• ♦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
    • ♦Overview of the DBE Program – Videos
    • ♦TxDOT DBE Guides
    • ♦Diversity Management System
  • ►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
    • ♦District Engineer Responsibilities
    • ♦District Staff Responsibilities
    • ♦District DBE Coordinator (DDC) Contact List
  • ►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
    • ♦DMS Contract Set Up and Use Procedures
    • ♦TxDOT Responsibility
    • ♦Prime Contractor Responsibility
  • ►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
    • ♦Overview
    • ♦Calculated Remaining Amount
    • ♦Edit Prime Contractor to Count Towards DBE Goal
  • ►4. Transferring Subcontractors from an Approved Utilization Plan (UP) to a Contract
    • ♦Overview
    • ♦Accessing a UP
    • ♦Transferring Subcontractors from an Approved 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
    • ♦Overview
    • ♦CUF Dashboard Report for a Single Contract
    • ♦CUF Dashboard Report for a District
  • ♦5. Daily Monitoring
• ►14. Payments
  • ►1. Payments
    • ♦Prompt Payment
    • ♦Final Reimbursement to Prime Contractor
  • ►2. Payment Reporting in DMS
    • ♦Understanding the Audit Process
    • ♦Prime Contractor Reports Payments
    • ♦Subcontractor Verification of Payments
    • ♦Payment Discrepancy
    • ♦Processing Complete
  • ►3. Payment Reporting when a DBE is a Prime Contractor
    • ♦Overview
    • ♦DMS Process for a DBE Prime Contractor
  • ►4. Managing Payment Audits
    • ♦Overview
    • ♦District Responsibilities
    • ♦DMS Dashboard Set-up for Payment Audits
    • ♦Required Monthly Reporting Audit by the DDC
    • ♦DMS Process for a Zero-Dollar Estimate Month
  • ♦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
    • ♦Creating Change Orders
    • ♦Changing the Value of a Contract
    • ♦Changing the End Date of a Contract
• ►18. Termination and Substitution Requests
  • ►1. Termination and Substitution of a DBE
    • ♦Overview
    • ♦Commitment Reduction
    • ♦Termination Procedures
    • ♦If Termination Does Not Result in DBE Shortfall
    • ♦If Termination Results in a DBE Shortfall
    • ♦Process When a Contractor Fails to Secure a Substitute 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
    • ♦Notification of Commercially Useful Function Non-Compliance
    • ♦DBE Termination Approval
    • ♦DBE Replacement Approval
    • ♦DBE Replacement Request Denial
    • ♦Good Faith Effort Approval after Terminating a DBE
    • ♦Good Faith Effort Denial after Terminating or Substituting a DBE
    • ♦Joint Check Request Approval
    • ♦Joint Check Request Denial
• ►B. FHWA Q&A
  • ►1. Federal Highway Administration Q & A for the DBE Program
    • ♦Bidders List
    • ♦Assurance Statement
    • ♦Local Agencies
    • ♦Design-Build Projects
    • ♦Contract Goals
    • ♦Race–Neutral Participation
    • ♦Commitments
    • ♦Good Faith Efforts – Prior to Contract Execution
    • ♦Administrative Consideration
    • ♦Determining Credit When a DBE Firm is Ineligible – Prior to Subcontract Execution
    • ♦Goal Credit – Materials and Supplies
    • ♦Reporting DBE Participation on Contracts With and Without Goals
    • ♦Commercially Useful Function
    • ♦When a DBE Subcontracts its Work to a Non-DBE
    • ♦Joint Venture
    • ♦Termination / Substitution
    • ♦Counting Credit for Manufacturers, Regular Dealers, Packagers and Brokers
    • ♦Trucking – Counting Credit
    • ♦Goal Credit – Final Compliance (Payment to DBEs)
    • ♦Joint Checks
    • ♦Prompt Payment / Retainage
    • ♦Monitoring - Payments and CUF Reviews
    • ♦Unified Certification Program
    • ♦Administrative Remedies

District DBE Compliance and Monitoring Guide (for projects let Feb. 2017 and thereafter)

April 2019

Copyright © 2019 by Texas Department of Transportation
All rights reserved.

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