District DBE Compliance and Monitoring Guide (for projects let Feb. 2017 and thereafter): District CUF Dashboard Review

♦Manual Notice 2019-2
►1. Introduction
- ♦1. Purpose of the Guide
- ♦2. Overview of the DBE Program
- ►3. Acronyms, Terms and Definitions
  - ♦Acronyms
  - ♦Terms and Definitions
►2. Resources
- ►1. Resources
- ►2. Training
  - ♦TxDOT DBE Guides
  - ♦Diversity Management System
►3. DBE Program Authorities
- ♦1. Regulations and Provisions
►4. DBE Program Responsibilities
- ►1. Overview
  - ♦Condition of Federal Funding
- ►2. Civil Rights Division
  - ♦Overview
  - ♦CIV Staff
  - ♦CIV Organizational Chart
  - ♦CIV Contact Information
- ►3. TxDOT Districts
- ►4. Prime Contractor
  - ♦Prime Contractor Staff
  - ♦Prime Contractor Responsibilities
►5. The Texas Unified Certification Program (TUCP)
- ►1. Background on the TUCP
  - ♦Background on the TUCP
  - ♦TUCP Certifying Agency Requirements
  - ♦TUCP Directory
►6. Commercially Useful Function
- ♦1. Overview
- ►2. Counting DBE Participation
  - ♦Counting Overview
  - ♦DBE Subcontractor
  - ♦Manufacturer
  - ♦Regular Dealer
  - ♦Packager, Broker, Manufacturer’s Representatives
  - ♦Differences between a Manufacturer, Regular Dealer, and Broker
  - ♦Trucking Firm
  - ♦Joint Venture
- ♦3. CUF and Certification
- ►4. DBE Fraud Indicators
  - ♦DBE Fraud Indicators
  - ♦Reporting Fraud
  - ♦District Responsibilities
►7. Contract Letting
- ►1. Overview
  - ♦Overview
  - ♦Pre-Estimate Actions
►8. Good Faith Effort Process
- ►1. Overview
  - ♦Utilization Plan
  - ♦Good Faith Efforts
  - ♦Administrative Reconsideration
- ►2. Submitting a Utilization Plan in DMS
  - ♦Overview
►9. DMS Subcontractors
- ►1. Overview
- ►2. Locking in Contract Records in DMS
  - ♦Overview
  - ♦To View All New Records
  - ♦Locking In New Contract Records
- ►3. When the Prime Contractor is a DBE
- ►4. Transferring Subcontractors from an Approved Utilization Plan (UP) to a Contract
- ♦5. Reviewing and Approving the DBE Trucking Utilization Form
►10. Race-Neutral Participation
- ♦1. Overview
- ►2. Adding a Race-Neutral DBE Subcontractor in DMS
  - ♦Overview
►11. Contract Award and Subcontract Execution
- ►1. Subcontracts
  - ♦Subcontract Agreement
  - ♦Multiple-Tier Subcontracts
- ►2. Reviewing DBE Subcontracts for Compliance
  - ♦Submitted Contracts
  - ♦District Responsibilities
- ►3. Save Subcontract in DMS
  - ♦Purpose
  - ♦Save Approved Subcontract in DMS
►12. Pre-Construction Conference
- ♦1. Overview
▼13. Performing a CUF Review
- ►1. CUF Review
  - ♦CUF Review Supporting Documentation
  - ♦Non-compliance with CUF Requirements
- ♦2. Completing a CUF Review in DMS
- ►3. District CUF Verification
  - ♦Overview
  - ♦CUF Sign-off in the DMS Subcontractor Table
- ▼4. District CUF Dashboard Review
- ♦5. Daily Monitoring
►14. Payments
- ►1. Payments
  - ♦Prompt Payment
  - ♦Final Reimbursement to Prime Contractor
- ►2. Payment Reporting in DMS
- ►3. Payment Reporting when a DBE is a Prime Contractor
  - ♦Overview
  - ♦DMS Process for a DBE Prime Contractor
- ►4. Managing Payment Audits
- ♦5. Resolving a Discrepancy in DMS
- ♦6. Adjustments to DBE Expenditures
►15. Joint Checks
- ♦1. Joint Check Process
- ►2. Use of Joint Checks to Guarantee Payment for Materials and Supplies
  - ♦District Responsibilities
►16. Assistance to DBE Firms
- ♦1. Overview
►17. Change Orders
- ►1. Overview
  - ♦Increases of Scope of Work
  - ♦Reduction of Scope of Work
- ♦2. District Responsibilities
- ►3. Managing Change Orders in DMS
►18. Termination and Substitution Requests
- ►1. Termination and Substitution of a DBE
- ♦2. District Responsibilities
- ♦3. Steps to Approve a Substitution Request in DMS
- ♦4. Steps to Approve a Removal Request in DMS
- ♦5. Steps to Approve an Additional Subcontractor in DMS
►19. Monitoring DBE Activity
- ♦1. Monitoring DBE Goal Attainment
- ♦2. District Responsibilities
►20. Enforcement
- ♦1. Enforcement
►21. Project Close Out
- ♦1. Prime Contractor Actions
- ►2. District Responsibilities
  - ♦Final Payment
  - ♦Contract Management: Closeout Tab
  - ♦Unpaid Retainage
- ♦3. Records Retention
►22. Local Government Projects
- ♦1. Overview
- ♦2. LG Responsibilities
- ♦3. District Responsibilities
►23. Design-Build Projects
- ♦1. Overview
►A. References
- ♦1. Website
- ►2. Reference Documents
  - ♦Chapter-Section Index of Forms and Documents
  - ♦Additional Forms
- ►3. Reference Letters
►B. FHWA Q&A
- ►1. Federal Highway Administration Q & A for the DBE Program

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Section 4: District CUF Dashboard Review

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Overview

The District can generate a report showing a status of CUF reviews for contracts in DMS. This is accomplished by utilizing the CUF Dashboard Report. The CUF Dashboard Report is able to review a single contract, or all contracts within a District.

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CUF Dashboard Report for a Single Contract

Step 1: Log in to DMS.

Step 2: Locate desired contract and navigate to Contract Management page.

Step 3: Click on the Reports tab.

Step 4: Locate and then click on the CUF Reviews Project Dashboard. The report will be generated by DMS.

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CUF Dashboard Report for a District

Step 1: Log in to DMS.

Step 2: On the left-hand menu, click Reporting.

Step 3: Locate and click Full Menu

Step 4: Locate and click CUF Reviews Project Dashboard

Step 5: Make the desired selections from the dropdown menus in the Show Descriptions & Instructions section.

Step 6: Click View Report.