Attachment_-_PTD_Disadvantaged_Business_Enterprise_-_Small_Business_Participation_Plan_Annual.pdf
PDF 153 KB Posted
- Attached to
- Lutron Lighting Systems
- Solicitation number
- IFB PCC-26-0101
- Issued by
- Maricopa County, Phoenix City, Arizona
About this file
This is a Disadvantaged Business Enterprise (DBE) and Small Business Participation Plan annual submission form issued by the City of Phoenix Public Transit Department in accordance with United States Department of Transportation regulations under 49 CFR part 26. The form requires contractors to submit comprehensive participation plans annually on the anniversary date of contract execution to document efforts promoting DBE and small business involvement in Federal Transit Administration-assisted projects. Contractors must identify goods and services categories available for procurement from certified DBE and small business suppliers, track all sub-tier participation through purchase orders, joint ventures, and vendor arrangements, and maintain detailed documentation of outreach efforts including correspondence with DBE suppliers. The form mandates monthly reporting of all DBE and small business participation data through the City's Certification and Compliance System at phoenix.diversitycompliance.com, with contractors required to designate a contract liaison responsible for annual plan submission and compliance reporting.
The participation plan requires contractors to demonstrate good faith efforts through specific commitments including contacting DBE suppliers to solicit proposals, encouraging eligible suppliers to pursue DBE certification, consulting the PTD DBE Compliance Specialist for guidance, identifying opportunities within the Arizona UTRACS database, and utilizing proactive outreach to certified firms. Contractors must maintain current lists of DBE firms and small businesses serving as subcontractors, joint venture partners, and service providers, identify future opportunities for DBE participation by scope of work or service category, and provide annual summary documentation of all expenditures to certified DBEs and small businesses including company names, points of contact, email addresses, and total amounts paid during the reporting period. The plan applies to the Lutron Lighting Systems contract for the Phoenix Convention Center beginning March 1, 2026, establishing a five-year term with significant emphasis on inclusive procurement practices and ongoing compliance monitoring.
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City of Phoenix
PUBLIC TRANSIT DEPARTMENT
PTD Disadvantaged Business Enterprise/Small Business Participation Plan Annual Plan Submission
Due annually on the anniversary date of contract execution
Contract No. ____________
The above-referenced contract is subject to the Public Transit Department’s Disadvantaged Business Enterprise (DBE) program requirements issued by the United States Department of Transportation (USDOT) in 49 CFR part 26. Contractor will track and report all the participation that occurs in any procurement, joint ventures, goods/services, and other arrangements involving a DBE or a Small Business. the company submits its Small Business Participation Plan (SBPP) and agrees to comply with the small business outreach requirements to use good faith and reasonable efforts to promote and foster the participation of Small Businesses and DBE firms on Federal Transit Administration (FTA) assisted projects.
I. DBE Participation Commitment
Send letters to DBE suppliers encouraging them to contact our company with proposals regarding providing goods and services and to keep a log of all letters, contacts, responses, and non-responses.
Encourage other suppliers who may be eligible to apply for DBE certification.
Make the best reasonable efforts to obtain and utilize the services of DBE businesses.
The above company is committed to using good faith efforts by engaging and soliciting the services of Small Businesses and DBE firms as new and existing needs for services arise.
The company will actively attempt to contract small, disadvantaged businesses, in addition to encouraging the businesses to pursue DBE certification.
Below is an outline of our good-faith plan to demonstrate our efforts to foster small, disadvantaged businesses and DBE participation in FTA-assisted projects:
Contact the PTD DBE Compliance Specialist for assistance and guidance regarding this plan.
Identify opportunities for DBE-certified suppliers to provide goods and services.
Identify DBE-certified firms in the AZ (UTRACS) database and engage in proactive outreach efforts to inform these certified firms of opportunities.
https://utracs.azdot.gov/Search
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Other commitments:
II. Company Responsibilities:
Contractor understands the requirements to comply with Public Transit Department Small Business Participation Plan and 49 CFR Part 26. The company will track and report all DBE, and/or small business participation that occurs on transit related projects as a result of a contract, procurements, purchase orders, subleases, JV, goods/services or other arrangements involving sub-tier participation. This documentation will be entered monthly into the City’s reporting program “Certification and Compliance System” at phoenix.diversitycompliance.com.
III. List of Goods and Services The company has identified this list as potential categories of goods and services that can be purchased from small businesses and DBE certified suppliers on transit related projects:
https://phoenix.diversitycompliance.com/
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Listed below are the DBE firms and small businesses that are currently participating with the company as subcontractors, joint venture partners, suppliers of goods and services, and other business relationships.
IV. DBE Firms Currently in Use
V. Future Opportunities* for DBE Participation
The company working on a transit-related project will use the City of Phoenix and Federal databases as a starting point to locate and engage potential opportunities of DBE suppliers.
Potential opportunities for DBE participation include:
*Please list scopes of work of vendor and/or goods and services area(s)
(if more lines are needed, please include additional pages)
DBE or
SBE
This list will be assessed at the next submission of the annual SBPP.
VI. The chart below summarizes all the expenditures made to Certified DBEs and small businesses during the past year.
Company Name Point of contact Email
Total Amount Paid During the Past
Year (MM-DD-YYYY to
MM-DD-YYYY)
VII. Annual DBE/Small Business Participation Plan Submission The contractor shall complete and submit an updated SBPP, including any associated supporting documentation requested by the Agency or Subrecipient, on an annual basis from the contract start.
Name:
Phone: Cell:
E-mail:
Address:
City: State:
Date:
**Please submit all supporting documentation with your SBPP**
VIII. Contract Liaison
____________________ will be responsible for submitting the Small Business Participation Plan on a yearly basis and other required reports by the contracting agency.
a. Contact Information:
| Exhibit - Initial SBPP Plan |
| Exhibit - DBE Annual SBPP Plan |
| Exhibit - DBE Request for Substitution or Exemption |
| Exhibit - DBE Certification of Final Payment |
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| Point of contactRow1: |
| EmailRow1: |
| DBE or SBERow1: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow1: |
| Point of contactRow2: |
| EmailRow2: |
| DBE or SBERow2: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow2: |
| Point of contactRow3: |
| EmailRow3: |
| DBE or SBERow3: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow3: |
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| EmailRow4: |
| DBE or SBERow4: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow4: |
| Point of contactRow5: |
| EmailRow5: |
| DBE or SBERow5: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow5: |
| Point of contactRow6: |
| EmailRow6: |
| DBE or SBERow6: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow6: |
| Point of contactRow7: |
| EmailRow7: |
| DBE or SBERow7: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow7: |
| Point of contactRow8: |
| EmailRow8: |
| DBE or SBERow8: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow8: |
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| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow9: |
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| DBE or SBERow10: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow10: |
| Point of contactRow11: |
| EmailRow11: |
| DBE or SBERow11: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow11: |
| Point of contactRow12: |
| EmailRow12: |
| DBE or SBERow12: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow12: |
| Point of contactRow13: |
| EmailRow13: |
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| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow13: |
| Point of contactRow14: |
| EmailRow14: |
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| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow14: |
| Point of contactRow15: |
| EmailRow15: |
| DBE or SBERow15: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYYRow15: |
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| will be responsible for submitting the Small Business Participation: |
| Name: |
| Phone: |
| Cell: |
| Email: |
| Address: |
| City: |
| State: |
| Date: |
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