Subpart A – General Requirements

  • Section 26.1 Objectives
  • Section 26.3 Applicability
  • Section 26.5 Definitions
  • Section 26.7 Non-discrimination Requirements
  • Section 26.11 Record Keeping Requirements
  • Section 26.13 Federal Financial Assistance Agreement

Section 26.1 Objectives

The objectives are found in the policy statement on the first page of this program.

Section 26.3 Applicability

The [Recipient] is the recipient of Federal airport funds authorized by 49 U.S.C. 47101, et seq.

Section 26.5 Definitions

The [Recipient] will use terms in this program that have the meaning defined in Section 26.5.

Section 26.7 Non-discrimination Requirements

The [Recipient] will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin.

In administering its DBE program, the [Recipient] will not, directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE program with respect to individuals of a particular race, color, sex, or national origin.

Section 26.11 Record Keeping Requirements

Reporting to DOT: 26.11

(b) You must continue to provide data about your DBE Program to the Department as directed by DOT operating administrations.

We will report DBE participation to DOT/FAA as follows:

We will transmit to FAA annually on December 1, the “Uniform Report of DBE Awards or Commitments and Payments” form, found in Appendix B to this part. We will also report the DBE contractor firm information either on the FAA DBE Contractor’s Form or other similar format. We will begin using the revised Uniform Report of DBE Awards or Commitments and Payments for reporting FY 2015 reports due December 1, 2015.

Bidders List: 26.11(c)

The [Recipient] will create and maintain a bidders list. The purpose of the list is to provide as accurate data as possible about the universe of DBE and non-DBE contractors and subcontractors who seek to work on our DOT-assisted contracts for use in helping to set our overall goals. The bidders list will include the name, address, DBE and non-DBE status, age of firm, and annual gross receipts of firms.

We will collect this information in the following ways:[Attach a copy of the form used to gather bidders list information].

[See attached sample form, note t hat recipients must obtain gross receipts information, this may be accomplished by asking each firm to indicate into what bracket it fits (e.g., less than $500,000; $500,000 $1 million; $1-2 million, $2 -5 million, etc.) rather than requesting an exact figure from the firm. You may acquire the information for your bidders list in a variety of ways. For example, you can collect the data from all bidders, before or after the bid due date. You can conduct a survey that will result in a statistically sound estimate of the universe of DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts. You may combine different data collection approaches (e.g., collect name and address information from all bidders, while conducting a survey with respect to age and gross receipts information).

Note - the program should indicate the methods the recipient will use to obtain this information. The regulation does not mandate a particular method. This requirement applies to prime contractors and subcontractors, DBEs and non-DBEs, and winners and losers of all firms that bid on contracts at the airport. The bidders list should only include names of bidders/offerors at the recipient’s airport. Options include a recipient-directed survey to obtain additional information not obtained at time of bid; a notice in all solicitations, or other widely disseminated request to firms quoting on subcontracts to report information directly to the recipient, etc.]

[IF YOU ARE NOT A CERTIFYING AGENCY, OMIT SECTIONS 26.11 (d) AND (e) BELOW].

What records do recipients keep and report: 2 6.11 (d) & (e)

As a certifying agency, [Recipient] will maintain records documenting a firm’s compliance with the requirements of this part. At a minimum, [Recipient] will keep a complete application package for each certified firm and all affidavits of no-change, change notices, and on-site reviews. We understand that these records must be retained in accordance with applicable record retention requirements of our financial assistance agreement. Other certification or compliance related records must be retained for a minimum of three (3) years unless otherwise provided by applicable record retention requirements for our financial assistance agreement, whichever is longer.

The [Recipient] as a member of the [State] UCP established pursuant to § 26.81 of this part will report to the Department of Transportation’s Office of Civil Rights, by January 1, 2015, and each year thereafter, the percentage and location in the State of certified DBE firms in the UCP Directory controlled by the following:

  1. Women;
  2. Socially and economically disadvantaged individuals (other than women); and
  3. Individuals who are women and are otherwise socially and economically disadvantaged individuals.

Section 26.13 Federal Financial Assistance Agreement

The [Recipient] has signed the following assurances, applicable to all DOT-assisted contracts and their administration:

Assurance: 26.13(a) - Each financial assistance agreement the [Recipient] signs with a DOT operating administration (or a primary recipient) will include the following assurance:

The [Recipient] shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract or in the administration of its DBE program or the requirements of 49 CFR part 26. The [Recipient] shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. The [Recipient’s] DBE program, as required by 49 CFR part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the [Recipient] of its failure to carry out its approved program, the Department may impose sanctions as provided for under 49 CFR part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq. ).

[Note: This language is to be used verbatim, as it is stated in 26.13(a).]

Contract Assurance: 26.13b – The [Recipient] will ensure that the following clause is included in each contract we sign with a contractor and each subcontract the prime contractor signs with a subcontractor:

The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the [Recipient] deems appropriate, which may include, but is not limited to: (1) Withholding monthly progress payments; (2) Assessing sanctions; (3) Liquidated damages; and/or (4) Disqualifying the contractor from future bidding as non-responsible.

[Note: This language is to be used verbatim, as it is stated in 26.13(b)]



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