Performance. The Contractor must promptly notify the City whenever a DBE subcontractor performing work related to this Contract is terminated or fails to complete its work and must make good faith efforts to engage another DBE subcontractor to perform at least the same amount of work. The Contractor shall also promptly notify the City of a DBE subcontractor’s inability or unwillingness to perform and provide reasonable documentation. The Contractor may not terminate any DBE subcontractor and perform that work through its own forces or those of an affiliate without prior written consent of City.

(h) Information.

1. A directory of DBEs may be accessed at the following website:

https://partner.ncdot.gov/VendorDirectory/default.html

2. If you have any questions concerning the required documentation listed above, or concerning the DBE requirements in general, contact:

CATS Civil Rights Officer Arlanda Rouse, Charlotte Area Transit System 600 East Fourth Street Charlotte, NC 28202 704-432-2566, arouse@charlottenc.gov

END OF PAGE

https://partner.ncdot.gov/VendorDirectory/default.html mailto:arouse@charlottenc.gov

Disadvantaged Business Enterprise (DBE) – Form A

LIST OF SUBCONTRACTORS /SUPPLIERS

Project DBE and non-DBE Subcontractor / Supplier Utilization Commitment Federal Disadvantaged Business Opportunity Program

NOTE: Form must be submitted with your proposal. Make copies as needed.

If your company failed to meet the DBE Utilization Goal for this Project, you MUST attach documentation of your company’s Good Faith Efforts with your Proposal.

Company Name: Project Name: ______________________________________________

Subcontractor/Supplier’s Name & Address Contact Person

Age of Firm

Description of Work

NAICS Code NCDOT

Reporting #

Total Projected $ % of Bid

Amount

Annual Gross Receipts: Less than $500,000 $500,000 - $1M $1-2M $2-5M Over $5M

Disadvantaged Business Enterprise (DBE) - Form B (COMPLETE, NOTARIZE AND INCLUDE THIS FORM WITH EACH INVOICE SUBMITTED TO THE CITY FOR ALL FHWA AND FTA FUNDED PROJECTS)

Project Name:

Company Name: DBE : Non-DBE:

Reporting Month/Year

Dollars Paid to Consultant: $

COMPLETE, NOTARIZE AND INCLUDE THIS FORM WITH EACH INVOICE SUBMITTED TO THE CITY FOR ALL FHWA AND FTA FUNDED PROJECTS. List ALL Sub-Contractors, Sub- Consultants, and Material Suppliers that have completed work, performed services, or rendered materials to you, the Contracting Firm, for the project referenced above. List ALL actual payments the Contracting Firm will make to ALL sub-contracting parties for the reporting month and year stated above

Subcontractor/Subconsultant/Material Supplier Name, Main Contact, Email and Phone

Work performed or materials provided Total Dollar Commitment

Dollars Paid this month

Total Dollars Paid Since NTP

I certify that this information accurately reflects actual payments made to Subcontractors, Subconsultants, and Material Suppliers on the above referenced Project, and that all Suppliers providing goods under this Contract have been listed in the Sales Tax Statements submitted to the City in connection with this Payment Affidavit. If no subcontractors or suppliers are listed on the preceding chart or Sales Tax Statements, the Contractor certifies that no subcontractors, subconsultants, or material suppliers were used in performing the above referenced Project during the reporting month and year shown.

Signature of Authorized Company Official Print Name Title Date Telephone Number

NOTARY CERTIFICATION

STATE OF

COUNTY OF

Sworn to and subscribed before me this day of 20 .

Print Name of Notary Public Signature of Notary Public [SEAL]

My Commission Expires