B.     Interstate Certification

All Interstate applicants must be certified in their home state prior to making a request for certification.  A Request for Interstate Certification Form (available Online) must be completed and submitted with the documentation listed in “b.” below.  The MassUCP Intake specialist will acknowledge receipt of the interstate applicant’s request by email and by letter within 3 to 5 days of submission. The MassUCP will notify the applicant in writing that their request has been assigned to a certification specialist. 

    1. Where an out-of-state firm has not retained its home state certification, the Certification Specialist will contact the appropriate state UCA/UCP to seek information concerning the basis for the removal.  After a review of the facts and circumstances surrounding the removal, the SDO will determine whether or not reasonable cause exists for an ineligibility proceeding under 26.87.  This process shall apply to any firm decertified by a state other than its home state.;
    2. If the company is certified in its home state and has completed an Interstate Certification Request Form, the Certification Specialist will:
      • A current Personal Net Worth statement (if more than 90 days old)
      • Individual federal tax returns for last 2 tax years;
      • Firm's federal tax returns for the last 3 tax years;
      • Balance Sheet or Income Statement for the last tax year
      • A copy of the latest letter of certification  its Home State
      • By-Laws
      • Operating Agreements
      • Affidavit of Disclosure (Available Online)
    3. Upon review of the documents requested, the Certification Specialist will
      1. Request additional documentation
      2. Recommend certification
      3. Recommend Denial

Upon the submission of the above documentation and within 7 days, the SDO will request from the home state a copy of the original Site Visit Review Report, any subsequent Site Visit Review Reports, and any evaluations based on these reports.

Where the home state is delayed or non-responsive to a request for the On-site Review Report, the SDO shall suspend the process and notify the applicant firm within 30 days of submitting the initial documentation listed above.

Failure of the applicant firm to provide sufficient documentation shall serve as good cause to deny Interstate Certification. Such determination shall be made within 60 days of the original document submission and after the SDO has provided the applicant firm with notification that its submission is insufficient and a 30-day timeframe in which to respond.

Within 60 days of receiving and evaluating the required documentation, the SDO will either certify the firm and place the firm in its Unified DBE Directory or establish good cause that the firm’s certification in its home state:

  • Was obtained by fraud
  • Is no longer valid based on new information not available to the home state at the time of its certification, showing that the firm is ineligible
  • Was erroneous or inconsistent with the requirements at 49 CFR Part 26
  • Does not apply due to any law of the Commonwealth of Massachusetts that would require a different result. In such cases, the SDO may delay certification until the applicant firm has provided evidence of its compliance.

Where the SDO has established good cause to deny an application, a notice stating the specific reasons for the denial and an opportunity to respond within 10 days shall be provided to the applicant firm.  Applicant firms may respond in writing or request a meeting in-person with Executive Director to discuss its objections to the SDO’s determination. The SDO will schedule such meetings within 30 days the firm’s request. Any request beyond 10 days of the SDO’s notice denying certification shall be considered untimely, and the SDO’s decision will become final.

If, upon meeting with the Executive Director, the applicant firm has the burden of demonstrating, by a preponderance of evidence, that it meets the requirements pertaining to the particular issues raised in the notice.  The SDO will issue its final written decision within 30 days of either the meeting with the Executive Director or receipt of the firm’s written arguments, whichever is later.

The SDO will make entries of all firms denied Interstate Certification into the US DOT Office of Civil Rights’ Ineligibility Determination Online Database. 

All Interstate applicants denied certification have the right to appeal directly to US DOT in accordance with 49 CFR Part 26.89.