Chapter 8: Good Faith Effort Process
Section 1: Overview
Utilization Plan
Prime contractors are required to submit DBE Utilization Plans
(UP) through DMS no later than five calendar days following the
official notification that they are the apparent low bidder. If
the fifth day falls on a weekend or state or federal holiday, the
deadline moves to the next business day.
Prime contractors complete and submit utilization plans online
via DMS.
TxDOT creates the UP record in DMS by project CSJ and assigns
it to a prime contractor. Once TxDOT releases the UP, the prime
contractor’s main contact in DMS will receive an e-mail notification.
The prime contractor can then enter all subcontractors or
suppliers. The subcontractors and suppliers must confirm their participation.
The prime contractor will sign the UP and submit it.
Submitted plans are reviewed by TxDOT CIV staff. CIV staff
will either:
- return the plan,
- conditionally approve the plan, c) approve the plan, or d) deny the plan. For returned and conditionally approved plans, the system will automatically send notices to the prime contractor to update and resubmit the plan.
Instructions for submitting a UP in DMS are included in Section
2. In addition, B2Gnow has published a user manual titled Utilization
Plans that shows prime contractors how to complete and submit utilization
plans. The manual can be located in DMS.
A DBE prime contractor is not required to submit a UP. DBE
prime contractors must report subcontractor activity for all subcontractors
to include DBEs and non-DBEs in DMS after contract execution. Refer
to the Prime Contractors’ DBE Guide, Chapter 9 titled DMS Subcontractors
for more information on adding subcontractors to DMS.
Good Faith Efforts
Prime contractors must make Good Faith Efforts (GFE) to meet
the DBE contract goal, either by meeting the goal or by documenting
GFE to meet the goal. Prime contractors should make sincere and
aggressive efforts to meet the DBE goal. Attempting to obtain a
contract on the basis of documented GFE should be a contractor’s
last resort.
Contractors should document steps it has taken to satisfy
GFE requirements and meet the contract DBE goal. Prime contractors
should understand the list of the types of GFE found in 49 CFR,
Part 26, Appendix A.
TxDOT will not penalize prime contractors if they fail to
meet contract DBE goals as long as they follow GFE guidelines in
49 CFR, Part 26, Appendix A and submit their GFE to CIV for review and
approval.
If the goal cannot be met in whole or in part, prime contractor
will attach Contractors Certification of Good Faith Efforts
and supporting documentation in DMS.