Sec. 7.
(a)
Certification process requirements are as follows:
(1) At a minimum, the department will take
the following steps in determining whether an enterprise meets the standards
for certification as an MBE or WBE:
(A)
On-site visits. The department will:
(i) Make
on-site visits during normal business hours to company headquarters with little
or no advance notice in its efforts to make an accurate determination of the
ownership and control of an enterprise. The department may interview the
principal officers of the enterprise and review their resumes and work
histories. The department may also perform an on-site visit to job sites if
there are such sites on which the enterprise is working at the time of the
eligibility investigation in its jurisdiction or local area.
(ii) With regards to out-of-state
enterprises, the department may rely upon the site visit report of other
recognized governmental entities with respect to an enterprise applying for
certification.
(B) If
the enterprise is a corporation, analyze the ownership of stock in the
enterprise.
(C) Analyze the bonding
and financial capacity of the enterprise.
(D) Determine the work history of the
enterprise, including contracts it has received and work it has
completed.
(E) Obtain a statement
from the enterprise of the type of work it prefers to perform as part of the
MBE or WBE program and its preferred locations for performing the work, if
any.
(F) Obtain or compile a list
of the equipment owned by or available to the enterprise and the licenses the
enterprise and its key personnel possess to perform the work it seeks to do as
part of the program.
(G) Require
potential enterprises to complete and submit an appropriate application
form.
(2) The applicant
will be required to certify the completeness, accuracy, and truthfulness of the
information submitted by way of notarized affidavit.
(3) The department must review all
information on the application form prior to making a decision about the
eligibility of the enterprise. If the department determines that the form
clearly indicates the applicant is ineligible for certification, it may waive
the on-site requirement.
(4) The
department may request, at any time that it deems necessary, further
information or clarification of any matter relating to an enterprise's
qualification as an MBE or a WBE.
(5) The department must conduct preliminary
audits of accounting records, project files, and any legal documents that may
be pertinent or relevant to the certification of an enterprise as an MBE or a
WBE.
(6) The department will make
recommendations to the appropriate agencies and departments based on the
totality of its investigation, including document reviews, interviews, site
visits, and audits regarding the enterprise seeking certification as an MBE or
a WBE.
(7) The department will make
recommendations to the appropriate agencies and departments for further
investigation if misrepresentation is suspected.
(8) The department will make a determination
on applications for certification within ninety (90) of the completion of its
onsite investigation or, in the case of an out-of-state enterprise, within
ninety (90) days of the receipt of its home state investigation report. The
department may extend this time period once, for no more than an additional
sixty (60) days, upon written notice to the enterprise, explaining fully and
specifically the reasons for the extension. Failure to make a determination by
the applicable deadline under this paragraph may be deemed, by the applicant, a
constructive denial of the application, and the basis on which the enterprise
may petition for review under
25
IAC 5-4-2.
(b) Applications from MBE or WBE enterprises
domiciled outside of Indiana require the following, in addition to the items in
this article:
(1) The enterprise must be
qualified and in good standing with the state of its organization.
(2) The home state shall provide the on-site
interview that was conducted in association with the certification.
Certification of out-of-state applicants by the department is conditional to
the out-of-state applicant meeting the standards of certification set forth in
this article. The department reserves the right to grant or deny certification
to an MBE or WBE with current, in place certification status with other
governmental agencies and departments with recognized certification
authority.
(c) An
applicant for certification as an MBE or a WBE may notify the department that
it is seeking similar certification from another agency or certifying entity
and request that the department provide a copy of its application documentation
and report of site visit to such agency or entity. The notice may be on a form
prescribed by the department. The department will respond to two (2) requests a
year at no charge to the applicant. Additional requests will be honored only if
the applicant pays the department's then-prevailing copying costs and postage.