Summary

This is a Request for Substitution/Exemption form issued by the City of Phoenix Public Transit Department Compliance Section for use by prime contractors seeking approval to modify Disadvantaged Business Enterprise (DBE) utilization on federally-assisted transit contracts. The form permits contractors to request exemptions for releasing proposed DBE subcontractors, substituting DBE subcontractors, changing the scope of work for DBE subcontractors, or reducing amounts originally proposed for DBE participation. All requests must be submitted to ptdcompliance@phoenix.gov prior to implementing any changes to the proposed DBE utilization statement or the contractor's monthly DBE utilization form. The form requires the prime contractor's authorized representative to certify the request, provide a summary of good faith efforts in identifying additional DBE participation, and submit supporting documentation as necessary. The City's Contract Compliance Section reviews all submissions and indicates approval status, revised DBE goals, and revised DBE utilization percentages on the form.

The form serves as a control mechanism ensuring that no DBE subcontractor substitutions, terminations, scope reductions, or payment amount modifications occur without formal written approval from the City's Compliance Section. This requirement applies to contracts subject to 49 CFR Part 26 compliance obligations, which mandate that contractors demonstrate good faith efforts in achieving DBE participation goals throughout contract performance. The form requires documentation of the prime contractor's efforts to locate replacement DBE firms before exemptions are granted, ensuring that reductions in DBE utilization do not occur without legitimate justification and demonstrated diligent solicitation efforts.