Attachment_-_PTD_Disadvantaged_Business_Enterprise_-_Small_Business_Participation_Plan_Initial_Plan.pdf
PDF 181 KB Posted
- Attached to
- HVAC Filter Maintenance and Repair
- Solicitation number
- 27-FMD-007
- Issued by
- Maricopa County, Phoenix City, Arizona
About this file
This is a Disadvantaged Business Enterprise (DBE) and Small Business Participation Plan (SBPP) template issued by the City of Phoenix Public Transit Department for a state and local contract opportunity involving HVAC filter maintenance and repair services. The template requires contractors to submit an initial Small Business Participation Plan within 30 calendar days after contract award and comply with U.S. Department of Transportation regulations under 49 CFR Part 26. The contractor must demonstrate good faith efforts to engage DBE-certified suppliers by contacting DBE vendors, maintaining logs of outreach communications, utilizing services from DBE businesses, and identifying opportunities for DBE participation in the procurement of goods and services related to the contract. The three-year initial contract for HVAC filter maintenance services at approximately 120 City of Phoenix municipal facilities commences on or about September 1, 2026, with two optional one-year extension periods. The sealed bid solicitation is open through the City's Procurement Portal, with a pre-offer conference scheduled for February 18, 2026, a written inquiry deadline of March 25, 2026, and sealed offers due April 8, 2026.
The contractor must designate a contract liaison responsible for annual SBPP submissions and monthly reporting of all DBE and small business participation expenditures through the City's Certification and Compliance System online portal at phoenix.diversitycompliance.com. The plan requires contractors to identify and list specific categories of goods and services to be procured from DBE-certified and small business suppliers, track all payments made to participating firms with company contact information and total amounts paid, and submit updated participation plans annually throughout the contract term. Contractors must access the Arizona UTRACS database at https://utracs.azdot.gov/Search to identify eligible DBE-certified firms for outreach efforts. The document provides space for contractors to document current DBE and small business relationships, future participation opportunities by scope of work, annual expenditure summaries, and supporting documentation including certification of final payment to all participating DBE firms upon project completion.
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City of Phoenix
PUBLIC TRANSIT DEPARTMENT
PTD Disadvantaged Business Enterprise/Small Business Participation Plan Initial Plan Submission
Due 30 calendar days after Award
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)
*Does not apply to the first year of SBPP
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 |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow1: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow2: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow3: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow4: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow5: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow6: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow7: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow8: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow9: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow10: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow11: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow12: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow13: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow14: |
| Total Amount Paid During the Past Year MMDDYYYY to MMDDYYYY Does not apply to the first year of SBPPRow15: |
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| Point of contactRow1: |
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| DBE or SBERow14: |
| Point of contactRow15: |
| EmailRow15: |
| DBE or SBERow15: |
| will be responsible for submitting the Small Business Participation: |
| Name: |
| Phone: |
| Cell: |
| Email: |
| Address: |
| City: |
| State: |
| Date: |
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