Appendix B to Part 26 - Uniform Report of DBE Awards or Commitments and Payments Form
49:1.0.1.1.19.8.3.1.12 : Appendix B
Appendix B to Part 26 - Uniform Report of DBE Awards or Commitments
and Payments Form INSTRUCTIONS FOR COMPLETING THE UNIFORM REPORT OF
DBE AWARDS/COMMITMENTS AND PAYMENTS
Recipients of Department of Transportation (DOT) funds are
expected to keep accurate data regarding the contracting
opportunities available to firms paid for with DOT dollars. Failure
to submit contracting data relative to the DBE program will result
in noncompliance with Part 26. All dollar values listed on this
form should represent the DOT share attributable to the Operating
Administration (OA): Federal Highway Administration (FHWA), Federal
Aviation Administration (FAA) or Federal Transit Administration
(FTA) to which this report will be submitted.
1. Indicate the DOT (OA) that provides your Federal financial
assistance. If assistance comes from more than one OA, use separate
reporting forms for each OA. If you are an FTA recipient, indicate
your Vendor Number in the space provided.
2. If you are an FAA recipient, indicate the relevant AIP
Numbers covered by this report. If you are an FTA recipient,
indicate the Grant/Project numbers covered by this report. If more
than ten attach a separate sheet.
3. Specify the Federal fiscal year (i.e., October
1-September 30) in which the covered reporting period falls.
4. State the date of submission of this report.
5. Check the appropriate box that indicates the reporting period
that the data provided in this report covers. For FHWA and FTA
recipients, if this report is due June 1, data should cover October
1-March 31. If this report is due December 1, data should cover
April 1-September 30. If the report is due to the FAA, data should
cover the entire year.
6. Provide the name and address of the recipient.
7. State your overall DBE goal(s) established for the Federal
fiscal year of the report being submitted to and approved by the
relevant OA. Your overall goal is to be reported as well as the
breakdown for specific Race Conscious and Race Neutral projections
(both of which include gender-conscious/neutral projections). The
Race Conscious projection should be based on measures that focus on
and provide benefits only for DBEs. The use of contract goals is a
primary example of a race conscious measure. The Race Neutral
projection should include measures that, while benefiting DBEs, are
not solely focused on DBE firms. For example, a small business
outreach program, technical assistance, and prompt payment clauses
can assist a wide variety of businesses in addition to helping DBE
firms.
Section A: Awards and Commitments Made During This Period
The amounts in items 8(A)-10(I) should include all types of
prime contracts awarded and all types of subcontracts awarded or
committed, including: professional or consultant services,
construction, purchase of materials or supplies, lease or purchase
of equipment and any other types of services. All dollar amounts
are to reflect only the Federal share of such contracts and should
be rounded to the nearest dollar.
Line 8: Prime contracts awarded this period: The items on this
line should correspond to the contracts directly between the
recipient and a supply or service contractor, with no
intermediaries between the two.
8(A). Provide the total dollar amount for all prime
contracts assisted with DOT funds and awarded during this reporting
period. This value should include the entire Federal share of the
contracts without removing any amounts associated with resulting
subcontracts.
8(B). Provide the total number of all prime contracts
assisted with DOT funds and awarded during this reporting
period.
8(C). From the total dollar amount awarded in item 8(A), provide
the dollar amount awarded in prime contracts to certified
DBE firms during this reporting period. This amount should not
include the amounts sub contracted to other firms.
8(D). From the total number of prime contracts awarded in item
8(B), specify the number of prime contracts awarded to
certified DBE firms during this reporting period.
8(E&F). This field is closed for data entry. Except for the
very rare case of DBE-set asides permitted under 49 CFR part 26,
all prime contracts awarded to DBES are regarded as
race-neutral.
8(G). From the total dollar amount awarded in item 8(C), provide
the dollar amount awarded to certified DBEs through the use
of Race Neutral methods. See the definition of Race Neutral in item
7 and the explanation in item 8 of project types to include.
8(H). From the total number of prime contracts awarded in 8(D),
specify the number awarded to DBEs through Race Neutral
methods.
8(I). Of all prime contracts awarded this reporting period,
calculate the percentage going to DBEs. Divide the dollar
amount in item 8(C) by the dollar amount in item 8(A) to derive
this percentage. Round percentage to the nearest tenth.
Line 9: Subcontracts awarded/committed this period: Items
9(A)-9(I) are derived in the same way as items 8(A)-8(I), except
that these calculations should be based on subcontracts rather than
prime contracts. Unlike prime contracts, which may only be awarded,
subcontracts may be either awarded or committed.
9(A). If filling out the form for general reporting, provide the
total dollar amount of subcontracts assisted with DOT funds awarded
or committed during this period. This value should be a subset of
the total dollars awarded in prime contracts in 8(A), and therefore
should never be greater than the amount awarded in prime contracts.
If filling out the form for project reporting, provide the total
dollar amount of subcontracts assisted with DOT funds awarded or
committed during this period. This value should be a subset of the
total dollars awarded or previously in prime contracts in 8(A). The
sum of all subcontract amounts in consecutive periods should never
exceed the sum of all prime contract amounts awarded in those
periods.
9(B). Provide the total number of all sub contracts assisted
with DOT funds that were awarded or committed during this reporting
period.
9(C). From the total dollar amount of sub contracts
awarded/committed this period in item 9(A), provide the total
dollar amount awarded in sub contracts to DBEs.
9(D). From the total number of sub contracts awarded or
committed in item 9(B), specify the number of sub contracts awarded
or committed to DBEs.
9(E). From the total dollar amount of sub contracts awarded or
committed to DBEs this period, provide the amount in dollars to
DBEs using Race Conscious measures.
9(F). From the total number of sub contracts awarded orcommitted
to DBEs this period, provide the number of sub contracts awarded or
committed to DBEs using Race Conscious measures.
9(G). From the total dollar amount of sub contracts
awarded/committed to DBEs this period, provide the amount in
dollars to DBEs using Race Neutral measures.
9(H). From the total number of sub contracts awarded/committed
to DBEs this period, provide the number of sub contracts awarded to
DBEs using Race Neutral measures.
9(I). Of all subcontracts awarded this reporting period,
calculate the percentage going to DBEs. Divide the dollar
amount in item 9(C) by the dollar amount in item 9(A) to derive
this percentage. Round percentage to the nearest tenth.
Line 10: Total contracts awarded or committed this period. These
fields should be used to show the total dollar value and number of
contracts awarded to DBEs and to calculate the overall percentage
of dollars awarded to DBEs.
10(A)-10(B). These fields are unavailable for data entry.
10(C-H). Combine the total values listed on the prime contracts
line (Line 8) with the corresponding values on the subcontracts
line (Line 9).
10(I). Of all contracts awarded this reporting period, calculate
the percentage going to DBEs. Divide the total dollars
awarded to DBEs in item 10(C) by the dollar amount in item 8(A) to
derive this percentage. Round percentage to the nearest tenth.
Section B: Breakdown by Ethnicity & Gender of Contracts Awarded to
DBEs This Period
11-17. Further breakdown the contracting activity with DBE
involvement. The Total Dollar Amount to DBEs in 17(C) should equal
the Total Dollar Amount to DBEs in 10(C). Likewise the total number
of contracts to DBEs in 17(F) should equal the Total Number of
Contracts to DBEs in 10(D).
Line 16: The “Non-Minority” category is reserved for any firms
whose owners are not members of the presumptively disadvantaged
groups already listed, but who are either “women” OR eligible for
the DBE program on an individual basis. All DBE firms must be
certified by the Unified Certification Program to be counted in
this report.
Section C: Payments on Ongoing Contracts
Line 18(A-E). Submit information on contracts that are currently
in progress. All dollar amounts are to reflect only the Federal
share of such contracts, and should be rounded to the nearest
dollar.
18(A). Provide the total dollar amount paid to all firms
performing work on contracts.
18(B). Provide the total number of contracts where work was
performed during the reporting period.
18(C). From the total number of contracts provided in 18(A)
provide the total number of contracts that are currently being
performed by DBE firms for which payments have been made.
18(D). From the total dollar amount paid to all firms in 18(A),
provide the total dollar value paid to DBE firms currently
performing work during this period.
18(E). Provide the total number of DBE firms that received
payment during this reporting period. For example, while 3
contracts may be active during this period, one DBE firm may be
providing supplies or services on all three contracts. This field
should only list the number of DBE firms performing work.
18(F). Of all payments made during this period, calculate the
percentage going to DBEs. Divide the total dollar value to DBEs in
item 18(D) by the total dollars of all payments in 18(B). Round
percentage to the nearest tenth.
Section D: Actual Payments on Contracts Completed This Reporting
Period
This section should provide information only on contracts that
are closed during this period. All dollar amounts are to reflect
the entire Federal share of such contracts, and should be rounded
to the nearest dollar.
19(A). Provide the total number of contracts completed during
this reporting period that used Race Conscious measures. Race
Conscious contracts are those with contract goals or another race
conscious measure.
19(B). Provide the total dollar value of prime contracts
completed this reporting period that had race conscious
measures.
19(C). From the total dollar value of prime contracts completed
this period in 19(B), provide the total dollar amount of dollars
awarded or committed to DBE firms in order to meet the contract
goals. This applies only to Race Conscious contracts.
19(D). Provide the actual total DBE participation in dollars on
the race conscious contracts completed this reporting period.
19(E). Of all the contracts completed this reporting period
using Race Conscious measures, calculate the percentage of DBE
participation. Divide the total dollar amount to DBEs in item 19(D)
by the total dollar value provided in 19(B) to derive this
percentage. Round to the nearest tenth.
20(A)-20(E). Items 21(A)-21(E) are derived in the same manner as
items 19(A)-19(E), except these figures should be based on
contracts completed using Race Neutral measures.
20(C). This field is closed.
21(A)-21(D). Calculate the totals for each column by adding the
race conscious and neutral figures provided in each row above.
21(C). This field is closed.
21(E). Calculate the overall percentage of dollars to DBEs on
completed contracts. Divide the Total DBE participation dollar
value in 21(D) by the Total Dollar Value of Contracts Completed in
21(B) to derive this percentage. Round to the nearest tenth.
23. Name of the Authorized Representative preparing this
form.
24. Signature of the Authorized Representative.
25. Phone number of the Authorized Representative.
**Submit your completed report to your Regional or Division
Office.
[79 FR
59601, Oct. 2, 2014]