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FREQUENTLY ASKED QUESTIONS

What is the Disadvantaged Business Enterprise (DBE) program?

You must meet the following criteria to be certified as a DBE for all Georgia federally funded

contracts.

At least 51percent ownership of your business must be a socially and economically

disadvantaged individual(s).

An individual whose personal net worth exceeds $750,000 shall not be deemed to be

economically disadvantaged.

You, as a disadvantaged owner, must control and manage the firm's daily business operations

and make the daily decisions.

Your firm's annual gross receipts must not exceed the Small Business Administration's size

standards in the firm's service area.

* Those individual(s) presumed to be socially and economically disadvantaged by the federal

government include: Black Americans, Hispanic Americans, Asian-Indian Americans, Asian-

Pacific Americans, Subcontinent Asian Americans, Native Americans, and Women.

Why would I want to be certified?

Certification is a way for your business to participate in the Georgia DOT's DBE Program.

Certification gives groups that have been historically under-represented in the construction

contracting industry a chance to work on Georgia DOT federally funded highway projects that

have goal for minority or women participation.

How do I become certified?

To become certified, you must file an application with the Georgia DOT Uniform Certification

Program and go through a review process. The Georgia DOT decides whether you are eligible

after a thorough review of your firm's ownership, control, financial and managerial documents,

and whether you have the equipment needed to do the work of a given contract. As part of the

review, Georgia DOT staff may visit your firm's office.

Does a firm's DBE certification guarantee that it will be awarded contracts?

No, it does not guarantee work to a firm. The DBE Program is design to assist the development

of disadvantaged small businesses, and to guarantee them fair opportunities to compete for

Georgia business. To be successful as a DBE, you must sell yourself, your personnel and your

services.

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Where do I obtain an application?

For certification applications or additional information about the certification process, please

contact the Georgia DOT's Office of Equal Opportunity at 404-631-1972. (Download the pdf

appliation).

How do I do business with the Georgia DOT? (Sent to Anne Stewart & Mark Lawing to

answer)

The Georgia DOT has a letting every four weeks. Bids are due by 11 a.m. on the day of the

letting. The letting is held at the Georgia DOT's Office of Contracts on the third Tuesday of

every month except January when it is held on the third Wednesday. Contractors may keep track

of the letting results on the internet or attend the letting in person.

Where can I receive DBE technical assistance?

The Georgia DOT periodically retains a supportive services consultant to aid DBE firms. This

aid includes:

Assistance in the preparation of the certification application.

Information about how to obtain bidding documents and plans.

Assistance in reading plans.

Assistance in dealing with contractors.

Information about dealing with the Georgia DOT.

Assistance in developing loan packages and financial statements.

Assistance from our consulting firm when requested and approved.

Currently the Supportive Services Consultant Contract is being reviewed and will be sent out for

Request for Qualifications during the summer of 2010.

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Directory A directory of certified DBE firms is published by the Georgia DOT each month. Only certified

DBE firms are eligible for that letting. The directory lists company names, addresses, phone

numbers, contact persons, and work type description of certified DBEs.

Q: Is there a cost to become certified?

A: No. There is no cost for the certification process.

Q: How long does it take to become certified?

A: On the average, it takes 120 days to process a certification application provided all required

documents and complete answers to all questions have been submitted.

Q: Where can I get a copy of the certification application?

A: The certification application is available on the 7th Floor at One Georgia Center, 600 West

Peachtree Street, NW, Atlanta, Georgia 30303 or you can apply at http://www.dot.ga.gov.

Q: What does the certification process involve?

A: The certification application is first reviewed for completeness of information. Should the

application contain more than three (3) missing documents, the application is returned to the

applicant requesting additional information. If all required documents from the checklist are

submitted as required, the application if assigned to a DBE Coordinator who reviews the file and

conducts a site visit and issues a recommendation to accept or deny the application for DBE

eligibility. If the DBE Program approves the application, a "certification letter" is issued to the

applicant. If the DBE Program denies certification, the applicant is given an opportunity to

appeal the certification denial decision.

Q: Will the certification application be processed if all answers are not provided?

A: An incomplete application will take longer to process and will slow the processing of your

application. It is important that all answers be accurate and complete. If a question is not

applicable, then indicate "not applicable" or "n/a".

Q: Is there a geographic location requirement for certification?

A: No.

Q: How long does certification last?

A: The original certification is valid for three years. During the 3 year period, the applicant will

be required to submit a "No Change Affidavit", on the anniversary date of its original

certification affirming no change has occurred impacting its DBE status.

Q: Is the Georgia DOTcertification accepted by other entities?

A: Yes. The GDOT UCP's certification is accepted by the state Department of Transportation’s,

City of Atlanta, 541 cities, and 151 counties throughout Georgia.

Q: Where can I get a copy of the directory of certified businesses?

A: You can get a copy at 600 West Peachtree NW at One Georgia Center (7th

Floor and 11th

Floor), Atlanta, Georgia 30308. Businesses certified with the GUCP as DBEs are also listed on

our website in the DBE Directory.

Q: Should I apply for DBE certification?

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A: DBE goals are established for projects funded by the federal government. These projects

impact the improvements or support of the Georgia Department of Transportation's daily

operations. If your company is interested in these contracts, you should apply for DBE

certification with GDOT or MARTA UCP agency. Once certified as a DBE by an GUCP

member; if your firm is certified at GDOT, it is not necessary to reapply at MARTA.

Q: Must I complete the Socio and Economic Affidavit as well as a Personal Net Worth

Statement for each owner?

A: Yes. Those persons who are identified as socio and economic disadvantaged individuals that

make up 51 percent of the firms ownership are required to complete these affidavits.

Q: If I am certified with any other agency as an MBE/WBE, must I complete a DBE

application with GDOT or MARTA?

A: Yes. The Georgia Department of Transportation does not accept MBE/WBE reciprocal

certifications from any agency. Only GUCP DBE certifications are accepted by GDOT.

Q: What is the mission of the Georgia DBE Program?

A: In an effort to eliminate inequalities, each state’s Department of Transportation administers

the DBE program with one DBE officer presiding as a liaison officer. Here in Georgia, that DBE

liaison officer is Michael G. Cooper, Director. He and his staff have a dedicated goal to help

eligible businesses become DBE-certified so they can become part of the Georgia Unified

Certification Program and bid on federally funded highway construction and other projects

shoulder-to-shoulder with major corporations.

Q: What is the criteria to become DBE certified?

Personal net worth must be less than $750,000.00, excludes primary residence

Meet small business cap by NAICS Code

See CFR Title 49, Part 26 for additional information

Q: Do you have a separate WBE/MBE Program?

A: No, it all falls under the same umbrella as the DBE Program.

Q: How long is the certification process from start to finish?

A: Approximately 12 weeks if all documents have been received.

Q: What is the Georgia Unified Certification Program?

A: The Georgia Unified Certification Program (UCP) is a cooperative effort in the state of

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Georgia to provide a one-stop shop for all DBE firms and those looking to do business with

Disadvantaged Business Enterprise certified firms. The Georgia UCP is comprised of the

Georgia Department of Transportation, and the Metropolitan Atlanta Rapid Transit Authority

(MARTA).

The Georgia Department of Transportation and the Metropolitan Atlanta Rapid Transit Authority

(MARTA) accept DBE applications and conduct certification reviews including on-site visits.

Once the reviews are completed, eligible firms are certified. Your certification will be valid for

all of the agencies in the UCP.

The Disadvantaged Business Enterprise Directory is available at <<INSERT LINK HERE>> , is

fully searchable and can be downloaded in PDF format.

Contact numbers for all of the UCP participants are listed below:

State of Georgia Department of Transportation – GDOT 404-631-1972

Metropolitan Atlanta Rapid Transit Authority (MARTA) -

What is the definition of “Minority-owned Business”?

"Minority-owned business" means a business concern that is at least 51% owned by one

or more minority individuals or in the case of a corporation, partnership, or limited

liability company or other entity, at least 51% of the equity ownership interest in the

corporation, partnership, or limited liability company or other entity is owned by one or

more minority individuals and both the management and daily business operations are

controlled by one or more minority individuals.

What is the definition of Minority Individual?

"Minority individual" means an individual who is a citizen of the United States or a non-

citizen who is in full compliance with United States immigration law and who satisfies

one or more of the following definitions:

1. "African American" means a person having origins in any of the original peoples of

Africa and who is regarded as such by the community of which this person claims to be a

part.

2. "Asian American" means a person having origins in any of the original peoples of the

Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands, including but not

limited to Japan, China, Vietnam, Samoa, Laos, Cambodia, Taiwan, Northern Mariana,

the Philippines, a U.S. territory of the Pacific, India, Pakistan, Bangladesh, or Sri Lanka

and who is regarded as such by the community of which this person claims to be a part.

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3. "Hispanic American" means a person having origins in any of the Spanish-speaking

peoples of Mexico, South or Central America, or the Caribbean Islands or other Spanish

or Portuguese cultures and who is regarded as such by the community of which this

person claims to be a part.

4. "Native American" means a person having origins in any of the original peoples of

North America and who is regarded as such by the community of which this person

claims to be a part or who is recognized by a tribal organization.

1. What is the definition of a Small Business?

"Small business" means an independently owned and operated business which, together

with affiliates, has 250 or fewer employees, or average annual gross receipts of $10

million or less averaged over the previous three years.

2. What is the definition of a Women-Owned Business?

"Women-owned business" means a business concern that is at least 51% owned by one or

more women who are U.S. citizens or legal resident aliens, or in the case of a corporation,

partnership, or limited liability company or other entity, at least 51% of the equity

ownership interest is owned by one or more women who are citizens of the United States

or non-citizens who are in full compliance with the United States immigration law, and

both the management and daily business operations are controlled by one or more women

who are U.S. citizens or legal resident aliens.

3. Why do I need an email address?

The Georgia Department of Transportation is quickly moving towards the use of

electronic means for communication and for many of its procurement processes. In

today’s world, having a computer and an email account is necessary in order to compete

with other businesses.

4. What documents should I submit to prove identification?

You must provide one of the following documents to prove your identification:

1. Copy of government-issued picture identification card (driver’s license, military ID

card, etc.)

2. Certificate of Naturalization (for legal residents)

3. Passport

4. Tribal registration certificate (tribal registry letter and tribal roll register number)

5. Why must I provide a copy of my business’ Income Tax Return?

The income tax return is used to verify that your business qualifies for GDOT UCP

certification in it size and its organization. Any proprietary information and all financial

records are confidential and excluded from disclosure under the Freedom of Information Act,

Code of Georgia.

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6. I’ve submitted my required supporting documents, now what?

The required supporting documents will then be reviewed by DBE Coordinator for

compliance with the eligibility criteria and your file will be scheduled for an on-site review.

7. How else can I prove my ownership and control of the business?

You may be asked to provide or may want to further establish your ownership and control of

the business by providing any of the following documents:

1. Signed agreements or contracts (e.g., rental agreements, leases, work contracts, or

other types of formal written agreements concerning the business)

2. Contract or work history of your business (e.g., client list, past project list)

3. Resume(s) of all owners, shareholders, partnerships, officers, and/or managers

4. Bank signature card, corporate banking resolution, or notarized letter from bank

indicating signatory authorization

8. What else can I do to promote my business?

If you have not already done so, we strongly recommend that you register your company

with the GDOT Office of Construction Bidding Administration, Attention: Doris Osby, at

404-631-1213, and complete the state’s online procurement system, by registering at

<<INSERT DORIS OSBY LINK HERE>>.

9. Does certification guarantee that I will receive a state contract?

No, obtaining GDOT certification does not serve as a guarantee of work or that you’ll receive

a contract. The Program provides the tools for your business to effectively compete and

remove any barriers or limitations in the state procurement process for small, women- and

minority-owned businesses. You will still need to aggressively market your business,

network, and competitively bid for projects or contracts.

1. Where can I get the DBE application forms?

They are on this website at: DBE Certification.

2. I’m SDB / 8(a) certified. Do I need to complete the DBE Application Form as well?

If your firm is SDB / 8(a), you will also need to send us the GDOT UCP application

along with all required supporting documentation listed on the DBE Application

Checklist.

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3. I’m DBE certified in my Home State. Do I need to complete a new application for

Georgia?

Yes. Unfortunately, we do not have reciprocal certification with other States. You need to

make a new application in each State in which you wish to work.

4. Why do I need to send all these supporting documents?

We have to ascertain not only who owns the company, but also who controls it on a daily

basis. Additionally, we have to check Personal Net worth and Company size, in order to

comply with the Federal Regulations. If we are challenged on our certification, whether

by Federal auditors or a competitor company, we need the documentation on file to

support our decisions. Personal financial information is confidential to the DBE Program

and may not be disclosed otherwise by us, even in response to a Freedom of Information

request.

5. Why do you need tax returns signed even when I e-filed with the IRS?

The signature means someone takes responsibility that it is a true copy of what was filed

with the IRS. We accept tax returns signed either by the Individual / Company Officer, or

by the Tax Preparer.

6. What is the purpose of an “Onsite Visit”?

The main purpose is to confirm what was written in the application and supporting

documentation. It gives us a chance to see the business facilities, understand the daily

management processes, and answer any remaining questions we have about a company’s

eligibility. It gives the company owners the chance to talk face to face with someone who

knows about the DBE Program and can answer questions or give other contact

information.

7. How long does the DBE application process take?

It is likely to take 90 days after we receive all the information and documentation. That

includes the time for reviewing the file, and making an Onsite Visit. Most delays are

caused by incomplete information or missing documentation.

8. What is the DDOT Supportive Services Program for DBE Companies? UNDER

DEVELOPMENT Supportive Services will provide outreach and networking events,

specifications and standards training, and their legal and accounting program for financial

support in obtaining necessary legal and accounting professional services. In some cases,

financial support is available for consultants who need a FAR (Federal Acquisitions

Regulations) Audit. Contact:

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What is the DBE Program?

A1: The Disadvantaged Business Enterprise (DBE) Program is a federal program operating

under the guidance of the US Department of Transportation (DOT). The purpose of the Program

is to ensure nondiscrimination in the award and administration of the Georgia DOT-assisted

contracts. The goals of the Program are to ensure a "level playing field" in which DBEs can

compete fairly for DOT-assisted contracts, improve the flexibility and efficiency of the DBE

program, and reduce burdens on small businesses. To achieve its goals, GDOT establishes DBE

participation goals for projects funded wholly or in part with federal funds. As such, non-DBE

contractors who win large federal contracts are often required to subcontract with a DBE in order

to comply with the DOT regulations.

Q2: What is a DBE?

A2: A Disadvantaged Business Enterprise (DBE) is a small business that is at least 51 percent

owned and controlled by a minority or woman who is a socially and economically disadvantaged

person.

Q3: Why become a certified DBE?

A3: The main reason to become certified is so that your firm can bid and compete on contracts

and subcontracts in a fair, competitive environment. By obtaining DBE certification through the

Georgia Department of Transportation, your participation on many DOT-assisted contracts will

count toward the established DBE participation goal.

Q6: Does my firm have to be certified as a DBE to do business with the GDOT?

A6: No. Any firm may compete for any GDOT contract, as a prime contractor, or as a

subcontractor, regardless of whether or not the firm is a certified DBE. However, if your firm is

seeking to perform work on a contract as a DBE, you must first obtain DBE certification

through Georgia Department of Transportation Uniform Certification Program.

Q7: How does DBE certification help my firm get GDOT business?

A7: When the GDOT establishes a contract goal for DBE participation, prime contractors seek to

identify qualified DBE firms to meet contract goals. In general, prime contractors look for firms

that are already GDOT-certified as DBEs.

Being a GDOT-certified DBE provides your firm with opportunities for future growth by making

it easier to market your services to other GDOT contractors. Another advantage is being included

in the GDOT Directory of Certified DBE Firms. Many contractors use this directory to identify

DBEs for participation in their contracts.

Q8: Once GDOT-certified, can a firm be assured of getting contracts and subcontracts?

A8: No. Certification does not guarantee work to a DBE; however, it does enhance a DBEs

exposure to contractors who are seeking partnerships and the business community at large. To be

successful, a firm must market itself, its personnel and its services, as any good business should.

Q9: Is there a cost to become GDOT-certified?

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A9: No. There is no cost for the certification process.

Q10: How long does it take to become certified?

A10: On average, it takes 90 days to process a certification application provided all required

documents and complete answers to all questions have been submitted.

Q14: Where do I find more information about becoming a GDOT certified DBE?

A14: To obtain certification, contact GDOT by any of the following options:

One Georgia Center

600 West Peachtree Street, SW (7th

Floor)

Atlanta, Georgia 30308

Phone: (404) 631-1972

Fax: (404) 631-1943

Website: http://www.gdot.ga.gov

Q15: Where can I get a copy of the certification application?

A15: You can obtain a certification application by visiting the GDOT website.

Q16: Where can I get a copy of the directory of certified businesses?

A16: You can obtain a copy of the DBE directory by visiting the GDOT website.

Q17: What is an annual goal?

A17: Each year the GDOT establishes its overall annual DBE goal for federally-assisted

contracts, for the period of July 1, through June 30. The annual goal takes into account the

number of DBEs in the marketplace and the types of work the DBEs perform and compares it to

the upcoming opportunities generated by the GDOT and the types of work required for those

opportunities. For more information on annual goals, please visit the GDOT website.

Q19: How do contract goals contribute to the annual goal?

A19: The attained contract goals are aggregated over the period to which the overall annual goal

applies to determine whether the overall annual goal has been met.

Q20: Are proposers required to meet the established contract-specific goal?

A20: Yes. Proposers are required to meet the established DBE contract goal.

Q21: What if proposers fail to meet the established goal?

A21: Should the proposers fail to meet the established DBE contract goal, the proposer must

document good faith efforts. As detailed in the federal regulations (49 CFR Part 26.53), any

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bidder who responds to a federally funded solicitation that has an established DBE goal attached

to it and wishes to be considered responsive to that solicitation is required to either meet the

contract goal or demonstrate that it has made good faith efforts to meet that goal.

Q22: What is expected of the contractors once a contract is awarded?

A22: All firms, DBE and non-DBE, are expected to meet performance standards as established

by contract specifications. This relates to the quality of work done, the submission of reports and

written information in a timely manner, and the firm's compliance with applicable regulations

and laws.

Q23: What is required of the prime contractor to maintain contract-specific goals?

A23: The prime contractor must first meet the established DBE contract goals by seeking out

and utilizing certified DBEs. Once work begins, the prime contractor is responsible for

Ensuring that the DBE goal is maintained throughout the life of the contract;

Submitting monthly reports such as payroll and progress reports to monitor DBE

participation; and

Providing changes in writing to the Area Engineer when changes to the contract are

needed which affect DBE participation.

Frequently Asked Questions and Answers

What is the DBE program?

The Disadvantaged Business Enterprise (DBE) program is a federally mandated

program intended to ensure nondiscriminatory contracting opportunities for small

business concerns owned and controlled by socially and economically

disadvantaged individuals in the United States Department of Transportation’s

(USDOT) highway, mass transit and airport financial assistance programs.

The statutory provision governing the DBE program in the highway and mass transit

financial assistance programs is 1101(b) of the Safe, Accountable, Flexible, Efficient

Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59,

August 10, 2005. The statutory provision governing the DBE program as it relates to

the airport financial assistance programs is 49 U.S.C. 47113.

The DBE program administered by the Georgia Department of Transportation (IDOT)

provides minorities, women and other eligible small businesses an opportunity to

participate in highway, mass transit and airport contracts that are federal and state

funded. The presumptive groups that are eligible for the DBE program are:

• Black Americans

• Hispanic Americans

• Native Americans

• Asian-Pacific Americans

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• Subcontinent Asian Americans

• Women

• Any additional groups whose members are designated as socially and

economically disadvantaged by the Small Business Administration (SBA),

at such time as the SBA designation becomes effective.

Should I apply for DOT DBE certification?

DBE goals are put on projects, and prime contractors must utilize DBE firms to meet

those goals. If your firm is interested in state government work, performs heavy

highway/airport-related construction, professional engineering consulting, trucking,

manufacturing/fabricating and construction material supply services, and meets the

following eligibility criteria, then you should apply for GDOT DBE certification. You do

not have to be DBE-certified to perform work on GDOT contracts; however,

opportunities increase if you are certified.

Am I eligible?

A firm (including its affiliates) must meet the requirements of 49 CFR part 26,

Subpart D, concerning group membership or individual disadvantage, business size,

ownership and control.

A firm must be at least 51 percent owned by socially and economically

disadvantaged individuals who possess the power to direct or cause the direction

of the management and policies of the firm and to make day-to-day, as well as

long-term, decisions on matters of management, policy and operations.

Individual/business size requirements:

To meet the size requirements of the DBE program, a firm, including its affiliates,

must have average annual gross receipts, over the firm's previous three fiscal years,

that do not exceed the following size standards:

• For general construction firms; e.g., highway, street and bridge construction, the

size standard is $22.41 million;

• For specialty trades; e.g., electrical, plumbing and site preparation, the size

standard is $14 million;

• For landscaping services, the size standard is $7 million;

• For professional, scientific and technical services; e.g., engineering, drafting,

geophysical surveying and mapping, surveying and mapping (except

geophysical), and environmental consulting, the size standards are as follows:

Engineering Services - $4.5 million

Drafting Services - $6.5 million

Geophysical Surveying and Mapping Services - $4.5 million

Surveying and Mapping (except Geophysical) Services – $4.5 million

Environmental Consulting Services - $7.0 million

You will need to obtain your North American Industry Classification System (NAICS) code

number to determine your work category(ies). Go to www.census.gov/eos/www/naics.

Also go to the U.S. Small Business Administration’s web site at

www.sba.gov/contractingopportunities/officials/size/index.html to determine your size

standard. These standards represent the largest size that a business (including its

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subsidiaries and affiliates) may be to remain classified as a small business for SBA

and federal contracting programs. All federal agencies must use SBA's size standards

for government contracts identified as small business and for other programs and

regulations, unless authorized by federal statute to another measure.

Does USDOT’s DBE program have a size cap?

Yes; as of April 3, 2009, the DBE program size cap is $22,410,000. See

49 CFR Part 26.65 below:

§ 26.65 - What rules govern business size determinations?

(a) To be an eligible DBE, a firm (including its affiliates) must be an existing small

business, as defined by Small Business Administration (SBA) standards. As a

recipient (GDOT), you must apply current SBA business size standard(s) found in

13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in

DOT-assisted contracts.

(b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an

eligible DBE in any Federal fiscal year if the firm (including its affiliates) has had

average annual gross receipts, as defined by SBA regulations (see 13 CFR

121.402), over the firm's previous three fiscal years, in excess of $22.41 million.

SAFETEA-LU Section 1101(b)(1)(a) instructs the Secretary of Transportation to

adjust the DBE program size cap amount annually for inflation.

Frequently Asked Questions

1. What prompted the Arizona Department of Transportation (ADOT) to review its

Disadvantaged Business Enterprise (DBE) Program and to conduct a Disparity Study?

Answer:

The Federal Highway Administration (FHWA) issued guidelines on December 21, 2005, to all

State Departments of Transportation in response to the Ninth Circuit Court of Appeals decision

dated May 9, 2005, (Western States Paving Co. v. Washington State DOT), requiring recipients

of federal-aid transportation to conduct an Availability/Disparity Study. In the absence of

discrimination, race-conscious action is prohibited. The purpose of a Study is to ascertain

whether discrimination exists in a state's transportation contracting industry and, if so, to identify

its scope and extent on certain groups. The results of the Study can then be used to adopt

remedies to any discrimination that may exist.

In response to the above-cited court decision, ADOT examined its DBE Program and determined

it did not have the necessary quantitative evidence to support continuation of its race-conscious

program. On January 23, 2006, ADOT suspended all race-conscious requirements and continued

with implementing a wholly race-neutral program.

In July 2007, ADOT hired MGT of America, Inc. (MGT) to conduct a disparity and availability

study. The purpose of the disparity was to determine whether minority-owned and

disadvantaged business enterprises (DBEs) were underutilized in ADOT’s transportation design

and construction programs. The complete Study can be found on the ADOT Web site at:

http://www.azdot.gov/

2. What are race-neutral and race-conscious measures?

Answer:

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Race-neutral measures are activities or programs undertaken by ADOT and other entities that

benefit and assist all small businesses equally, including DBEs. Examples of race-neutral

measures can be found on the USDOT, Office of Small and Disadvantaged Business

Utilization’s Web site at: http://osdbu.dot.gov/DBEProgram/final/final69.cfm

Race-conscious measures, such as the use of establishing an individual contract goal, are those

measures and programs focused on specifically assisting DBEs.

Federal regulations require a recipient of federal highway funding to implement an approved

DBE Program that consists of establishing a statewide DBE utilization goal and using race

neutral means to the maximum feasible extent to achieve the goal. Where race-neutral measures

prove inadequate to achieve the goal, states are required to use race-conscious measures, such as

a DBE participation goal for individual contracts.

1. What is a Disadvantaged Business Enterprise (DBE)?

A disadvantaged business enterprise or DBE is a for-profit small

business concern that is at least 51 percent owned by one or more individuals who are both

socially and economically disadvantaged- - In the case of a corporation, 51 percent of the

stock is owned by one or more such individuals; and whose management and daily business

operations are controlled by one or more of the socially and economically disadvantaged

individuals who own it.

3. What are the DBE program objectives?

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

the Department's highway, transit, and airport financial assistance programs; to create a

level playing field on which DBEs can compete fairly for DOT-assisted contracts; to ensure

that the Department's DBE program is narrowly tailored in accordance with applicable

law; to ensure that only firms that fully meet this part's eligibility standards are permitted

to participate as DBEs; to help remove barriers to the participation of DBEs in DOT-

assisted contracts; to assist the development of firms that can compete successfully in the

marketplace outside the DBE program; and to provide appropriate flexibility to recipients

of Federal financial assistance in establishing and providing opportunities for DBEs.

4. What are the criteria for DBE certification?

Eligibility requirements for certification as a DBE are stated in 49 CFR, Part 26. The

following six requirements must be proved by a DBE applicant but does not cover all the

requirements found in 49 CFR, Part 26.

Social and Economic Disadvantage: A disadvantaged owner must be a U.S. Citizen (or

resident alien) and meet the federal definition of socially and economically disadvantaged

as defined in 49 CFR Part 26.67. Presumptive groups include women, Black Americans,

Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian-

Americans, or other minorities found to be disadvantaged by the regulations or any

individual found to be socially and economically disadvantaged on a case-by-case basis.

Personal Net Worth: Only disadvantaged persons having a personal net worth (PNW) of less

than $750,000 can be considered as a potential qualified DBE. Items excluded from a

person's net worth calculation include an individual's ownership interest in the applicant

firm, and his or her equity in their primary residence.

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Business Size Standard: A firm (including affiliates) must be a small business as defined by

the Small Business Administration (SBA). It must not have annual gross receipts over

$22,410,000 in the previous three fiscal years ($52,470,000 for airport concessions in

general with some exceptions). Depending on the type of work the business performs, other

size standards may apply.

Ownership: Must be a for-profit small business concern where socially and economically

disadvantaged individuals own at least 51% interest and control management AND daily

business operations.

Independence: The business must not be affiliated to another firm in such a way as to

compromise its independence and control. These include, but not limited to, such areas as

personnel, facilities, equipment, financial and/or bonding support, and other resources.

Management and Control: The socially and economically DBE owner (s) must possess the

power to direct or cause the direction to the management and policies of the firm and to

make day-to-day decisions, as well as long-term decisions on matters of management,

policy and operations.

5. How can I prove my group membership?

Any of the following documentation which indicates group membership will be considered:

Your Birth Certificate, your Parent’s or Grandparent's Birth Certificate, Naturalization

Papers, Passport, Military Discharge Paper (D.D. 214), Tribal Role Card or Registration

with the United Indian Development Association and any other documentation that

provides evidence of group membership. However, if you do not have any of the preceding

documentation as evidence of group membership, you will have to submit one (1) notarized

statement from a relevant community organization attesting that you are regarded as a

member of the group and stating how long you have been regarded as a member of that

particular group. Group membership cannot be claimed solely upon being born in a

certain country; and personal photographs are not acceptable as evidence of group

membership. Any documents presented as evidence of group membership, in a language

other than English, must be translated and notarized.

6. If I do not fall within the presumptive groups can I still be considered a DBE?

Yes, but you must prove by providing documentary evidence that you are socially and

economically disadvantaged. Socially and economically disadvantaged individual means

any individual who is a citizen (or lawfully admitted permanent resident) of the United

States and who meets the criteria based on 49 CFR Part 26, and any individual who the

Department finds to be socially and economically disadvantaged on a case-by-case basis.

Typically, individuals in the following groups are rebuttably presumed to be socially and

economically disadvantaged, however those outside of these are assessed on a case-by-case

basis: Black Americans, which includes persons having origins in any of the Black racial

groups of Africa; Hispanic Americans, which includes persons of Mexican, Puerto Rican,

Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or

origin, regardless of race; Native Americans, which includes persons who are American

Indians, Eskimos, Aleuts, or Native Hawaiians; Asian-Pacific Americans, which includes

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persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar),

Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines,

Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau),

the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu,

Nauru, Federated States of Micronesia, or Hong Kong; Subcontinent Asian Americans,

which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the

Maldives Islands, Nepal or Sri Lanka; and Women.

7. What is the threshold for personal net worth?

The threshold for each owner(s) shall be no greater than $750,000. Only disadvantaged

persons having a personal net worth (PNW) of less than $750,000 can be considered as a

potential qualified DBE. Items excluded from a person's net worth calculation include an

individual's ownership interest in the applicant firm, and his or her equity in their primary

residence

8. Which business owner should fill out the Personal Financial Statement (PFS)?

The majority disadvantaged owner(s) whose ownership and control is/are being relied

upon for DBE certification should complete a PFS. Usually this is the person who owns

51% or more of the firm. If two disadvantaged owners make up a majority of 51%

ownership, both will be required to complete the PFS. For example, if Owner A owns 33%,

Owner B owns 33% and Owner C owns 34% the two disadvantaged owners whose

ownership and control is being relied up must complete the PFS.

9. When filling out the PFS, Should I include my primary residence even though it is excluded

from the net worth calculations?

Yes, you must indicate the current market value of your primary residence on the PFS

form together with any debt you owe against it. The equity in your primary residence does

not count toward the allowed $750,000, however the adjustment will be made by your

certification analyst.

10. Why is it required to have an on-site evaluation of my business? ?

It is a regulatory requirement. The Federal regulations states in 49 CFR Part 26.83 subpart

C, section 1:

“Perform an on-site visit to the offices of the firm. You must interview the principal officers of

the firm and review their résumés and/or work histories. You must also perform an on-site

visit to job sites if there are such sites on which the firm is working at the time of the eligibility

investigation in your jurisdiction or local area. You may rely upon the site visit report of any

other recipient with respect to a firm applying for certification.”

11. If my business is DBE certified, how long is the certification good for?

Three years. You are however required to update your file annually. This is called the

annual affidavit of no change or ANOC. The affidavit must affirm that there have been no

changes in the firms circumstances affecting its ability to meet size, disadvantaged status,

ownership or control requirements. This update requires you to submit the most recent

business and personal taxes (signed). On the third year, your firm will go through a re-

certification process - - you will be sent reminders of these as time approaches.

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13. I’m an out-of-state business and currently seeking work in Georgia, can I be certified as a

DBE?

Yes, however your firm must first be certified in your home state. You must fill out the

appropriate application in the State you reside. For example, if your firm is based in

Alabama, you must proceed through Alabama’s DBE certification process before seeking

work as a DBE in Georgia. Once you are certified as a DBE in your home state, you can

then apply for certification in another state that UCP partner or agency can request the

onsite report from Georgia UCP.

14. Is there a cost to the applicant for the certification process?

No. The only cost associated with certification is for notarizing the application, and the cost

of postage.

16. What are my appeal rights if I am denied DBE certification?

You may appeal a decision if you feel all the facts have not been duly considered. To do so,

please respond in writing within 90 days from the date of your denial letter to:

U.S. Department of Transportation

Departmental Office of Civil Rights

External Policy and Program Development Division (S-33)

1200 New Jersey Avenue, SE W-35

Washington, D.C. 20590

Phone: 202-366-4070

Your letter to the U.S. Department of Transportation must contain the following:

information and arguments concerning why the Georgia Department of Transportation’s

decision should be reversed and the name and address of any other U.S. DOT

recipient/agency which currently certified the firm, which has rejected an application for

certification from the firm or removed the firms’ eligibility within one year prior to the

date of the appeal, or before which an application for certification or a removal of

eligibility is pending.

17. How long is the certification process from start to finish?

Due to the major influx of new applications, we must work each application in the order

received. If time is a factor, please contact a certification analyst for more details at: ((404)

631-1972. To better understand the process, only when all requested documentation has

been received the file analyst can make an eligibility recommendation to the DBE

Administrator. The process also requires an onsite visit to the business premises to assess

managerial and operational aspects of the firm.

18. Can I use the DBE application form to apply for airport concession as well?

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Yes, the same application form is used for Airport Concession DBEs – applicant must

indicate ACDBE in the firm’s primary description.

19. Does DBE certification have reciprocity with other agencies such as the Small Business

Administration (SBA)?

Currently, Georgia UCP Program does not have any reciprocity with the SBA. The SBA

8(a) Program and the DBE Program are separate Federal certifications. Currently, one

must apply with both SBA and Caltrans to attain both certifications.

20. Are my taxes and other personal information secured?

Here at Georgia DBE Program, we must comply with confidentiality requirements and

take this responsibility seriously. All files are kept behind locked doors, where only

Certification staff has access.

21. I’m a prime contractor, how can I find DBE firms?

All certified firms are listed in the DBE Directory. You can access the database to find DBE

firms in your area. If you are experiencing problems with accessing our database you may

call the analyst of the day at: (404) 631-1972.

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22. My business is certified as a DBE, where do I go from here?

As you know, many state departments, cities, and counties offer many opportunities for

small businesses to bid for federally funded contracts. For jobs currently out for bid, please

visit the

(INSERT LINK FOR DOAS – e-Procurement here).

1) What is a Disadvantaged Business Enterprise (DBE)?

A Disadvantaged Business Enterprise (DBE) is a for-profit small business concern that is:

(1) at least 51% owned by one or more individuals who are both socially and economically

disadvantaged; and

(2) whose management and daily business operations are controlled by one or more of the

socially and economically disadvantaged individuals who own it.

3) What are the objectives of the DBE Program?

The objectives of the DBE Program are to:

Create a level playing field on which DBEs can compete fairly for contracts

Ensure that the Department's DBE program is narrowly tailored

Ensure that only firms that fully meet the eligibility standards are permitted to participate

as DBEs

Help remove barriers to participation of DBEs in contracting

Assist in the development of firms that can compete successfully in the marketplace

outside the DBE Program

4) Who qualifies to be a Disadvantaged Business Enterprise?

Socially and economically disadvantaged individuals are those who are (in addition to being

economically disadvantaged) citizens (or lawfully admitted permanent residents) of the United

States who are:

(1) found to be socially and economically disadvantaged on a case-by-case basis.

(2) individuals in the following groups, of which are rebuttably presumed to be socially and

economically disadvantaged:

Black Americans, which includes persons having origins in any of the Black racial

groups of Africa

Hispanic Americans, which includes persons of Mexican, Puerto Rican, Cuban,

Dominican, Central or South American, or other Spanish or Portuguese culture or origin,

regardless of race

Native Americans, which includes persons who are American Indians, Eskimos, Aleuts

or Native Hawaiians

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Asian-Pacific Americans, which includes persons who origins are from Japan, China,

Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand,

Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the US Trust Territories of

the Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas

Island, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru, Federated States of Micronesia, or

Hong Kong.

Subcontinent Asian Americans, which includes persons whose origins are from India,

Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka

Women

Any additional groups whose members are designated as socially and economically

disadvantaged by the SBA, at such time as the SBA designation becomes effective.

5) What are the benefits of being a certified DBE?

The following are some of the benefits of being a certified DBE:

DBE contracts and subcontract amounts may count toward project DBE/UDBE goals.

DBEs may participate in a variety of supportive services such as training and technical

assistance.

DBEs receive numerous special mailings containing information on contracting and other

opportunities.

7) What is the DBE certification process?

Step 1 - Application is received

Step 2 - Application is checked for completeness. If incomplete, the applicant is sent a letter

requesting the missing information.

Step 3 - Once the application is complete, an investigator is assigned to process the file, and an

on-site review is scheduled and conducted at the applicant's office. During the on-site review,

interviews are conducted with the owners of the firm.

Step 4 - All materials submitted by the applicant and the on-site report are reviewed by the

investigator, who determines if the applicant meets the eligibility standards. The investigator also

reviews the work classification(s) requested and makes a recommendation regarding the

adequacy of the applicant's resources to perform a commercially useful function (CUF) in these

work areas.

Step 5 - The investigator reviews the application and makes a decision on the firm's eligibility

for certification in the DBE program.

Step 6 - If the application is approved, the applicant is notified, in writing, of the certification

approval.

The certification approval letter clearly indicates approval of the firm as a Disadvantaged

Business Enterprise (DBE) to perform work in specific types of work and the expiration date of

the certification.

The firm is certified as a DBE for a three year period, however certain information must be

submitted to GDOT’s Office of Certification each year during the period, in order to remain an

active DBE.

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If the application is denied, the firm is notified and the application is given the opportunity to file

an appeal

11) Where can I locate the Federal DBE Regulations?

The Federal DBE Regulation information can be found online at:

http://osdbuweb.dot.gov/business/dbe/dbe_program.cfm

19) What are the rules when counting DBE truckers?

GDOT counts DBE participation toward overall and contract goals as provided in 49 CFR Part

26.55. When a DBE participates in a contract, GDOT will count toward DBE goals only the

value of the work actually performed by the DBE. 49 CFR Part 26.55 states that a DBE trucker

must control the trucking operations for which it seeks credit. It must have at least one truck and

driver of its own, but it can lease trucks owned by others, both DBEs and non-DBEs, including

owner-operators. However, only fees and commission are counted towards the goal for non-

DBEs. For work done with its own trucks and drivers, and for work done with DBE lessees, the

firm receives credit for all transportation services provided. For work done with non-DBE

lessees, the firm gets credit only for the fees or commissions it receives for arranging the

transportation services, because the services themselves are being performed by non-DBEs.