1. Annual Update

    The UCP Manager will perform an annual update of every company that has been certified. This process will include obtaining updated financial data, including income tax information (both personal and corporate).  The owner of the DBE shall be required to file a “no change” affidavit, attesting to the fact that there has been no change affecting its ability to meet the size, disadvantaged status, ownership, changes in management responsibility or control requirements of 49 CFR Part 26. 

    1. The Specialist will renew each company’s certification on an annual basis, requiring the company provide updated: financial statements, personal and corporate taxes (if necessary and for each individual claiming social and economic disadvantaged status), no change affidavits, and if applicable, a copy of the most recent home state certification letter.
      1. While failure to maintain home state certification in itself does not prevent renewal, it shall result in a review of the facts and circumstances to determine reasonable cause to initiate an ineligibility proceeding under 26.87.
    2. The Specialist will provide the company written notification of all the documents required 30 days prior to its certification anniversary.  The Specialist will review all the documents submitted to ensure the company and its SED principals remain eligible.
      1. In evaluating the company’s revenues, averaged over three years, the Specialist will determine if the company exceeds the USDOT threshold for a small business.  If the company exceeds the amount, Executive Director will notify the company, in writing and by certified mail that it has graduated from the program.
      2. If the company’s three year average tax revenue exceeds the threshold, as set by the SBA, for any of the NAICS codes assigned to it, Executive Director will notify the company as to what categories it retains.
      3. Case Auditor will also review the personal net worth (“PNW”) of the eligible individual to ensure s/he remains economically disadvantaged.  If the Case Auditor determines that the individual’s PNW exceeds the threshold, the Executive Director will notify the company, in writing and by certified mail, of the fact.
    3. If Specialist does not receive any or all of the documents by the anniversary date, s/he will notify the company of its deficiency, by certified mail, and give the company 10 business days to show cause as to why it should remain certified.  Should the company fail to respond to the “show cause” notification, Executive Director will send a final notification that the business has been removed.
  2. Regular and Discretionary Review
    1. Every three to five years, the SDO will endeavor to conduct a certification review, including an updated on-site review, of each certified firm; for out-of-state firms, the SDO will obtain from the home state UCP a report of the most recent on-site review.
    2. The MassUCP reserves the right to require an on-site review or home state certification when there are significant changes to corporate structure, when the primary objective of the business changes, or there is a definitive expansion of the business and/or any other notable differences that would change the basis of the original DBE certification
      1. UCP Manager/Specialist will accept, review and process any requests for structure change, or category expansion provided the company submits a request in writing to the office.  The request must detail the specific nature of the change requested and be accompanied by documentation supporting the basis for the change.
      2. Where a company has changed ownership, such that the individual whose SED status formed the basis for the company’s certification no longer possesses majority ownership, Executive Director will treat such notice as a withdrawal of certification and administratively remove the company.  In such a case, SDO would not preclude the new owner(s) from immediately applying for certification.
      3. Should a company relocate, move, or change its contact information, the company has the duty to notify Renewal Specialist within 30 days of the change and the directory accurately reflects the change.
      4. Wherever possible, SDO will utilize technology to facilitate the process for certified businesses to request changes and make updates to their company profiles.