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

♦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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Manual Notice: 2019-2

From: Michael D. Bryant, Director, Civil Rights Division

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

Effective Date: April 01, 2019

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Purpose

The District DBE Compliance and Monitoring Guide (for projects let Feb. 2017 and thereafter) provides guidance for the District staff on the federal and state requirements of the DBE Program. This Guide contains the processes and procedures to be used by TxDOT to successfully accomplish all phases of DBE compliance from project initiation to project close-out. The procedures include District DBE Coordinator (DDC) responsibilities with respect to both federal requirements and state requirements.

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Contents

The following sections have been modified to reflect changes in policies and procedures:

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Chapter 13, Section 4
- “CUF Dashboard Report”: Added step-by-step instructions to run report.

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Chapter 14, Section 7
- “Performing CUF/MPR Review Report”: Removed from this guide as these reports are for SMS projects only.

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Supersedes

The version of this manual effective April 1, 2019 supersedes any previous versions of this manual.

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Contact

Civil Rights Division, CivilRights@txdot.gov, (512) 416-4700.

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Archives

Past manual notices are available in a PDF archive.