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U. S. Department of Transportation Federal Transit Administration Opening “DOORS” Program Developing Opportunities, Outreach and Resources for Success.

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Presentation on theme: "U. S. Department of Transportation Federal Transit Administration Opening “DOORS” Program Developing Opportunities, Outreach and Resources for Success."— Presentation transcript:

1 U. S. Department of Transportation Federal Transit Administration Opening “DOORS” Program Developing Opportunities, Outreach and Resources for Success Kansas City, Missouri June 19, 2012

2  To ensure nondiscrimination in the award and administration of federally funded contracts;  To create a level playing field on which DBE’s can compete fairly for federally funded contracts with the inclusion of all classes;  To ensure that the Department’s DBE Program is narrowly tailored and in accordance with applicable law;

3  To ensure that only firms that fully meet the eligibility standards are permitted to participate as DBE’s;  To help remove barriers to the participation of DBE’s in DOT-funded contracts; and  To assist the development of firms that can compete successfully in the marketplace outside the DBE Program.

4  Certification Objective  To ensure that program benefits small, for- profit business firms that are: o At least 51% owned and controlled by one or more individuals who are both socially and economically disadvantaged o Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it

5 The U. S. DOT and FTA administer the DBE Program in accordance with Federal Regulations 49 CFR Part 26

6  Eligibility Standards  Business Size  Social and Economic Disadvantage  Group Membership  Personal Net Worth  Ownership and Control  Other Rules Affecting Certification

7  Group Membership  The individual must demonstrate, by a preponderance of the evidence, that he or she is a member of the group  Consider that the individual has held themselves out to be a member of the group over a long period of time prior to application for certification and regarded as a member of the group by the relevant community

8  Business Size  Must be an existing small business o SBA’s size standards based on the North American Industrial Classification System (NAICS) o Annual income not to exceed $22.41 million Calculated by 3 year average gross receipts

9  Social & Economic Disadvantage  Citizens & lawfully admitted permanent residents who are: o Women o Black Americans o Hispanic Americans o Native Americans o Asian-Pacific Americans o Subcontinent Asian-Americans o Other groups designated by SBA

10  – Social & Economic Disadvantage  Personal Net Worth o Each owner claiming social and economic disadvantage is required to submit signed, notarized Personal Net Worth (PNW) Statement with supporting documentation o $1.32 Million Personal Net Worth Cap  Excludes Equity in Primary Residence & Applicant Business Interest

11  – Ownership  At least 51% percent of firm must be owned by a socially and economically disadvantaged individual  Ownership must be real and substantial -- disadvantage owner must enjoy the customary incidents of ownership and share in the risk and profits associated with their ownership interest

12  – Ownership (continued)  The contributions of capital or expertise by the socially and economically disadvantaged owner must be real and substantial (i.e. not an unsecured note payable or an employee of the firm)  Special rules apply for ownership acquired by gift or transfer and when marital assets are used to acquire ownership

13  – Control  The firm must be an independent business – not dependent on its relationship with another firm(s)  Not subject to any formal or informal restrictions which limit the customary discretion of the disadvantaged owners (i.e. not restricted by-laws, voting powers)  The disadvantaged owner must possess the power to direct and make the day-to-day as well as long- term decisions on matters of management, policy and operations (must hold the highest officer position)

14  – Control (continued)  Others (non-disadvantaged individuals) may be involved in the business but not possess or exercise the power to control the firm or responsible for the operation of the firm. o May delegate authority but must be revocable  The disadvantaged owner must have an overall understanding of, and managerial and technical competence and experience directly related to the type of business seeking certification.

15  Other Rules Affecting Certification  Determine if the firm has exhibited a pattern of conduct indicating its involvement in attempts to evade or subvert the intent or the requirements of the DBE Program  The firm’s eligibility is evaluated on the basis of present circumstances  Must be for-profit  Performs a commercially useful function or is a regular dealer  Holding companies and subsidiaries – additional rules regarding company structure

16  Interstate Certifications (new)  There is no reciprocity agreement between the Missouri UCP and any other UCP  As of January 2011 the UCPs may accept interstate certifications (Part 26.85)  Firms should be certified in their home states first o Submit same paperwork and copies of certification documents and correspondence to MRCC o MRCC may request additional information from UCP o MRCC may not accept the certification decision

17 Missouri agencies that receive DOT funding have implemented a Unified Certification Program (UCP). DBE certifying agencies in the state to formed the Missouri Regional Certification Committee (MRCC). Those partnering agencies include:  Missouri Department of Transportation (MoDOT)  City of St. Louis - Lambert Airport Authority  Metro in St. Louis  City of Kansas City, Missouri  Kansas City Area Transportation Authority (KCATA)  Mid American Regional Council (MARC)  East West Gateway Council of Governments (St. Louis)

18  New requirement under 49 CFR Part 26 changes effective January 2011  “Fostering Small Business Participation”  Becomes an element of the agencies’ DBE Programs  Submitted to FTA for approval by 2/28/12  Firms considered small business under SBA guidelines will be allowed to participate. Title 13, Code of Federal Regulations, Part 121

19  Size standards ensure a “level playing field” for competition among small businesses of varying sizes. structure/contracting/contracting- officials/eligibility-size-standards  By definition, firms that are certified as DBE’s are considered SBE’s

20  SBE Program is race neutral and gender neutral  Agencies are encouraged to unbundle larger projects to allow small firms to bid on DOT funded projects  Unlike the DBE program, agencies may “set aside” a portion of DOT funded projects to allow exclusive participation by a small business regardless of the owner’s gender, race or geographic location

21  The MRCC has a “Small Business Enterprise (SBE) Program Declaration of Certification” that is reciprocal with all Missouri UCP agencies  Includes notarized acknowledgement and affirmation that business meets the SBA size guidelines  Requires that SBE’s are under the PNW threshold of $1.32 million  Accepts SBA certification and MRCC may ask for tax returns

22 Metro 707 N. First Street St. Louis, Missouri (fax) City of Kansas City, Missouri Human Relations & KCI Airport 4 th Floor, City Hall 414 East 12 th Street Kansas City, Missouri (fax) Kansas City Area Transportation Authority 1350 E. 17 th Street Kansas City, Missouri (fax) City of St. Louis – Lambert P.O. Box Lambert International Boulevard St. Louis, Missouri (fax) Missouri Department Of Transportation 105 West Capitol Avenue P.O. Box 270 Jefferson City, Missouri East-West Gateway Council Of Governments 1 S. Memorial Drive, Suite 1600 St. Louis, MO (fax)

23  Federal Transit Administration:  DOT’s Office of Small & Disadvantaged Business Utilization:  Small Business Administration:

24 Denise Bradshaw Adams Website:

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