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DBE Certification New York

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The Disadvantaged Business Enterprise (DBE) regulation requires that each state have a “one-stop shopping” certification process. This means firms apply to only one agency for DBE certification, and that agency’s decision is honored by all other DBE certifying agencies (see below) and all entities within the state that receive funds from the United States Department of Transportation. The  New York State Unified Certification Program (NYSUCP) began to operate November 30, 2005. There are four agencies in New York State that administer a DBE certification program. They are:

          Office of Civil Rights
          2 Broadway, 16th Floor
          New York, NY 10004-9256
          Telephone: (646) 252-1378
          Fax: (646) 252-1350
          cgreene@mtahq.org

          Small Business Programs
          New York, NY 10003
          Telephone: (212) 435-7817
          Fax: (212) 435-7828
         

          Equal Employment Opportunity/Diversity Development Department
          181 Ellicott Street
          Buffalo, NY 14203
          Telephone: (716) 855-7489
          Fax: (716) 855-7657
          linda_seay@nfta.com

          Contract Audit Bureau
          DBE Certification
          50 Wolf Road, 1st Floor
          Albany, NY 12232
          Telephone: (518) 457-3180
          Fax: (518) 457-1675 
          jejones@dot.state.ny.us

Filed Under: DBE Application

Do I need a consultant to prepare my DBE Certification application?

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Do I need a consultant to prepare my DBE certification application?

No. Generally, if you are a very small business with one or two owners you probably will have no issues with your DBE certification application. If you are in that situation and you are an organized individual or you have an organized individual in your company who can take on the tasks, you can complete your DBE certification application without assistance from a consultant.

Companies that retain our services usually do so for a number reasons:

1.         There is an opportunity available to the company that requires it to be certified immediately.

2.         The firm has been previously denied certification.

3.         The company may not meet the size requirements.

4.         The owner may or may not meet the personal net worth requirement.

5.         The business is partly owned by non-disadvantaged individuals.

Keep in mind that there are many reasons that your application can be returned to you as incomplete or denied outright. Many of them are not that obvious. To avoid a lengthy application process, denial, or a costly appeal, sometimes it makes sense to retain a consultant who understands the program and its requirements.

Filed Under: DBE Application

My DBE Certification Application has been denied! Now what?

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My DBE Certification Application has been denied! Now what?

You’ve spent days, if not weeks and months, putting together your DBE certification application and now you’ve learned that your DBE application has been denied. Now what do you do?

First, read the letter you received from the certifying agency carefully. The reason for the denial will be set forth in the letter you received. There are many reasons why your application could have been denied. Typically, denials fall into the following four categories.

1.         You do not meet the eligibility requirements of the program such as, Business Size, Minority Status or Personal Net Worth.

2.         You failed to show that you control the company.

3.         You fail to show that you independently run the company.

4.         You failed to cooperate by not providing requested documents.

Depending on the reason for your denial you may want to appeal the denial decision.

Filing an Appeal

Your administrative appeal with the Department of Transportation’s Departmental Office of Civil Rights must be filed within 90 days from the date of denial. In some states, you may have the opportunity to appeal your case to a state entity, for  example,  the  Department of Administrative Hearings (DOAH) in Florida.

How to file an appeal after being denied DBE certification by a DOT recipient:

To file a DBE certification appeal, firms should send a letter to the U.S. Department of Transportation. The appeal should at a minimum include information and arguments concerning why the recipient’s decision should be reversed, a copy of the denial letter, and any additional information you believe to be pertinent to the appeal. Firms must provide the name(s) and address(es) of any DOT recipient the firm is currently certified with; or who has rejected its application for certification; or removed the firm’s eligibility within one year prior to the date of the appeal. This includes applications currently pending certification action.

All appeals should be submitted to:

U.S. Department of Transportation
Departmental Office of Civil Rights
External Civil Rights Programs Division (S-33)
1200 New Jersey Ave., S.E.
Washington, DC 20590
Phone: (202) 366-4754     TTY: (202) 366-9696
Fax: (202) 366-5575

Firms can file appeals on the own behalf.  However, we recommend that you retain an attorney who understands the rules and regulations governing the DBE program to represent you.  Hiring an attorney who understands the requirements of the DBE program can be the most cost-effective decision you can make.  At Kleiner & Cazeau, we understand the DBE program and its requirements because we regular assist clients in the preparation of their DBE applications. Since we understand the rules we know when an appeal should be taken and when in an appeal should not be taken.

We will review your denial letter and your application and determine whether the denial was justified. If denial was proper, we will determine whether an opportunity to be certified in the future is possible. If we don’t think your firm meets the requirements of the program we will let you know so you don’t unnecessarily expend time, energy, and financial resources towards obtaining certification. If we think you can be certified in the future, we will recommend ways to adjust your business so you can reapply when the time comes.

If denial was improper, we will review the case law and decisions to draft an appeal brief explaining why denial was improper and why the denial decision should be reversed or remanded.

When all else fails,  it may be necessary to file suit to reverse the denial decision. In that case, our litigation department is well prepared to represent you in court. By hiring an attorney who understands the program we can ensure that a record is created that will help you win your case in court.

At Kleiner & Cazeau, we have experience representing clients in both formal and informal DBE certification denial appeals. If your firm has been denied DBE certification and you wish to appeal, please contact us at (305) 517-1392 ext. 102.

Filed Under: DBE Application, DBE Denial

Documents Needed For Your DBE Certification Application

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Documents you will need to gather for your DBE Certification Application:

  1. The business tax returns for the last three years.
  2. Personal tax returns for any business owners for the last three years.
  3.  County and/or municipal occupational licenses or Business Tax Receipts.
  4. Copies of any professional licenses.
  5. Detailed resume of all owners or list of all employment for the past 10 years.
  6. Corporation Official Articles of Incorporation
  7. Photo Id for all owners (Driver’s license).
  8. Proof of citizenship or residency for all owners. (Copy of passport).
  9. Leases or sublease for the business.
  10. Any leases for business equipment.
  11. Amount of mortgage on your home. Information regarding bank including address, loan number outstanding balance.
  12. Balance of any credit card or other consumer loans. Name of banks, address etc.
  13. Copy of a cancelled company check
  14. Amount of funds in any investment accounts or bank accounts.
  15. Number of part-time and full time employees.
  16. Owners’ home phone #, cell phone #, & company fax #
  17. What did you use to start the company? County will want to see a copy of the first check deposited in the bank account. 
  18. Do you use an outside firm for management or payroll? If yes, name of company and contact information.
  19. What were the Company’s three largest contracts over the past 3 years? For each, I need the name of the owner, location of the company, type of work performed and the dollar value of the contract.
  20. What are the three largest contracts you are currently working. For each, I need the name of the owner, location of the company, type of work performed, the dollar value of the contract, the project start date and the anticipated completion date.
  21. Year end balance sheets for the company for the past three years.
  22. Bank authorization and signatory cards.
Filed Under: DBE Application

DBE Application From Out Of State Firm

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The Florida UCP will not process a new application for DBE certification from a firm having its principal place of business in another state, unless the firm has already been certified in that state. When a Certifying Member processes an out-of-state application, a full dbe certification application file with all supporting documentation will be compiled by the Certifying Member, including a copy of the Site Visit Report obtained from the applicant’s home state or from the state’s UCP if it is in place, before the firm is included in the State of Florida DBE Directory.

Filed Under: DBE Application

Renewing Your DBE Certification

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How Does a Firm Renew a DBE Certification?
If a firm wishes to remain DBE and/or ACDBE certified, both a Continuing Eligibility Form and a Personal Net Worth Worksheet must be submitted every year, before the anniversary date of the existing certification. The documents must be submitted to the certifying agency accompanied by the Corporate Business and Personal Tax Returns for each of the three (3) proceeding years.

Filed Under: DBE Application