Commercially Useful Function Training

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Steps to Gain Compliance

What happens when the DBE firm is not performing a CUF, or there are other situations of non-compliance with DBE requirements?

• Inform the Contractor of all observed deficiencies


• Contractor deficiencies should first be communicated by a verbal instruction from either the EIC/RE/CQCE to a project site supervisor


• Inform the Compliance Specialist of the deficiencies and document the discussion with the Contractor in the project diary


• Provide the Contractor a time frame for the corrective action to be completed


• Conduct close follow-up monitoring


• If adequate corrective action(s) are not carried out by the Contractor, the next step is to provide written notice to the Contractor, citing the deficiencies and the specific contract provisions. Include a time frame. Copy the Compliance Specialist and other appropriate NYSDOT/Subrecipient personnel.
• Corrective actions must effectively addess the deficiency. Examples of corrective actions include but are not limited to: not crediting some or all of the DBE's work toward the contract goal; increasing DBE utilization to backfill reduced crediting, etc.


• Contract provisions should be invoked progressively to obtain compliance (see CAM 99.IV Steps to Gain Compliance):
  • Stop work for the operation in question
  • Partial payments
  • Withholding payments
  • Stop work for the entire project
  • Termination
  
  
• If the non-compliance issue(s) go(es) as far as termination, the Department/Subrecipient must follow its administrative process in order to determine the net substantive harm to the DBE program and how that can be addressed to rectify the damage to the DBE program

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