Subcontract Requirements for the North Carolina Department of Transportation

The Office of Contractual Services (OCS) of the North Carolina Department of Transportation (NCDOT) operates a subcontractor program that allows subcontractors to work on: NCDOT statewide projects that originate from Raleigh headquarters office that are known as Central Let contracts; and NCDOT divisional projects that originate from one of the 14 division offices that are known as Department Let Purchase Order contracts.

Generally, subcontractors must fulfill three requirements to become and remain eligible to work on NCDOT contracts completing a separate application for each of the requirement levels.

The first-time Pre-Qualification Application is the initial entry into the NCDOT subcontractor program. OCS will assess qualifications and abilities before approving. Once approved, subcontractors are given a user ID and are listed in the NCDOT Directory of Transportation Firms with a Pre-Qualification Status of “Subcontractor” and will wait a month before being allowed to bid for jobs.

An annual Renewal Application is necessary to ensure that the OCS has current contact and experience information and Safety Index on file for subcontractors. A 3-year Re-Qualification Application allows for periodic reassessment of a subcontractor’s abilities, experience, and equipment list.

The NCDOT Disadvantaged Business Enterprise (DBE) Program is designed for independent small businesses where a minimum of 51 percent of the ownership stakes are controlled by socially or economically disadvantaged individuals, minorities, or women, respectively.

Through this program that is conducted by the NCDOT Office of Civil Rights and Business Development (OCRBD), these persons receive separate DBE certification and are not required to go through the pre-qualification process to be subcontractors, in accordance with Title 49 CFR, Part 26, Appendix C.

The DBE Certification Application is submitted to the OCRBD for review. After an interview and a site visit, a DBE Certification Technician will approve the application and will generate a listing in the federal Unified Certification Program (UCP) Directory. A UCP listing allows the DBE subcontractor to participate in any federally funded program with any other state agency without having to reapply for DBE certification.

DBE subcontractors are required to submit an Affidavit and Personal Net Worth Statement annually and a Re-Certification Application and Personal Net Worth Statement every three years to maintain DBE Program eligibility.

The NCDOT Small Professional Services Firm (SPSF) Program is very similar to the DBE Program. However, it uses the size of the business as a criterion for enrollment. The NCDOT uses the SBA size standards based on the number of employees and the gross annual income.

SPSF Program applicants will first complete the general pre-qualification process. Once completed, a complete and notarized SPSF Contractor’s Self-Certification Form will be submitted to the OCS. Upon acceptance, the SPSF contractor is listed in the UCP Directory.