FEDCON Summit: Department of Transportation Construction Opportunities
Statewide Uniform Certification (SWUC)
General Information / Overview
The Office for Historically Underutilized Businesses (HUB Office) launched its
new Statewide Uniform Certification (SWUC) program on July 1, 2009. The HUB
Office will take the lead in certifying HUB/MWBE firms, which previously had to
apply for certification through the HUB Office as well as the local M/WBE program
Effective July 1, 2009, HUB firms must be certified through the HUB Office to be
listed in the database to be counted by local and state entities for HUB
participation and the reporting purposes.
Benefits of HUB Certification include:
HUB Certification is free of charge.
Certification is valid for four years, provided that the business continues to meet
the eligibility requirements.
• Certified HUBs are registered with the Division of Purchase and Contract’s webbased HUB Vendor Directory/Vendor Link. State agencies use the HUB Vendor
Directory in conjunction with the E-Procurement database to solicit bids from
certified HUBs for state purchasing and public works contracts. Prime contractors
also use the HUB Vendor Directory to identify HUBs in order to send them
notification of their subcontracting opportunities. This provides increased
exposure to the general public, as well as other entities that have a supplier
diversity program and are searching for minority and woman-owned businesses.
Vendor in the Spotlight. The HUB Office will showcase your business on our website to
a target audience of purchasing agents and decision makers.
Eligibility for HUB Certification Under the SWUC Program
Per N.C. General Statute 143-128.4, to qualify as a historically
underutilized business, a business must be at least 51% owned, controlled
and managed, by one or more citizens or lawful permanent residents of the
United States who are members of one or more of the following groups: (1)
Black, (2) Hispanic, (3) Asian American, (4) American Indian, (5) Female,
(6) Disabled and (7) Disadvantaged.
If you are interested in becoming a certified HUB firm, you must register in
the Vendor Link system and request HUB Certification. Please follow the
To Register In Vendor Link / Initiate HUB Certification:
Go to http://www.doa.nc.gov/hub
Click "Request HUB Certification"
Click "HUB Certification/SWUC Program"
On the Electronic Registration page – read terms and "Accept"
Complete all applicable information
On the last page – Click "Registration Complete"
Return to http://www.doa.nc.gov/hub and Go to Forms and Documents; and
Click "Required Documents" and "Statewide Uniform Certification
10. Based on your business type, submit supporting documents indicated and the
Statewide Uniform Certification Application to the HUB Office
NCDOT Construction Opportunities
2013 North Carolina
Federal Construction, Infrastructure and Environmental (FEDCON)
October 17, 2013
Why are we here?
• To provide information and answer questions to enhance
your understanding of NCDOT
• To clarify the differences between the different levels of
risk for contractors
• To clarify prequalification vs. certification
• To show you how to find the information you need to
make informed decisions
I want to work for NCDOT…What do I need
• Levels of Risk….from lowest to highest
1) Fully Operated Rental Equipment (FORE)
3) Small Business Enterprise (SBE) Contractor
4) Purchase Order (POC) Prime Contractor
5) Prime Contractor on Centrally Let Projects
Fully Operated Rental Equipment
• Used to supplement NCDOT equipment
• Fill out a FORE proposal and submit with prices
to District Office near you
• No guarantee of work
• Work on any size project (Purchase Order or Central Let)
• Must be prequalified through NCDOT using a Subcontractor
• Must be prequalified before starting work on the project.
• Bonding not required by NCDOT, may be required by Prime
Contractor OR they can hold between 3% and 10%
retainage to be released within seven days of satisfactory
completion of work.
Small Business Contracts (SBE)
• Projects up to $500,000 and ONLY SBE contractors can bid
• Typically bonding and General Contractor License
requirements are waived
• Must be certified through NCDOT to be a SBE (annual gross
income up to $1.5 million, excluding materials) to bid (no
• Advertisements labeled as SBE contracts (Division contracts)
for ALL modes of transportation (at their discretion)
• Know the Specifications for your work!!! They do apply!
• Not classified as an approved subcontractor
Purchase Order Prime Contractor (POC Prime)
• Up to $2.5 million
• Must be prequalified as a POC Prime (currently a
Subcontractor) at time of bid
• Typically advertised and let out of Division Offices
• Bonding required for anything over $500,000
• Will be required to meet any DBE, WBE/MBE goals or
provide a good faith effort
• Level of qualification lets you subcontract also
Prime Contractor on Centrally Let Projects
• Typically over $2.5 million
• Prime Contractors need to be a “Prequalified Bidder”
through our Prequalification Unit at time of bid
• Bid, Payment and Performance Bonds are required
• Must meet any DBE, WBE/MBE requirements or show a
Good Faith Effort
• Responsible for any subcontractor work, liquidated
• Level of qualification lets you subcontract and be a POC
Now that I am Approved, how do I find work?
Prequalification vs. Certification
• Prequalification (except SBE) deals with the ability to bid
and construct projects.
• Certification applies to Programs such as Disadvantaged
Business Enterprises (DBE); Woman-owned Business
Enterprises (WBE) and Minority-owned Business
• If you are certified as a DBE, MBE or WBE, you are not
automatically prequalified. If you are prequalified, you are
not automatically certified as DBE, MBE or WBE.
• Once you get prequalified and/or certified, your firm is
listed on our Transportation Directory for public
Division Office – Greenville
District 1 (Beaufort, Pitt) –
District 2 (Carteret, Craven,
Pamlico) – New Bern
District 3 (Greene, Jones,
Lenoir) – Kinston
Division 2 Contact Information
• Division Engineer – John Rouse, PE
• Division Contract Officer – Aaron Bullard, PE
• Primary Contact for Division-Let Projects
• Division Construction Engineer – Ed Eatmon, PE
• Primary Contact for Centrally Let Projects (Current and Future)
Division 3 Contacts
Division Construction Engineer
Division Maintenance Engineer
Division Operations Engineer
Division 3: Local
Duplin & Sampson Counties:
Lin Reynolds (910) 592-6174
Onslow & Pender Counties:
Robert Vause (910) 346-2040
Brunswick & New Hanover Counties:
Anthony Law (910) 251-2655