DBE Certification Procedures Manual
DBE Program Adminstration Manual

Information Collection

1. DBE Application

   It is the responsibility of the applicant to provide the information deemed necessary by the certifying agency to ascertain eligibility. The burden to prove eligibility is upon the applicant, not upon the State. The following guidelines will help clarify the application process:

   1.         The State's process shall secure all necessary information from applicants through a well defined application procedure and review process. The State's certification process provides that whenever an out of state firm applies for certification the Alabama Department of Transportation Agency in the applicant firm's resident State will be contacted and asked to provide certification information on the applicant firm. It is emphasized that one State's certification decision is not binding on another State. This information should be considered but the State's decision must stand on its own merit. All out of state firms must be certified in their home state before the ALDOT reviews the firm.

   2.         The applicant is required to provide evidence in support of fulfilling all of the DBE eligibility standards set forth under 49 CFR 26, and the State's files shall contain all appropriate documentation in support of the certification of the firm. The following is a list of those materials that should be part or a DBE's application filed by a firm seeking inclusion into the program:

   (See Example Copy on Following Two Pages)

   3.         The prospective DBE applicant shall submit all pertinent data necessary for the State to render an informed decision on the eligibility of the firm. The application shall be self contained on a standardized form supplied by the State similar to or a reproduction of the Schedule A or B forms attached to 49 CFR 26. The application is in the form of a Sworn Affidavit. Firms applying for certification must verify their status by making available for review the appropriate books, records, and other documents pertaining to the financial and operational aspects of the firm and its principals. The Department of Transportation's DBE regulations at 49 CFR 26.53(e) provide that, "A business wishing to be certified as a DBE or joint venture DBE by a DOT recipient shall cooperate with the recipient in supplying additional information which may be requested in order to make a determination." Applicant firms that refuse to provide the requested information will not be certified. The applicant can be notified that verification of information they provide on Schedule A or B may require additional documentation. 

2. On Site Reviews

   The STURAA of 1987 requires the State to conduct interviews and on site reviews of all firms as part of the uniform certification process. Appendix A provides a suggested on site certification review guide. The frequency of on site visits and the need for personal interviews of out of state applicants are of paramount concern because of the time and expense required to do the work. On site visits at the home office(s) need to be conducted only once unless a specific concern arises (such as a third party challenge) which would require additional reviews. No home office review is necessary as part of the recertification process unless a previous certification review had not been done or a specific concern arises to warrant a revisit. An acceptable approach for out of state applicants is to require the applicant to possess a currently valid certification from the firm's home State. The non resident State could request from the home State the documentation of the home State's on site visit necessary to assure the validity of the written application. The reality of limited resources in some States may delay on site reviews until after the firm is certified. Recognizing this, on site reviews should be prioritized as follows:

   1. DBE s with the largest contract volumes;

   2. Firms whose eligibility has come into question (eligibility questions may come from (variety of sources); and

   3. All other firms.  

3. Documentation

   A case file shall be maintained on all firms whether confirmed or denied as eligible to participate. Case files on each individual firm should contain:

   1. Documentation of all contracts made with firm, verbal or written;

   2. Documents submitted by firm, including all applicants for certification;

   3. On site review reports;

   4. Decision letters; and

   5. Documentation of any hearings, formal or informal.