B-11-0 Monitor Disadvantaged Business Enterprise Commitment Modifications (Disadvantaged Business Enterprise)

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Flowchart B-11-0: Monitor Disadvantaged Business Enterprise Commitment Modifications (Form 1420 and 1415)

1. Start: The prime contractor recognizes a need to modify Disadvantaged Business Enterprise (DBE) commitments identified on a Commitment Confirmation, CDOT Form 1415, based on a termination or reduction.
2. The prime contractor notifies the DBE of intent to terminate or reduce the commitment (Figure 11-1).
3. The DBE has five calendar days to respond to the prime contractor.
4. Once the five day notice period has occurred or the DBE has provided a written notice of withdrawal, the prime contractor completes and submits the DBE Participation Plan Modification Request, CDOT Form 1420, for a termination, reduction, or substitution and adds additional participation (Form 1415), if applicable (Figure 11-2). The prime contractor provides the form(s) to the CDOT Project Engineer/Project Manager (PE/PM).
5. The PE/PM provides the form to the Region Civil Rights Office (RCRO). The RCRO reviews and completes Section E of the Form 1420 for a termination, reduction, or substitution (Figure 11-4).
6. The RCRO sends the form to the PE/PM for approval or denial.
7. The PE/PM reviews and completes Section E of the Form 1420 for a termination, reduction, or substitution (Figure 11-5).
8. Decision Item: Is Form 1420 approved?
   • If no, continue to step 9
   • If yes, continue to step 10.
9. The PE/PM sends the denied Form 1420 and 1415, if applicable, to the prime contractor and RCRO. The RCRO uploads Form 1420 and Form 1415 in B2GNow and updates information in the B2GNow system (Figure 11-6). The prime contractor may be subject to a payment reduction in accordance with the DBE Standard Special Provision. The process ends.
10. The PE/PM sends the approved Form 1420 and 1415 to the prime contractor and RCRO. The RCRO uploads Form 1420 and Form 1415 in B2GNow and updates information in the B2GNow system (Figure 11-6).
11. Decision Item: Are additional DBE commitments required as a result of an approved termination or reduction:
    • If no, the process ends.
    • If yes, continue to step 12.
12. Decision Item: Is a substitution requested with new commitments or an increase in existing commitments:
    • If no, continue to step 13.
    • If yes, continue to step 14.
13. Decision Item: Does the prime contractor recognize a need to submit a good faith effort on a Good Faith Effort Report, Form 1416?
    • If no, the prime contractor may be subject to a payment reduction in accordance with the DBE Standard Special Provision. The process ends.
    • If yes, continue to step 15.
14. The DBE firm completes section C of the CDOT Form 1415 and returns the form to the prime contractor (Figure 11-3). Proceed to step 4.
15. The prime contractor completes the CDOT Form 1416 to document good faith efforts (Figure 11-7). The prime contractor submits the form to the PE/PM.
16. The PE/PM forwards the form to the RCRO for review. The RCRO reviews and completes Section F of Form 1416 to document good faith efforts for a termination or reduction (Figure 11-8).
17. The RCRO sends Form 1416 to the PE/PM for approval or denial.
18. The PE/PM reviews and completes Section F of Form 1416 to document good faith efforts for a termination or reduction (Figure 11-9).
19. Decision Item: Is the CDOT Form 1416 approved?
    • If no, continue to step 20.
    • If yes, continue to step 21.
20. The PE/PM sends the denied Form 1416 to the prime contractor and the RCRO. The RCRO uploads the denied Form 1416 to B2GNow. The prime contractor may be subject to a payment reduction in accordance with the DBE Standard Special Provision. The process ends.
21. If yes, the PE/PM sends the approved Form 1416 to the prime contractor and the RCRO. The RCRO uploads Form 1416 in B2GNow. The process ends

Process Guides

 Prime Contractor

• 11-1 Contractor Notifies the DBE of Intent to Terminate or Reduce Commitment (Prime Contractor)
• 11-2 Complete and Submit Form 1420 for Termination, Reduction, or Substitution and Add Additional DBE Participation (Form 1415), if applicable (Prime Contractor)
• 11-7 Complete CDOT Form 1416 to Document Good Faith Efforts (Prime Contractor)

 Disadvantaged Business Enterprise Firm

• 11-3 Complete Section C of the CDOT Form 1415 (Disadvantaged Business Enterprise)

 CDOT Project Oversight

• 11-5 Review and Complete Section E of the CDOT Form 1420 for Termination, Reduction, or Substitution (Project Engineer/Project Manager)

 CDOT Region Civil Rights Office

• 11-4 Review and Complete Section E of the Form 1420 and Section D of the Form 1415, if applicable, for Termination, Reduction, and/or Substitution (RCRO)
• 11-6 Upload CDOT Form 1420 and Update Information in B2GNow (RCRO)