Disadvantaged Business Enterprise Program (DBE)

To ensure that its DBE program benefits only firms owned and controlled by minorities or women, The City of Rocky Mount shall certify the eligibility of DBEs and joint ventures involving DBEs that are named as competitors using the attached Schedules A and B in accordance with Sections 23.51 and 23.53 and Appendices B and C of 49 CFR Part 23. DBEs not part of a joint venture should complete Schedule A. Joint ventures that include DBE companies should complete Schedule B. The City of Rocky Mount will accept certifications made by the North Carolina Department of Transportation and the Small Business Administration. The City of Rocky Mount shall require their prime contractors to make good faith efforts to replace a DBE subcontractor that is unable to perform successfully with another DBE. The City of Rocky Mount shall approve all substitutions of subcontractors before bid opening and during contract performance, in order to ensure that the substitute firms are eligible DBEs.

To verify the eligibility of DBEs the following documentation will be required:

1. Signature cards for deposits;
2. Articles of Incorporation;
3. Stock transfer registration information (if applicable);
4. Tax returns from the previous two (2) years; and
5. Resumés of principal owners;

In addition the City of Rocky Mount may also evaluate loan agreements, vehicle ownership, and whose name(s) are on the licenses needed for the business.

An on-site inspection of the office and/or operating facility as well as an interview of the owner(s) will be conducted gathering information on the daily control and operation of the business. There will be an analysis of bonding capacity, financial capacity, and type of work preferred.

DBEs certified by other DOT assisted entities may provide proof of eligibility under that entities certification procedures. Small business concerns certified under the Section 8(a) of the SBA will be accepted.

Once certification has been approved the business/individual will be notified that is has been certified and the duration of the certification. If the certification has been denied the business/individual will be notified of the grounds for the denial in sufficient detail to permit the applicant to make the necessary adjustments and apply for certification at a later date.

Certification Appeals Process

1. A business/individual that believes that it has been wrongly denied certification on the basis of a determination under The City of Rocky Mount certification process may file an appeal with the Department of Transportation.
2. An adversely affected party to a proceeding under Section 23.69, challenging the presumption of social and economic disadvantage of an owner of a business that is certified or that seeks certification, may also file an appeal under these procedures.
3. During the appeal process, The City of Rocky Mount’s determination that the business/individual is or is not a DBE remains in effect unless otherwise advised by the Department of Transportation in writing.
4. The appeal must be filed not later than 180 days after a final determination has been made by The City of Rocky Mount;
5. Following submission of an appeal, the Department will conduct an investigation pursuant to the Department’s Title VI investigation procedures; and
   1. The Secretary will make one of the following determinations:
      
      1. The DBE or joint venture is certified;
      2. The DBE or joint venture is not eligible to be certified or to participate as a DBE in DOT-assisted contracts and procurements until a new application for certification is formally approved by The City of Rocky Mount; or
      3. The challenged party in a proceeding under Section 23.69 is or is not socially and economically disadvantaged.